vvEPA
United States
Environmental Protection
Agency
Office Of Water
(EN-336)
EPA 833-B-93-003
March 1993
Training Manual
for NPDES
Permit Writers
O Printed on recycled paper
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Table of Contents
Section Page
1 INTRODUCTION TO THE NPDES PROGRAM 1-1
1.1 PURPOSE AND FORMAT OF THIS MANUAL 1-1
1.2 OVERVIEW OF THE NPDES PROGRAM i-l
1.3 EVOLUTION OFTHE NPDES PROGRAM 1-4
1.4 TYPES OF NPDES PROGRAM AUTHORITY 1-6
1.4.1 Basic Municipal and Industrial Permit Program 1-7
1.4.2 Prctreatment Program 1-8
1.4.3 Federal Facilities Program 1-8
1.4.4 General Permit Program 1-9
1.4.5 Sludge Permit Program 1-10
1.5 INTRODUCTION TO NPDES TERMINOLOGY AND REGULATIONS l-io
2 THE APPLICATION FORM AND ADDITIONAL INFORMATION 2-1
2.1 THE APPLICATION PROCESS 2-1
2.1.1 Facilities Required to Obtain Permits 2-1
2.1.2 Forms Used in Applying for a Permit 2-1
2.1.3 Application Deadlines 2-2
2.2 REVIEW OF THE APPLICATION 2-2
2.2.1 The Complete Application 2-3
2.2.2 The Accurate Application 2-5
2.3 ADDITIONAL INFORMATION 2-6
2.3.1 Background Information Review 2-6
2.3.2 Facility Inspections 2-7
3 DEVELOPMENT OFTHE DRAFT PERMIT 3-1
3.1 GENERAL CONSIDERATIONS 3-1
3.1.1 Contents of a Permit 3-1
3.1.2 Importance of Documentation 3-1
3.2 COVER PAGE 3-3
3.3 EFFLUENT LIMITATIONS 3-3
3.3.1 Statistical Considerations for Limit Development 3-4
3.3.2 Overview of Industrial-Specific Limitations 3-5
3.3.3 Overview of Municipal-Specific Limitations 3-6
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3.4 MONITORING CONDITIONS 3-7
3.4.1 Considerations When Selecting Monitoring Requirements 3-8
3.4.1.1 Monitoring Points 3-8
3.4.1.2 Monitoring Frequency 3-8
3.4.1.3 Types of Sampling 3-9
3.4.1.4 Analytical Methods 3-11
3.5 STANDARD CONDITIONS 3-11
3.5.1 Types of Standard Conditions 3-12
3.6 SPECIAL CONDITIONS 3-14
3.6.1 Overview of Industrial-Specific Special Conditions 3-15
3.6.2 Overview of Municipal-Specific Special Conditions 3-15
3.6.3 Compliance Schedules 3-17
4 INDUSTRIAL PERMIT CONSIDERATIONS 4-1
4.1 INDUSTRY-SPECIFIC EFFLUENT LIMITATIONS 4-1
4.1.1 Effluent Limitations Guidelines 4-1
4.1.1.1 General Considerations With Respect to the Use of
Effluent Limitation Guidelines 4-3
4.1.1.2 Categorization 4-3
4.1.1.3 Production-Based Limitations 4-4
4.1.1.4 Tiered Permit Limits 4-6
4.1.1.5 Multiple Products or Multiple Categories 4-7
4.1.1.6 Mass Versus Concentration Limits 4-7
4.1.1.7 Net Credits 4-9
4.1.1.8 Variances 4-9
4.1.2 Best Professional Judgment Permitting 4-12
4.1.2.1 Establishment of BPJ Pollutant Limits Permits 4-13
4.1.2.2 BPJ Permitting Tools 4-14
4.2 INDUSTRY-SPECIFIC SPECIAL CONDITIONS 4-15
4.2.1 Best Management Practices 4-15
4.2.1.1 Best Management Practices in NPDES Permits 4-15
4.2.1.2 Specific Components of BMP Plans 4-16
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4.2.1.3 Specific BMPs 4-20
4.2.1.4 Best Management Practices and Pollution Prevention.... 4-20
5 MUNICIPAL PERMIT CONSIDERATIONS 5-1
5. l MUNICIPAL-SPECIFIC EFFLUENT LIMITATIONS 5-1
5.1.1 Secondary and Equivalent-to-Secondary Treatment Definition 5-3
5.1.1.1 New Facility Limitations 5-4
5.1.1.2 Calculation of Permit Limits for Equivalent-to-secondary
Facilities 5-4
5.1.1.3 Alternative State Requirements (ASRs) 5-5
5.1.1.4 Carbonaceous BOD Limits 5-8
5.2 MUNICIPAL-SPECIFIC SPECIAL CONDITIONS 5-9
5.2.1 Pretreatment 5-9
5.2.1.1 Statutory History 5-9
5.2.1.2 Objectives of the Pretreatment Program 5-9
5.2.1.3 Pretreatment Standards 5-10
5.2.1.4 Relationship of the Pretreatment Program to the NPDES
Program 5-13
5.2.2 Combined Sewer Overflows 5-15
6 WATER QUALITY-BASED PERMnnNG 6-1
6.1 WATER QUALITY STANDARDS 6-1
6.1.1 Use or Classifications of Waters 6-2
6.1.2 Water Quality Criteria 6-2
6.1.3 Antidegradation Policy 6-4
6.1.4 Other Policies 6-4
6.2 APPROACHES TO WATER QUALITY-BASED TOXICS CONTROL 6-4
6.2.1 Chemical-Specific Approach 6-5
6.2.2 Whole Effluent Toxicity Approach 6-5
6.2.3 Biological Criteria or Biological Assessment Approach 6-6
6.3 DETERMINATION OF THE NEED FOR A WQBEL 6-6
6.3.1 Determination of the Need for WQBELs With Effluent
Monitoring Data 6-7
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6.3.2 Determination of the Need for WQBELs Without Effluent
Monitoring Data 6-7
6.3.3 Uncertainty in Effluent Characterization by Generating Effluent
Monitoring Data Using Statistics 6-8
6.4 PROCEDURES FOR SETTING WATER QUALITY-BASED LIMITS 6-8
6.4.1 Waste Load Allocation and Exposure Assessment 6-8
6.4.1.1 Steady-State Models 6-9
6.4.1.2 Dynamic Models 6-11
6.4.2 Development of WQBELs From WLAs 6-12
7 SPECIAL TOPICS 7-1
7.1 STORM WATER CONSIDERATIONS 7-1
7.1.1 Storm Water Permit Applications 7-2
7.1.1.1 Facilities Required to Apply 7-2
7.1.1.2 Permit Application Requirements 7-4
7.1.1.3 Permit Application Deadlines 7-6
7.1.2 Permitting Activities 7-6
7.2 MUNICIPAL SEWAGE SLUDGE 7-7
7.2.1 Sewage Sludge Conditions in NPDES Permits 7-8
7.2.1.1 Establishment of Sewage Sludge Requirements on a
Case-by-Case Basis 7-9
8 ADMINISTRATIVE PROCEDURES 8-1
8.1 DOCUMENTION FOR DEVELOPMENT OF THE DRAFT PERMIT 8-1
8.1.1 General Considerations 8-1
8.1.2 Administrative Record 8-1
8.1.3 Fact Sheet Development 8-3
8.1.3.1 Requirements for the Development of a Fact Sheet 8-4
8.1.3.2 Basis Portion of a Fact Sheet 8-4
8.2 ITEMS TO ADDRESS PRIOR TO ISSUANCE OF A FINAL PERMIT 8-5
8.2.1 Public Notice 8-5
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8.2.1.1 Actions That Must Receive Public Notice 8-6
8.2.1.2 Scheduling of the Public Notice 8-6
8.2.1.3 Methods Applicable to the Public Notice Process 8-6
8.2.1.4 Contents of the Public Notice 8-7
8.2.2 Public Comments 8-7
8.2.2.1 Reopening of the Public Comment Period 8-8
8.2.3 Public Hearing 8-8
8.2.3.1 Conduct of Public Hearing 8-8
8.2.3.2 Public Notice of Public Hearing 8-8
8.2.3.3 Contents of Public Hearing 8-9
8.2.4 Issuance of Final Permit 8-9
8.3 ITEMS TO BE ADDRESSED AFTER FINAL PERMIT ISSUANCE 8-10
8.3.1 Permit Appeals 8-10
8.3.1.1 Role of the Permit Writer 8-10
8.3.2 Permit Modification, Revocation, and Transfer 8-11
8.3.2.1 Major Modifications 8-12
8.3.2.2 Minor Modifications 8-13
8.3.2.3 Termination of Permits 8-13
8.3.2.4 Transfer of Permits 8-14
9 PERMIT COMPLIANCE AND ENFORCEMENT 9-1
9.1 OVERVIEW 9-1
9.2 COMPLIANCE MONITORING 9-1
9.2.1 Compliance Review 9-2
9.2.2 Compliance Inspections 9-2
9.2 QUARTERLY NONCOMPUANCE REPORTS 9-3
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LIST OF EXHIBITS
EXHIBIT l-l: NPDES PERMITTING PROCESS 1-2
EXHIBIT 3-1: PERMIT CONTENTS 3-2
EXHIBIT 3-2: SECONDARY LIMITATIONS 3-7
EXHIBIT 3-3: TYPICAL MONITORING FREQUENCIES 3-9
EXHIBIT 3-4: CASE STUDIES ILLUSTRATING APPROPRIATE SAMPLING TYPES-IO
EXHIBIT 3-5: RESPONSIBILITIES UNDER THE PRETREATMENT PROGRAM . 3-16
EXHIBIT 4-1: STATUTORY DEADLINES FOR BPT, BAT, AND BCT 4-2
EXHIBIT 4-2: BPJ PERMITTING TOOLS 4-12
EXHIBIT 5-1: STATE-SPECIFIC ASRs 5-6
EXHIBIT 5-2: EXAMPLE POTW PRETREATMENT PROGRAM IMPLEMENTATION
REQUIREMENTS 5-14
EXHIBIT 5-3: TYPICAL COMBINED SEWER SYSTEM CONFIGUATION s-16
EXHIBIT 6-1: MASS BALANCE WATER QUALITY CALCULATIONS 6-10
EXHIBIT 7-1: PERMIT APPLICATION DEADLINES 7-7
EXHIBIT 7-2: EPA REGULATIONS FOR SLUDGE MANAGEMENT 7-10
EXHIBIT 7-3: POLLUTANTS ADDRESSED IN STATE OR FEDERAL
GUIDANCE 7-11
LIST OF APPENDICES
APPENDIX AGLOSSARY
APPENDIX BOUTLINE OF 40 CFR PART 122
APPENDIX CINDEX TO NPDES REGULATIONS
APPENDIX DNPDES PERMIT APPLICATION TESTING REQUIREMENTS
APPENDIX EPRIORITY POLLUTANTS
APPENDIX FSIC CODE AND CRF CROSS REFERENCE
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1. INTRODUCTION TO THE NPDES PROGRAM
i.l PURPOSE AND FORMAT OF THIS MANUAL
The purpose of this manual is to provide basic training in the writing of a National
Pollutant Discharge Elimination System (NPDES) permit. It is designed for new permit
writers, but may also serve as a refresher for experienced permit writers. The manual will
also be useful for anyone who has an interest in the NPDES permit program and how it
operates.
The format used in presenting this material follows the actual process of writing an
NPDES permit, from the time an application is received, through the time a permit becomes
final (See Exhibit 1-1 for a description of the NPDES permitting process). The significant
permit-related issues, such as evidentiary hearings, which may arise after permit issuance,
are also discussed. Thus, the chapters are presented in the sequence in which the events
would actually take place. Related topics are discussed at the point in the process other
these items would normally be addressed by the permit writer.
It is recognized that each U.S. Environmental Protection Agency (EPA) Regional office
or approved State will have NPDES permit processing procedures specially adapted for a
specific geographical area that incorporate local requirements. Therefore, it is the purpose of
this manual to explain only the elements of the program common to any State or Regional
office that issues NPDES permits. Particular emphasis is given to areas that historically have
been difficult steps in the permit process. To the extent possible, practical examples are used
to demonstrate the concepts discussed. The overall approach is designed to make the
process clearer and the relevant information more accessible to the permit writer.
1.2 OVERVIEW OF THE NPDES PROGRAM
The NPDES permit program is authorized by Section 402 of the Clean Water Act
(CWA) and is implemented through the 40 Code of Federal Regulations (CFR) Parts 122
through 124. Other parts of the CFR affecting the NPDES program include:
40 CFR Part 125 (technology-based standards)
40 CFR Part 129 (toxic pollutant standards)
40 CFR Part 130 (water quality management plans)
40 CFR Part 131 (water quality-based standards)
40 CFR Part 133 (sewage secondary treatment regulations)
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EXHIBIT i-ii NPDES PERMTTTING PROCESS
Denied
Denied
Opportunity for
Informal Appeal to
the Administrator
No Appeal
Application for NPDES Permit
Issuance, Modification, Revocation
and Reissuance, or Termination
Granted
Application Review for
Completeness and Accuracy
Complete and
Accurate.
Fact Sheet or Statement of Basis
and Public Notice
Opportunity for Public Comment
Widespread,
Significant
Public Interest
Public Hearing
L
Final Permit Decision
Request for an
Evidentiary
Hearing
Decision on Evidentiary Hearing
Additional
Information Needed
No Significant,
Widespread Public
Interest
No Request for an
Evidentiary Hearing
Granted
Opportunity for
Informal Appeal to
the Administrator
FormaLAppeal to Administrator
Appeal
Administrators Decision
Final Agenc Action
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40 CFR Part 135 (citizen suits)
40 CFR Part 136 (snalytical procedures)
40 CFR Part 257 (sludge disposal regulations)
40 CFR Part 401 (general effluent guidelines provisions)
40 CFR Part 403 (general pretreatment regulations)
40 CFR Parts 405-471 (effluent limitation guidelines)
40 CFR Part 501 (sludge permitting requirements)
40 CFR Part 503 (sewage sludge disposal standards).
The regulations contained in the CFR are an annually codified version of the
promulgated regulations provided in the Federal Register. The Federal Register is the
vehicle by which EPA and other branches of the Federal Government provide notice of,
propose, and promulgate regulations. Although the regulations in the CFR provide a
comprehensive source, they do not provide much of the background and implementation
information that is provided in the preamble to the regulations contained in the Federal
Register. It is very helpful for the permit writer to have a basic understanding of these
documents. They are important to the permit writer because they explain what permit writers
can and cannot do.
The NPDES program requires permits for the discharge of pollutants from any point
source into waters of the United States. The following definitions are contained in 40 CFR
122.2:
Pollutant-Dredged spoil, solid waste, incinerator residue, filter backwash, 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.
Waters of the United States-All waters that are currently used, were used in the
past, or may be susceptible to use in interstate or foreign commerce, including all
waters subject to the ebb and flow of the tide. Waters of the United States include
but are not limited to all interstate waters and intrastate lakes, rivers, streams
(including intermittent streams), mudflats, sand flats, wetlands, sloughs, prairie
potholes, wet meadows, playa lakes, or natural ponds.
Point Source-Any discernible, confined, and discrete conveyance, including but not
limited to, any pipe, ditch, channel, tunnel, conduit, well, discrete fissure, container,
rolling stock, concentrated animal feeding operation, landfill leachate collection
system, vessel, or other floating craft from which pollutants are or may be discharged.
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If a facility discharges pollutants from any point source into U.S. waters, then the
operator of that facility must submit an application requesting a permit to the NPDES
permitting authority. Once issued, a permit is basically a license to discharge a specified
amount of pollutants into waters of the United States under certain conditions. The permit is
drafted and issued either by 1 of the 10 EPA Regions or by an NPDES authorized State or
Territory. States and Territories may obtain the authority to issue NPDES permits by
meeting certain technical, administrative, and legal requirements. But not all States or
Territories with authority to implement the basic NPDES program (municipal and industrial)
have approval for all program categories (i.e., Federal facilities, pretreatment, general
permits, and municipal sewage sludge). Except for sludge, the State or Territory must be
authorized to implement the basic NPDES program before approval will be granted to
implement the other program categories. The State or Territory may apply concurrently for
several programs, including the basic NPDES program. Once the permit is issued to a
facility, the permit is enforced through a combination of self monitoring (requirements in the
permit) and compliance monitoring. If the facility is out of compliance with the permit
requirements, then the facility is subject to enforcement actions, which may include both
monetary penalties and imprisonment.
1.3 EVOLUTION OF THE NPDES PROGRAM
The NPDES program has evolved from numerous legislative initiatives dating back to
the mid-1960s. In 1965, Congress enacted legislation requiring States to develop water
quality standards for all interstate waters by 1967. Despite increasing public concern and
increased Federal spending, just over half of the States had fully approved programs
establishing water quality standards by 1971. This lack of success in developing adequate
water quality standards programs, combined with ineffective enforcement of Federal water
pollution legislation and the effectiveness of the environmental movement, prompted the
Federal Government to advance the Refuse Act Permit Program (RAPP) in 1970 under the
Rivers and Harbors Act of 1899 as a vehicle to control water pollution.
RAPP required any facility that discharged wastes into public waterways to obtain a
Federal permit specifying abatement requirements from the U.S. Army Corps of Engineers.
William Ruckelshaus, the first Administrator of EPA, endorsed the joint program with the
Corps soon after confirmation, and, on December 23, 1970, the permit program was mandated
through Presidential Order. EPA and the Corps of Engineers rapidly began to prepare the
administrative and technical basis for the permit program. However, unanticipated problems
plagued the program almost immediately.
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In December 1971, RAPP was struck down by a decision of the Federal District Court in
Ohio (Kalur v. Resort, which held that the issuance of a permit for an individual facility could
require the preparation of an environmental impact statement under the National
Environmental Policy Act (NEPA) of 1969. The concept of a permit program survived,
however, and, in November 1972, Congress amended the Federal Water Pollution Control
Act to include the NPDES permit program as the centerpiece of a national water pollution
control effort
The enactment of the 1972 Amendments to the Federal Water Pollution Control Act,
also referred to as the CWA, marked a distinct change in philosophy of water pollution control
in the United States. The 1972 amendments maintained water quality-based controls, but
placed a greater emphasis on a technology-based or end-of-pipe control strategy. This shift
in emphasis from water quality to technology was demonstrated by a corresponding shift in
the relative importance of water quality standards and effluent limitations.
The first round of NPDES permits issued between 1972 and 1976 provided for control of
a number of traditional pollutants but focused on 5-day biochemical oxygen demand (BOD5),
total suspended solids (TSS), pH, oil and grease, and some metals by requiring use of Best
Practicable Control Technology Currently Available (BPT). The CWA established a July 1,
1977, deadline for all facilities to be in compliance with BPT. Additionally, the compliance
deadline for installing Best Available Technology Economically Achievable (BAT) was July 1,
1983. A majority of all major permits issued to industrial facilities in the first round of
NPDES permitting contained effluent limitations based on Best Professional Judgment (BPJ)
because regulations prescribing nationally uniform effluent limitations were generally
unavailable. The second round of permitting in the late 1970s and early 1980s began to
emphasize the control of toxics but, due to the lack of information on their treatability, failed
to complete the task.
The 1977 amendments to the legislation, known formally as the Clean Water Act of
1977, shifted emphasis from controlling conventional pollutants to controlling toxic
discharges. This era of toxic pollutant control is referred to as the third round of permitting.
The concept of BAT controls was clarified and expanded to include toxic pollutants. Hence,
the compliance deadline for BAT was extended to July 1, 1984. The conventional pollutants
(BOD5, TSS, pH, fecal coliform, and oil and grease) controlled by BPT in the first round of
permitting were subject to a new level of control, termed Best Conventional Pollutant Control
Technology (BCT). The compliance deadline for meeting BCT was also July 1, 1984.
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On February 4, 1987, Congress amended the CWA with the Water Quality Act (WQA)
of 1987. The amendments outline a strategy to accomplish the goal of meeting water quality
standards set by the States. The WQA requires all States to identify waters that are not
expected to meet water quality standards after technology-based controls on point sources
have been imposed. The State must then prepare an individual control strategy to reduce
toxics from point and nonpoint sources to meet the water quality standards. Among other
measures, these plans are expected to address control of pollutants beyond technology-
based levels. The strategy will require both biological and chemical methods to address the
toxic and nonconventional pollutants from industrial and municipal sources.
The WQA once again extended the time to meet BAT and BCT effluent limitations. The
new compliance deadline was March 31, 1989. The WQA established compliance dates for
industrial and municipal storm water discharges. Industrial storm water discharges must
meet the equivalent of BCT/BAT effluent quality. Municipal storm water discharges are
required to meet standards based on control to the maximum extent practicable. Additionally,
the WQA required EPA to identify toxics in sewage sludge and establish numerical limits to
control these pollutants. The WQA also established an antibacksliding requirement that
would not allow an existing permit to be modified or reissued with less stringent effluent
limitations, standards, or conditions than those already imposed. There are a few exceptions
for BPJ-based limits but in no case can the limits be less stringent than existing effluent
guidelines (unless a variance has been granted) or violate water quality standards.
Furthermore, the WQA made civil and criminal judicial penalties more stringent, increasing
the maximum penalty for knowing endangerment to a fine of $250,000 and/or imprisonment for
15 years.
The challenge for the NPDES program in the 1990s is to maintain the momentum
established in the 1970s and 1980s in the face of increasingly complex permitting issues and
limited permitting resources.
1.4 TYPES OF NPDES PROGRAM AUTHORITY
NPDES program authority can be divided into five elements:
Basic municipal and industrial permit program
Pretreatment program
Federal facilities program
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.
General permit program
Sludge permit program.
These programs require that EPA grant specific authority to States to administer each
program. The following subsections discuss these components.
1.4.1 Basic Municipal and Industrial Permit Program
As stated previously, anyone who wishes to discharge pollutants into waters of the
continental United States must obtain an NPDES permit. Certain elements are common to
any NPDES program, regardless of the type of wastewaters being regulated. However, there
are also some significant differences. Generally speaking, municipal wastewaters include the
sanitary wastes from residential and commercial sources, and industrial wastewater refers to
wastes generated as the result of an industrial process.
Municipal wastewaters contain primarily biodegradable organic matter and, thus,
treatment processes typically combine simple settling (primary treatment) with biological
treatment (secondary treatment). In biological treatment, microorganisms biochemically
oxidize the wastewaters. Industrial treatment technologies may be similar to those used in
municipal treatment systems or they may be quite different. Permit limitations are designed
to control levels of the parameters of concern whether from municipal or industrial sources.
For example, at the municipal wastewater treatment facility, sanitary wastes are
treated in a publicly owned treatment work (POTW) and discharged to a receiving stream. In
an industrial plant, process wastes are treated in a specially designed treatment facility and
the treated process wastewater is discharged to a receiving stream. Because the composi-
tion of the wastewater is different in each of these situations, different treatment technologies
would be employed. The final treated effluents would be reflective of the type of wastewater
being treated and, thus, a different set of NPDES conditions would apply in each case.
In general, the information presented in the following chapters is applicable to both
municipal and industrial NPDES permits. If specific considerations apply to only one type of
facility, it will be so noted.
EPA currently administers the NPDES program on Native American lands unless a
State is specifically authorized by EPA to do so. It is important to recognize, however, that
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during the next several years Native American Tribes, if they desire, may be authorized by
EPA to issue NPDES permits on Federal Native American reservations. The WQA of 1987
authorized EPA to treat Native American Tribes as States for purposes of the baseline
NPDES program (as well as the pretreatment, sludge, Federal facilities, and general permits
programs) and other CWA programs. Under the WQA of 1987, a Native American Tribe may
apply for authorization to operate these programs like any State after the Tribe qualifies for
treatment as a State by demonstrating four criteria: (1) Federal recognition as a Native
American Tribe, (2) capability to carry out substantial governmental powers and duties, (3)
authority over the surface waters of the Federal Native American reservation, and (4)
capability to administer the NPDES program.
1.4.2 Pretreatment Program
In actual practice, wastewaters are typically mixtures from different sources. This is
particularly true in a municipal setting, in which a portion of the wastewater discharged to a
POTW may be sanitary-type wastes from residential or commercial sources, while another
portion may comprise industrial process wastes. Because the treatment process employs a
biological process for the treatment of sanitary wastes, it is susceptible to upset from toxic
industrial wastes. Thus, it is often necessary to require pretreatment of industrial wastes,
which are discharged to municipal sewerage systems, to prevent a bypass of pollutants
through the treatment works or an upset to the operation of the treatment works. These
industrial discharges are called indirect discharges or industrial users because they go
through a municipal treatment system before being discharged to the receiving waters.
Pretreatment and other specific issues that are applicable only to a municipal NPDES
program will be discussed in more detail in Chapter 5.
1.4.3 Federal Facilities Program
The authority to administer the NPDES program to Federal facilities is an additional
programmatic responsibility for NPDES States. Federal facilities are installations that are
owned and operated by the U.S. government. EPA will permit Federal facilities if and only if
the State is not authorized to permit these facilities. The permit writer who is required to
prepare a permit covering a Federal facility should consult applicable guidance in order to
develop limitations that are adequate to control the wastes generated. For example, a Navy
facility that has a direct discharge from a metal finishing facility would be subject to
promulgated effluent limitation guidelines that apply to metal finishers. Hence, Federal
facilities are subject to effluent guidelines, to the extent that the facility is engaged in that
activity.
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1.4.4 General Permit Program
General permits are designed to enable the issuance of one permit covering a specified
class of dischargers within a defined geographic area. General permits apply the same set of
limitations to a group of similarly situated dischargers as would be imposed through
individual permits. Unlike the Federal facilities program, if an NPDES-authorized State is
not approved to implement the general permit program, EPA may not issue a general permit
in that State.
The geographic areas for which general permits are designed to cover should correspond
to existing geographic or political boundaries, such as the following:
Designated planning areas
Sewer districts
City, county, or State boundaries
State highway systems
Standard metropolitan statistical areas
Urbanized areas.
The types of sources that the general permit may be written to cover include:
Storm water point sources
A category of point sources having elements in common, such as facilities that:
- Are involved in similar operations
- Discharge the same types of wastes
- Require the same effluent limitations or operating conditions
- Require the same monitoring where tiered conditions may be used for minor
differences within class (e.g., size or seasonal activity)
- Are, according to the EPA/State more appropriately regulated by a general permit.
From an administrative standpoint, general permits are issued, modified, revoked and
reissued, or terminated in accordance with the procedures followed for individual NPDES
permits (see Chapter 8). Additional requirements for general permits may also be found in 40
CFR 122.28 of the NPDES regulations.
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1.4.5 Sludge Permit Program
EPA's sludge permitting program also requires special authorization. Sludge permits
are to be issued to treatment works, including POTWs and privately owned treatment works
that treat domestic sewage, and to other entities that control the quality of sewage sludge or
the manner in which it is disposed. The permitting regulations can be found at 40 CFR Part
122 for the Federal program and regulations for State program approval are at 40 CFR Parts
123 or 501 (depending on whether the State wishes to administer the sewage sludge program
under its NPDES program or under another program [e.g., a solid waste program]). The
technical regulations governing sewage sludge use and disposal are contained in 40 CFR Part
503.
1.5 INTRODUCTION TO NPDES TERMINOLOGY AND REGULATIONS
Prior to continuing with this manual, the permit writer should become familiar with the
typical terminology. Appendix A contains a glossary of the commonly used terms in this
textbook that are also used in the NPDES permitting program. Once the terminology is
familiar, the permit writer should proceed to become acquainted with the regulations that
govern the NPDES program. Appendix B provides an outline of the regulations contained in
40 CFR Part 122, and Appendix C contains an index, by subject, of the NPDES regulations.
These appendices will help the permit writer become more familiar with applicable regulations
and will become a useful resource for future permitting endeavors.
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2. THE APPLICATION FORM AND ADDITIONAL INFORMATION
2.1 THE APPLICATION PROCESS
2.1.1 Facilities Required to Obtain Permits
Anyone who discharges pollutants or proposes to discharge pollutants to waters of the
United States needs to obtain an individual permit. There are some exceptions, however,
including discharges that are covered under a general permit (40 Code of Federal Regulations
[CFR] 122.28) or those types of discharges that are excluded under 40 CFR 122.3 (e.g.,
certain discharges from marine vessels, nonpoint source runoff, and indirect discharges to
publicly owned treatment works [POTWs]).
Most direct dischargers have an existing permit but must reapply for a permit renewal
at least 180 days before their current permit expires. Renewals of existing permits far exceed
the number of new permit applications. New permit applications fall into two classes: new
sources and new dischargers. New sources are facilities constructed after New Source
Performance Standards have been promulgated. New dischargers are other new facilities
that did not begin discharging until after August 13, 1979. The glossary in Appendix A to this
document and 40 CFR 122.29 contain more detailed definitions of new sources and new
dischargers.
2.1.2 Forms Used in Applying for a Permit
The type of application forms that existing and new dischargers must complete has
changed as the National Pollutant Discharge Elimination System (NPDES) program has
evolved. The older forms will eventually be replaced by revised application forms. The
following forms are currently being used:
Form 1 is a general form used in combination with all other NPDES permit
applications. It provides general information, such as the name of the facility,
location, and contact person.
Form A and Short Form A are used by POTWs. Form A is used for major
dischargers and Short Form A is used for minor dischargers. Definitions of major and
minor are on the application forms.
Form 2B is used by concentrated animal feeding operations or aquatic animal
production facilities.
Form 2C is used by existing industrial dischargers, including privately owned waste
treatment facilities and water treatment plants whether publicly or privately owned,
that discharge process wastewater.
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Form 2D is used for new manufacturing, mining, and commercial discharges (major
and minor) that discharge process wastewater.
Form 2E is used for new or existing industrial dischargers that do not discharge
process wastewater.
Form 2F is used for new or existing municipal and industrial dischargers that are
required to apply for discharges consisting of storm water only.
Approximately 48,000 facilities currently use Form 2C; 15,000 of the 48,000 are
expected to be able to use Form 2E. About 2,900 facilities use Form 2B (animal feed lot
permits) and new industrial dischargers using Form 2D are expected to remain in the
hundreds.
As the number of permits for existing sources far exceeds all other types of discharge
permits, the processing of Form 2C will be the main topic of concern, with respect to
industrial discharges. Many of the comments are also applicable to Form A and Short Form A
for POTWs.
2.1.3 Application Deadlines
The Federal regulations contained in 40 CFR 122.21 require that applications for new
discharges be made 180 days before discharges actually begin. Applications for permit
renewals must be made at least 180 days before the expiration of the existing permit.
Individual States, however, may have slightly different schedules. Furthermore, the State
Director or the Regional Administrator may allow individual applications to be submitted at
dates later than these but not later than the expiration date of the existing permit.
2.2 REVIEW OF THE APPLICATION
The principle aspects of application review are checking for completeness and for
accuracy. Because the draft permit is based upon the information included in the application,
the application must be complete and accurate. This point cannot be stressed strongly
enough. Experience from permit writers across the country has shown that this can be an
especially troublesome part of the process. Owners of facilities that are required to file an
application are sometimes unfamiliar with the application form. For an existing facility, it is
possible that the forms that must be used for reissuance are different than the forms used at
the time the permit was originally issued.
A considerable amount of correspondence may be required before the permit writer
obtains an application that can be considered complete and accurate. Some offices use
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checklists for reviewing application forms. In addition, it is often useful to send form letters to
applicants when certain portions of the application are either missing or inadequate. As the
permit writer gains experience in writing permits, he or she will be able to better detect
omissions and errors in the permit application form.
2.2.7 The Complete Application
At a minimum, the application form must have all applicable spaces filled in.
Instructions for the form state that all items must be completed and that the statement not
applicable (NA) be used to indicate that the item had been considered. Blanks on the form
can occur for a number of reasons, such as:
The response was inadvertently left out
The applicant had difficulty determining the correct response and rather than provide
misleading or incorrect information, left the space blank.
A response to the blank items must be obtained by contacting the facility in writing or,
in some cases, by telephone. Because of the administrative record (this topic is discussed
more fully in Chapter 8) that must be maintained in the processing of an application, and the
possibility of hearings, only minor items should be handled by telephone, and even these
must be documented in writing. Returning the application to the applicant for completion is
the preferred method. Of course, to save some processing time, a new application could be
submitted after the applicant has been advised of the need.
If the changes or corrections to any application are extensive, the applicant may be
required to submit a new application. Supplementary information, such as more detailed
production information or maintenance and operating data of a treatment system, may also be
required to process the permit (supplementary information can also be obtained at a later
date when the permit writer is actually drafting the permit). An application is considered to
be complete when the permit writer is satisfied with all submitted materials.
All applicants are required to submit a map as an attachment to Form 1. Often, this
item is overlooked. Other industrial- or municipal-specific information is also often omitted.
For example, industrial applicants sometimes fail to submit a process line diagram required
by Part HA of Form 2C. This piece of information is important to ensure that the location and
description of the outfalls and the description of processes (Parts I and IIB of Form 2C) given
by the applicants correspond to the map and the process line diagram. Municipal applicants
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commonly overlook the submittal of whole effluent toxicity (WET) testing, as required by
1990 amendments to the regulations. WET testing is required from municipal applicants with
greater than one million gallons per day flow or with an approved pretreatment program. The
results of this testing may demonstrate the need for further WET testing, WET limits, or
both.
Many of the omissions also typically occur in the sections of the application which
requiring data submissions. Applicants may fail to submit data necessary to properly
characterize the facility. Examples of the types of data that the permit writer will need to
obtain before the application can be considered complete are given below:
Are required toxic organic pollutants (gas chromatograph/mass spectrometer
[GC/MS] fractions) listed?
- Example: An application from a plastics processor fails to list any GC/MS
fraction.
- Discussion: A plastics processor is required to test for the volatile GC/MS
fraction (Table 2C-2 in the application form instructions and 40 CFR
122.21(g)(7)(ii)(A) of the NPDES regulations).
Are required heavy metals listed?
- Example: A primary felt producer marks thallium and beryllium as believed absent
in the wastewater.
- Discussion: Although thallium and beryllium are not expected to be found in a felt
producer's discharge, page 2C-3 of the application form instructions and 40 CFR
122.21(g)(7)(ii)(B) require testing for these metals. Occasionally, unexpected
contaminants will be present in a waste stream due to poor housekeeping, unusual
production methods, or for other reasons. The comprehensive testing
requirements that apply to the various categories of industry are designed to
determine whether any unexpected contaminants are present in significant
quantities, as well as to determine levels of pollutants that are known to be
present. In the above example, the submission is incomplete because additional
information is needed and "believed absent" is wrongly indicated.
Are all expected pollutants listed?
- Example: A producer of wood-resin-based derivatives does not indicate the
presence of zinc in his wastewater.
- Discussion: Zinc is used as a catalyst in the production of wood-resin-based
derivatives. This type of information can be found in the effluent limitations
development documents. Testing for zinc is also required.
- Practical Exercise: Consider the plastics processor, the felt producer, and the
producer of wood-resin-based derivatives, mentioned above, and answer the
following questions:
- - For which toxic organic pollutants are they required to test?
- - For which heavy metals are they required to test?
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- - Which metals would you expect to find in their wastewaters regardless of
whether testing is required or not?
- Discussion: The application form in Table 2C-2 and 40 CFR 122.21(g)(7)(ii)(A)
of the NPDES regulations require testing of the volatile GC/MS fraction by the
plastics processor, and testing of all four GC/MS fractions by the felt producer and
the producer of wood-resin-based derivatives. Page 2C-3 of the application
instructions and 40 CFR 122.2 l(g)(7)(ii)(B) require testing of all of the heavy
metals listed in item V part Cl of the application form by all three manufacturers.
For the expected metals, see the effluent limitations development documents for
information.
Since many applicants particularly fail to submit all required effluent monitoring data due
to interpretations of regulations, Appendix D provides a summary of required effluent data.
2.2.2 The Accurate Application
All information submitted on a permit application should be accurate, in addition to being
complete. Although it may be difficult to detect certain inaccuracies, a number of common
mistakes and omissions can be readily detected. When mistakes are detected, they must be
corrected. The permit writer should follow the same procedures for correcting inaccurate
information as are used for obtaining missing information. The following examples reflect the
type of review that the permit writer must conduct:
Do the concentration, mass, and flow values correspond?
- Example: Suppose the maximum daily flow is shown as 1.2 million gallons per
day, the maximum daily suspended solids is 23 milligrams per liter (mg/1), and the
maximum daily mass discharge is reported as 230 pounds per day (Ibs/day).
- Discussion: In this case, the maximum daily flow and concentration supposedly
occurred on the same day to give the maximum daily discharge. While the
maximum flow and the maximum concentration can occur on the same day, it is an
unlikely event. Accordingly, when the data on the Form 2C application indicate
tfiat this has happened, the permit writer should investigate whether this is the
case or it is an error. The same holds true for the maximum 30-day values,
although it is a somewhat more likely occurrence.
Do the reported values correctly correspond to the existing permit and previous
application, monitoring data, waiver requests, and effluent guidelines development
documents?
- Example: The previous permit had a limitation of 38 Ibs/day for oil and grease.
The application reports an average of 3.3 Ibs/day.
- Discussion: There is apparently a problem in calculation here. It could be simply
a shift in the decimal point or it could involve some other type of error. It also
could represent a significant change in production techniques or treatment
efficiencies.
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Do concentration values correspond with analytical detection limits?
- Example: The acid GC/MS fraction (phenols) compounds are all reported as less
than 1 mg/1.
- Discussion: The detection limits for the compounds in this fraction are all near
0.01 mg/1. Probably the 4AAP method for phenols was used, rather than the
required testing procedure using GC/MS.
2.3 ADDITIONAL INFORMATION
In addition to the formal application form, the permit writer should consider other
sources of information for development of a draft permit. A review of background information
and a facility inspection are valuable sources of information.
2.3.1 Background Information Review
The permit writer should consider any additional background information on the facility
that may be relevant. Much of this information may already be available in the permit file or
office.
File information includes the current permit, the rationale for the current permit (if one
was prepared), Discharge Monitoring Reports (DMRs), compliance inspection reports, any
correspondence concerning compliance problems, any information on changes in plant
conditions, and communications with other agencies. Much of this information, particularly
DMR data, may be already stored in various automated data tracking systems (see
Chapter 9). The permit writer should use these sources of information whenever they are
available. Other information present in the office should include effluent guidelines, related
development documents, reference textbooks on specific industry categories, the U.S.
Environmental Protection Agency's (EPA's) Treatability Manual, State Water Quality
Standards, and receiving water quality data such as that available from the Storage and
Retrieval data base (STORET). The permit writer should also consider reviewing the other
environmental permit information, if appropriate, such as Resource Conservation and
Recovery Act (RCRA) permit files.
This information should be reviewed for completeness. As needed, supplemental data
may be requested from various State Agencies, EPA's Engineering and Analysis Division,
and the applicant.
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2.3.2 Facility Inspections
For the permit writer to gain an adequate understanding of more complex facilities, a
facility visit is highly recommended. This is especially warranted if significant pollution
control or treatment improvements will be required, there have been frequent problems in
complying with the present permit, there are known problems with spills or leaks or with
contaminated surface runoff, or there is onsite treatment storage or disposal of hazardous
wastes. As noted previously, the information from other environmental programs (e.g.,
Comprehensive Environmental Response, Compensation, and Liabilities Act; RCRA) may be
important in this regard.
The inspection should include a detailed review of production processes in order to
evaluate what toxic or hazardous substances may be present in raw materials and associated
contaminants, as well as in products and byproducts. The water uses, the resulting
wastewater streams, and any in-process pollution controls should be reviewed. This
information is needed to assist in selecting toxic pollutants to be limited and in evaluating
possible in-process control improvements.
In addition, the inspection should include a review of wastewater treatment facilities,
their performance and operation, and maintenance practices. This is useful in evaluating the
adequacy of existing treatment performance in assessing the feasibility of improvements and
in assessing performance data. Effluent monitoring points, sampling methods, and analytical
techniques should be reviewed to define any needed changes to monitoring requirements and
to evaluate the quality of DMR data.
Raw material and product storage and loading areas, sludge storage and disposal areas,
hazardous waste management facilities, including onsite disposal areas, and all process
areas should be observed to determine the need for controls on surface runoff and for specific
best management practices.
The time required to conduct an adequate inspection will vary according to the
complexity of the facility. For facilities with only a few basic processes, one main waste
treatment system, limited in-process controls, few surface runoff outfalls, and limited onsite
management of sludges or hazardous wastes, an adequate inspection can be completed in
one day. Complex, larger plants with several treatment systems, numerous outfalls, and
extensive ancillary activities may require several days to inspect.
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Time spent on plant inspections often results in time savings during permit preparation.
However, time and/or travel resources are generally not adequate to allow inspection of all
facilities. In such cases, the permit writer may be able to obtain much of the desired
information from the next (or previous) compliance monitoring inspection. This requires
advance planning to review the permit application and background information so that the
compliance inspector can be alerted to specific information needs.
Aerial photographs are an excellent aid for conducting a plant inspection and may
provide much of the needed information on the potential for contamination of surface runoff and
on ancillary activities in the absence of an inspection. Aerial photographs may be obtained
from a variety of sources, including the Environmental Services Division in some EPA
Regions, the National Enforcement Investigation Center, EMSLLas Vegas, Nevada, the
Environmental Photo Interpretation LabVint Hill, Virginia, and private contractors.
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3. DEVELOPMENT OF THE DRAFT PERMIT
3.1 GENERAL CONSIDERATIONS
3.1.1 Contents of a Permit
Once the permit writer is satisfied that a complete and accurate application has been
received and necessary background information has been obtained, he or she may proceed to
the next step: drafting the actual National Pollutant Discharge Elimination System (NPDES)
permit conditions. This step is the heart of the process and may require a considerable
expenditure of time and effort on the part of the permit writer. The draft permit, at a minimum,
will consist of the following sections:
Cover page
Effluent limitations
Monitoring requirements
Standard conditions
Special conditions.
Although these sections compose all permits, the contents of some of these sections
will vary depending on whether the permit is to be issued to a municipal or industrial facility.
Exhibit 3-1 shows the industrial- and municipal-specific contents that should be considered.
Chapter 4 discusses the industrial-specific content; Chapter 5 discusses the municipal-
specific content.
3.7.2 Importance of Documentation
During the course of developing the draft permit, the permit writer should remember the
importance of carefully documenting each step in the process for several reasons for this. It
will assist the permit writer in developing the permit in a thorough and logical fashion. In
addition, it will become part of the official record with respect to the facility and will serve to
explain the rationale for the permit limits and to counter any challenges to the derivation of
the permit terms and conditions. Furthermore, new staff members who become involved in
the permit process must be able to clearly determine the history of various facilities.
As a general rule, it is better to thoroughly document every step of the permit drafting
process than to rely on one's memory or on an abbreviated administrative record (this subject
is discussed in more detail in Chapter 8).
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EXHIBIT 3-1: PERMIT CONTENTS
INDUSTRY-SPECIFIC
COMPONENTS
COMPONENTS OF ALL
PERMITS
MUNICIPAL-SPECIFIC
COMPONENTS
N>
BMPs
COVER PAGE
Effluent guidelines
BPJ
.:; EFFLUENfltiMif AfMfifti
Technology-based
Water quality-based
Secondary
Equivalent-to-secondary
I
STANDARD
CONDITIONS
MONITORING
JflEQUlREMENTS
SPECIAL CONDITIONS
Compliance schedules
Storm water
Reopener clauses
Additional monitoring
Pretreatment
CSOs
Municipal sewage sludge
Inflow and infiltration
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3.2 COVER PAGE
The first page of every NPDES permit is the cover page. The cover page typically
contains facility identification information and a statement authorizing the discharge(s). It is
generally printed on official letterhead or stationery to give it a measure of distinction. A
cover page is different from the transmittal page/letter used to convey the permit.
Permitting authorities typically have a standard boilerplate format and language for use
in drafting the cover page. In most cases, the cover page contains relevant general
information including:
Name and location/address of the permittee
A statement granting authorization to discharge in compliance with the terms and
conditions of the permit
A listing of the specific locations from which and specific receiving waters to which
a discharge is authorized
An effective and expiration date
The signature of the permitting authority and the date of issuance.
Each of these components is integral to ensure that the NPDES permit is legally
enforceable. The cover page is the most sensible location for this information because it
ensures that relevant identifying and authorization information is readily accessible. It is also
important that the information contained on the cover page is accurate. Drafting the cover
page improperly may have significant ramifications regarding permit enforceability. Some
common errors in drafting the NPDES permit cover page include:
An incorrect name or location description (address) of the permittee
Failure to properly identify the outfalls and the receiving waters
Failure to limit the duration of the permit to 5 years
An improperly authorized signature on the permit.
3.3 EFFLUENT LIMITATIONS
Effluent limitations are the heart of the NPDES permit. They act as the primary
mechanism to control the discharges of pollutants to waters of the United States. In general,
the majority of the permit writer's time is spent determining and developing appropriate
effluent limitations based on technology and water quality factors.
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Technology-based limits pertain to both industrial and municipal facility categories.
Technology-based permit limits for industrial facilities are derived from effluent limitations
guidelines (ELG) or Best Professional Judgment (BPJ), whereas technology-based permit
limits for municipal facilities, referred to as publicly owned treatment works (POTWs), are
derived from secondary treatment standards. In all cases, technology-based limits represent
the best treatment a facility can install within the economic means of the industry/municipal
facilities as a whole (in the case of ELGs/secondary treatment) or of a specific industrial
facility being permitted (in the case of BPJ). Technology-based limitations vary dependent on
the nature of the discharge and on the type of facility. An overview of industrial- and
municipal-specific technology limitations are provided in this Section. However, Chapters 4
and 5 provide detailed permitting considerations for industries and municipalities
respectively.
The Clean Water Act (CWA) and the U.S. Environmental Protection Agency (EPA)
regulations require water quality-based limitations in permits when more stringent limits
than technology-based effluent guidelines are necessary in order to protect the "designated
use" of the receiving water. The permit writer must calculate both technology-based permit
limits and water quality-based permit limits for each parameter and impose the most
stringent limit in the permit. Water quality-based limits are generally more difficult to
develop than effluent guidelines because they involve a site-specific evaluation of the
discharge and its effect on a receiving stream. Water quality-based limits are applicable to
all facility categories. Chapter 6 thoroughly discusses water quality-based permitting.
3.3.7 Statistical Considerations for Limit Development
The quality of the effluent from a treatment facility will normally vary over time. If 5-day
biochemical oxygen demand (BODs) data for a typical treatment plant are plotted against
time, the day-to-day variations of effluent concentrations can be seen. Some of this behavior
can be described by constructing a frequency-concentration plot. From this plot, one can see
that for most of the time, BODs concentrations are near some average value. Any treatment
system can be described using the mean concentration of the parameter of interest (i.e., the
long-term average) and the variance (or coefficient of variation) and by assuming a particular
statistical distribution (usually lognormal).
Permit limits are generally set at the upper bounds of acceptable performance.
Requirements are usually expressed using two expressions of permit limitsan average
limit and a maximum limit. The use of average and maximum limits can vary depending on the
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effluent guidelines and water quality criteria that are consulted. Instantaneous maximums,
daily averages and daily maximums, weekly averages, and monthly averages are all
commonly used limitation expressions. Generally, the definitions are consistent with those
set forth in Appendix A.
If permit limits are set too lenient relative to the long-term average, a discharger not
complying with expected performance will not exceed the limits. If permit limits are set too
stringently, a discharger that is complying with expected performance may frequently exceed
the limits. It is important to note that statistical variability is already built in with respect to
the effluent limitation guidelines, and the permit writer may not perform a separate evaluation
in those cases where a permit limitation is derived from a guideline. When developing a BPJ
limit, regulatory agencies have settled on a statistical confidence rate of 1 to 5. These
confidence rates correspond to the 99th to 95th percentiles of a cumulative probability
distribution. The 99th percentile limit is less stringent than the 95th percentile limit. Thus, in
any single monitoring observation, a discharger running a properly operated and maintained
treatment facility has a 95 to 99 percent chance of complying with its permit limits .
3.3.2 Overview of Industrial-Specific Limitations
Effluent limitations for industrial dischargers are developed by three methods:
ELGs
BPJ
Water quality considerations.
Deriving effluent limitations based on water quality will be discussed in Chapter 6. The
use of ELG$ and BPJ when developing limitations are discussed in detail in Chapter 4.
However, it is useful to provide a brief overview in this chapter.
In general, derivation of limits based on ELGs is usually the most straight forward,
since it involves the application of a guideline that has already been technically derived (and
litigated). The location of applicable effluent guidelines requires a familiarity with several
sources of information, particularly the Federal Register. The Federal Register and the
codified version (Code of Federal Regulations [(CFR]) were discussed in Chapter 1. In
addition to the Federal Register, there are a number of documents that are useful to the
permit writer in the process of locating applicable guidelines and other background
information, including the development documents for the various industrial categories which
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are produced by EPA's Engineering and Analysis Division. Development documents contain
the rationale for the development of the effluent guidelines and include a considerable amount
of background information. In addition, the Engineering and Analysis Division has compiled a
document that summarizes and cross-references all of the currently promulgated guidelines.
BPJ-based limits are also technology-based limits but are derived on a case-by-case
basis, taking into account site-specific considerations. BPJ is used in cases where effluent
limitations guidelines are not available for or do not regulate a particular pollutant of concern.
Often, a permit will have limitations for parameters developed by different means and
occasionally the limitations on a single parameter will be derived through a combination of
methods. For example, an effluent may have total suspended solids limited by effluent
guidelines, oil and grease limited by BPJ, ammonia by aquatic toxicity (water quality
considerations), and BODs by effluent guidelines for part of the year and by water quality
considerations for the remainder of the year.
3.3.3 Overview of Municipal-Specific Limitations
Effluent limitations for municipal dischargers are developed by three methods:
Secondary limitations
Equivalent to secondary considerations
Water quality considerations.
Deriving effluent limitations based on water quality will be discussed later in this
chapter. Developing permit limitations based on secondary or equivalent to secondary
considerations are discussed in detail in Chapter 5. However, it is useful to provide a brief
overview in this chapter. Exhibit 3-2 summarizes secondary limitations. Equivalent to
secondary may be applied where sewage treatment plants use trickling filters or waste
stabilization ponds as the primary method of biological treatment and the secondary
limitations noted above cannot be met despite the treatment plant meeting appropriate design
standards. Equivalent to secondary limitations are slightly more difficult to apply since they
involve an analysis of appropriate design and operations of a plant, as well as the statistical
and economical bases of limitations.
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EXHIBIT 3-2: SECONDARY. LIMITATIONS
Parameter
BOD5
Total Suspended Solids (TSS)
Percent Removal
pH
30- Day Average
30 milligrams per liter (mg/1)
30mg/l
85% BOD5 and TSS
7-Day Average
45 mg/1
45 mg/1
N/A
Minimum 6.0 standard units (s.u.), Maximum 9.0 s.u.
As with an industrial permit, a municipal permit will often have limitations for different
parameters developed by different means. Thus, the most stringent limitations derived for
some parameters will be based on water quality and others on technology.
3.4 MONITORING CONDITIONS
After addressing the selection of permit limits, the permit writer's next task is to
establish monitoring requirements for these limits. Monitoring is truly the cornerstone of the
NPDES program.
It is important to understand that monitoring in the context of an NPDES permit is
primarily carried out by the permittee. The ideal situation would be one in which the
regulatory agency and/or an independent laboratory collected and analyzed samples from the
permittee's waste stream. Because this is not logistically or financially possible, however,
the burden falls to the permittee. Potential problems that can result from a self-monitoring
system include improper sample collection, poor analytical technique, falsification of records,
and other abuses of the system.
Several tools are available to the regulatory agency to prevent or minimize these
problems. Facility inspections are routinely performed by regulatory agency personnel and
should consist of a thorough inspection of the treatment facility. This visual observation of
the site will allow the inspector to determine whether the facility is capable of producing an
effluent that will meet its permit limits. The facility inspection should also include an
inspection of the laboratory facilities, including a review of the laboratory and sampling
techniques used and appropriate supporting records. Additionally, the regulatory agency
conducts compliance monitoring consisting of periodic sampling of a permittee's discharge. If
the compliance monitoring results differ significantly from those reported by the permittee, the
reasons for the discrepancy should be discovered and corrected. Chapter 9 discussed the
subject of compliance monitoring in more detail.
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3.4.1 Considerations When Selecting Monitoring Requirements
3.4.1.1 Monitoring Points
An integral part of the monitoring conditions for a particular facility are the monitoring
points. The point at which a sample is collected can have a dramatic effect on the monitoring
results for that facility. For example, a facility may have several waste streams from different
plant processes. The waste stream from a particular process may contain extremely high
amounts of a particular pollutant, which may reflect poor housekeeping, inadequate treatment
facilities, or other problems. When diluted with other waste streams from other parts of the
plant, resulting limitations may be below detectable levels. Thus, it may be necessary to
require internal monitoring points in order to detect these problem areas. Authority to
address internal waste streams is provided in 40 CFR 122.45(h). Ultimately, the permittee
is responsible for providing a safe and accessible sampling point that is representative of the
discharge; the permit writer is responsible for determining the most appropriate monitoring
location and explicitly specifying this in the permit.
3.4.1.2 Monitoring Frequency
Factors that need to be considered when determining monitoring frequency include:
Frequency of discharge
Design capacity of treatment facility
Type of treatment method used
Significance of the pollutants with regard to
- Post compliance record/history
- Cost of monitoring relative to discharger's capabilities.
State and EPA Regional offices usually recommend monitoring frequencies based on the
design capacity of the treatment facility. Exhibit 3-3 shows typical monitoring frequencies.
If the cost of monitoring is significant considering the capability of the discharger, the
frequency of some or all of the parameters can be decreased (the term significant, in this
context, can be related to the Work Book for Determining Economic Achievability for
National Pollutant Discharge Elimination System Permits'). This is especially true if some
other parameter will act as an indicator or surrogate (e.g., BOD5 acts as an indicator for the
priority pollutants in the Wood and Gum Chemicals category).
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EXHIBIT 3-3: TYPICAL MONITORING FREQUENCIES
Plant Capacity
(million gallons per day)
0-0.099
0.1-0.99
1.0-4.99
More than 5.0
Flow
Measure and record weekly
Measure and record daily
Measure continuously
Record daily flow
Measure continuously
Record daily flow
Other Parameters
Quarterly
Monthly
Weekly
Daily
In addition to monitoring pollutants that are limited in the permit, parameters may be
monitored to collect information. Monitoring may be done when insufficient information exists
to set a limit, but where past data indicates concerns. For example, a biomonitoring
requirement may be set on a semiannual basis, even though there is no effluent limitation for
toxicity units.
Useful tools for the permit writer in establishing monitoring requirements include
Abstracts of Industrial NPDES Permits, Permit Compliance System retrieval information from
facility inspections, and plant performance data, such as that contained in discharge
monitoring reports (DMRs).
3.4.1.3 Types of Sampling
In addition to establishing monitoring frequencies, the permit writer will need to
determine the type of sample required. There are basically two types of samples: grabs and
composite. Where the quality and flow of the waste stream being sampled is not likely to
change over time, a grab sample is appropriate. When the material being sampled varies
significantly over time either as a result of flow or quality changes, a composite sample is
desirable. There are two types of composite samples: (1) time-proportional, which
apportions sample aliquot volumes according to time (e.g., 250 milliters [mis] every 2 hours,
or 125 mis after 1 hour and 375 mis after 3 hours) and (2) flow-proportional, which apportions
sample aliquot volumes according to flow (e.g., 250 mis every 5,000 gallons of flow, or 50 mis
after 1,000 gallons of flow and 150 mis after 3,000 gallons of flow).
Three situations and the appropriate type of sampling in each case are presented in
Exhibit 3-4.
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EXHIBIT 3-4: CASE STUDIES ILLUSTRATING APPROPRIATE
SAMPLING TYPES
Case 1
Pollutant
Flow
Time Time
Slight daily fluctuation in pollutant concentration and flow
Recommendation: Grab samples (frequency depends on permit writer's judgment)
Case 1
s~\ s
Flow
Pollutant
Time Time
Regular fluctuations in pollutant loading over the course of the day
Very slight fluctuations in flow
Recommendation: 24-hour time-proportioned composites
Case 3
Pollutant
Flow
Time Time
Irregular fluctuations in pollutant loadings over the course of the day
Erratic fluctuations in flow
Recommendation: 24-hour flow-proportioned sample
As .shown in Exhibit 3-4, samples may be Composited by time or flow and a
representative sample will be assured. However, where both flow and pollutant
concentration fluctuate dramatically, a flow-proportioned composite sample should be taken
because a greater quantity of pollutant will be discharged during these periods. As an
alternative, time-proportioned samples may be taken with flow records used for weighing the
significance of various samples.
In addition to flow and loading variations dictating the type of samples collected, the
chemical and physical properties of a pollutant also prescribe sample types. For some
pollutants, the concentration of a pollutant may degrade or increase over time, thus resulting
in a composite sample not being reflective of the facility discharge. For example, the
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temperature of a discharge will approach the ambient air temperature over time. Another
scenario would be where the process of compositing a sample may result in losses caused by
pollutant residual adhering to container surfaces (e.g., oil and grease). Due to their
properties, parameters including oil and grease, sulfite, fecal coliform, fecal streptococcus,
volatile organic acids, dissolved oxygen, pH, temperature, chlorine, phenol, and cyanide may
be monitored more representatively by grab sample. Permit writers should be aware of the
properties of pollutants being regulated in order to determine when special sampling should
be conducted.
3.4.1.4 Analytical Methods
The analytical methods required in conjunction with monitoring requirements are usually
specified in the standard conditions of the permit. Analytical methods for industrial and
municipal wastewater pollutants must be conducted in accordance with the methods specified
pursuant to 40 CFR Part 136, which references one or more of the following:
Test methods in Appendix A to 40 CFR Part 136
Standard Methods for the Analysis of Water and Wastewater (Edition Referenced)
I
Methods for the Chemical Analysis of Water and Wastes
Test Methods: Methods for Organic Chemical Analysis of Municipal and Industrial
Wastewater.
The analytical methods contained in 40 CFR Part 136 are test methods designed only
for chemical-specific pollutants. For some parameters, it may be necessary to specify the
analytical methods required. For example, biomonitoring test procedures are not found in 40
CFR Part 136 so the permit writer will need to specify the methods. EPA has published
recommended toxicity test protocols in three manuals: Methods for Measuring the Acute
S
Toxicity of Effluents and Receiving Waters to Freshwater and Marine Organisms, Short-Term
Methods for Estimating the Chronic Toxicity of Effluents, and Receiving Waters to Marine
and Estuarine Organisms. The Agency is revising methods for chronic toxicity testing and
amending the regulations at 40 CFR Part 136 to add the whole effluent toxicity procedures to
the already promulgated analytical test methods.
3.5 STANDARD CONDITIONS
Standard conditions, sometimes called boilerplate conditions, will consist of pre-
established conditions that are the same for all permits. The standard conditions set out in
40 CFR 122.41 and 122.42 play an important supporting role with respect to the actual limits
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because these conditions delineate the legal, administrative, and procedural requirements of
the permit These conditions may be inserted verbatim from the regulations or incorporated
into the permit by specific reference to the regulations. Standard conditions cover various
topics, including definitions, testing procedures, records retention, notification requirements,
and permittee responsibilities.
3.5.7 Types of Standard Conditions
Standard conditions should incorporate applicable Federal and State statutes either by
reference or by recitation. The use of standard conditions helps ensure uniformity and
consistency of all permits issued by NPDES States or EPA Regional offices. The permit
writer needs to be aware of the contents of the standard conditions because it may often be
necessary to explain portions of these conditions to a permittee. The permit writer should
also keep abreast of any changes in EPA's standard conditions set out in 40 CFR 122.41 as
statutes or regulations are revised. Appendix A contains a list of definitions that are
typically included as standard conditions. A brief discussion of each of EPA's standard
conditions follows:
Duty to Comply [40 CFR 122.4J(a)JThe permittee must comply with all
conditions of the permit. Noncompliance is a violation of the CWA and is grounds for
injunctive relief, substantial monetary penalties, incarceration, changes or
terminations to the permit, or denial of permit renewal.
Duty to Reapply [40 CFR 122.41(b)JIf a permittee, after the expiration of its
permit, desires to continue its activities, it must reapply for and obtain a new permit.
Need to Halt or Reduce Activity not a Defense [40 CFR 122.41(c)]The permittee
may not use as a defense the reasoning that compliance could only be achieved by
halting or reducing the permitted activity.
Duty to Mitigate [40 CFR 122.41(d)]The permittee is required to take all
reasonable steps to prevent any discharge, use, or disposal in violation of this permit
that has a reasonable likelihood of adversely affecting human health or the
environment.
Proper Operation and Maintenance [40 CFR 122.41 (e)]The permittee must
properly operate and maintain all equipment and treatment systems used by the
permittee for compliance with the terms of the permit. The permittee must provide
appropriate laboratory controls and quality assurance procedures. Backup systems
are required when needed to ensure compliance. However, each main line unit
treatment process must be operated as a minimum.
Permit Actions [40 CFR 122.41(f)]The permit may be modified, revoked,
reissued, or terminated for cause. The filing of a request by the permittee for a
modification, revocation, reissuance, termination, or notification of planned changes or
anticipated noncompliance does not halt any permit condition.
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Property Rights [40 CFR 122.41(g)] Permittees have no property right in their
permit that may be revoked or terminated for cause without compensation to the
permittee.
Duty to Provide Information [40 CFR 122.41(h)J The permittee must transmit
any information needed to determine compliance with the permit or to modify the
permit
Inspection and Entry [40 CFR 122.41(i)J The permittee must, upon presentation
of valid credentials by the Director or his representative, allow entry into the
premises where the regulated activity and/or records are present. The Director must
have access to and be able to make copies of any required records, inspect facility
operations and equipment at reasonable times, and monitor discharges.
Monitoring and Records [40 CFR 122.41(j)] Samples must be representative of
the monitored activity. Records must be retained 3 years (5 years for sludge
activities) subject to extension by the Director. Monitoring records must identify the
sampling dates and personnel, the sample location and time, and the analytical
techniques used and corresponding results. Wastewater measurements must be
conducted in accordance with 40 CFR Parts 136 or 503 or other specified procedures.
Falsification of results is a violation.
Signatory Requirements [40 CFR 122. 41 (k)] Applications, reports, or information
submitted to the Director must be signed and certified. Knowingly making false
statement, representations, or certifications is subject to penalties.
Planned Changes [40 CFR J22.41(l)(J)J Notice must be given to the Director as
soon as possible of any planned physical alterations and/or additions to the facility.
This notice is required if the facility changes to meet the criteria for a new source or
the nature and concentration of pollutants are affected.
Anticipated Noncompliance [40 CFR 122.41(l)(2)J The permittee must give
advance notice of any conditions that may result in noncompliance.
Permit Transfers [40 CFR J22.41(l)(3)J The permit is not transferable except
after written notice to the Director. The Director may require modification or
revocation and reissuance, as necessary.
Monitoring Reports [40 CFR 122.4J(l)(4)J Reports must be submitted on a DMR
or on a Director-specified form for sludge use/disposal practices. In addition, more
frequent monitoring must be reported. Calculations requiring averaging must use an
arithmetic mean, except for fecal coliform. Monitoring results must be reported at the
frequency specified in the permit.
Compliance Schedules [40 CFR 122.41(l)(5)J Reports required by a compliance
schedule in the permit must be submitted within 14 days of the due date.
Twenty-Four Hour Reporting [40 CFR 122.41(l)(6)]The permittee must report
any noncompliance that may endanger human health or the environment within 24
hours after becoming aware of the circumstance. Within 5 days, the permittee must
provide a written submission containing the information outlined in 40 CFR
Bypass [40 CFR 122. 41 (m)] Intentional diversions of untreated waste streams
from any portion of a treatment facility are prohibited unless (1) the bypass does not
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cause exceedance of effluent limits, and (2) .the bypass was unavoidable to prevent
loss of life, personal injury, or severe property damage, and there was no feasible
alternatives, and the proper notification was submitted.
Upset [40 CFR J22.4J(n)JAn upset can be used as an affirmative defense in
actions brought to the permittee for noncompliance. The permittee (who has the
burden of proof) must have operational logs or other evidence that shows (1) when
the upset occurred and its causes, (2) that the facility was being operated properly,
(3) proper notification was made, and (4) remedial measures were taken.
3.6 SPECIAL CONDITIONS
Special conditions, as the name implies, are those conditions developed for the specific
permit under consideration. They are not included in the effluent limitations section because
they do not contain specific limits. Rather, they require that the permittee undertake
particular activities designed to reduce the quantity of pollutants being discharged or to
reduce the potential for discharges of pollutants. There are many different reasons to
incorporate special conditions, including the following:
Additional monitoring activities to alert the permit writer of the need to impose more
stringent limitations
A clause to increase or decrease monitoring, depending on the monitoring results or
certain changes in processes or products, etc.
Requirements to conduct special studies such, as ambient stream surveys, toxicity
reduction evaluations, bioaccumulation studies, sediment studies, dilution studies,
pollutant reduction evaluations, or other such information gathering studies.
This section provides a discussion of compliance schedules and an overview of
industrial-specific (e.g., Best Management practices [BMPs]) and municipal-specific (e.g.,
pretreatment, combined sewer overflows [CSOs]) special conditions. Additionally, the
special topics discussed in Chapter 7 (municipal sewage sludge and storm water) may also
be included as special conditions in some permits.
Ultimately, special conditions are designed to provide an additional measure of control
for the reduction of discharges to waters of the United States. As such, the permit writers
should not feel constrained to the special conditions discussed above. In many cases, the
special conditions section can be used to promote Agency initiatives and to foster compliance
with policies.
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3.6.1 Overview of Industrial-Specific Special .Conditions
The primary special condition found in industrial permits is a BMP. BMPs are designed
to provide, in lieu of numerical limits, a flexible approach in controlling releases of toxic and
hazardous pollutants to receiving waters.
There are two types of BMPs that the permit writer may impose. First, if an area of
concern has been identified, the permit writer may require that the facility control the problem
through the development of a site-specific practice. This may include diking of materials
storage areas to prevent contaminated storm water runoff or installing splash plates-to
prevent process solutions from spilling on the ground and entering the process water sewer.
The second avenue permit writer's may pursue is requiring the development of a BMP plan
and specifying suggested components, such as the formation of a BMP committee, the
issuance of a BMP policy memo, the identification and assessment of releases, and the
development of a plan addressing good housekeeping, preventive maintenance, inspections,
security, employee training, and recordkeeping and reporting.
3.6.2 Overview of Municipal-Specific Special Conditions
The two most common special conditions found in municipal permits address the control
of CSOs and the implementation of pretreatment programs. CSOs are a permitting
consideration at facilities without separate storm sewers. CSOs result when storm events
cause the collection system or POTW treatment capacity to be exceeded, resulting in the
commingling of and to some degree a dilution of untreated sanitary sewage and commercial/
industrial wastewater with urban storm water runoff. This mixture then overflows the
combined sewer to a receiving stream. CSOs pose a very complex permitting situation to
permit writers required to develop controls, despite EPA's policy that combined sewer
overflows are subject to technology- and water quality-based limitations.
Approximately 1,500 POTWs have been required to develop and implement a
pretreatment program. Generally, POTW have been identified as needing a pretreatment
program where their design flow is greater than 5 MGD, where a categorical industrial user is
within their jurisdiction, or where past industrial discharges have caused or been suspected
to cause problems at the POTW.
The pretreatment program was developed to meet four objectives: (1) to prevent pass
through, (2) to prevent interference, (3) to prevent municipal sewage sludge contamination,
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and (4) to protect worker health and safety. To meet these goals, the pretreatment programs
set forth a number of responsibilities, which are summarized in Exhibit 3-5.
EXHIBIT 3-5: RESPONSIBILITIES UNDER THE PRETREATMENT PROGRAM
Entity
Responsibilities
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 action as appropriate
EPA Regions
Fulfill approval authority responsibilities for States without
pretreatment program authorization
Oversee State program implementation
Initiate enforcement actions as appropriate
Approval Authorities
(NPDES States with
pretreatment program
authorization)
Notify POTWs of their responsibilities
Review and approve POTW pretreatment programs
Oversee POTW program implementation
Provide technical guidance to POTWs
Regulate industries in nonpretreatment cities
Initiate enforcement action against noncompliant POTWs or
industries
Control Authorities
(POTWs with an approved
pretreatment program)
Develop and maintain an approved pretreatment program
Evaluate compliance of regulated industrial users
Initiate enforcement action against industries as appropriate
Submit reports to the approval authority
Develop local limits (or demonstrate that they are not
necessary)
Develop and implement enforcement response plans
Industrial Users
Comply with applicable pretreatment standards, including
prohibited discharge standards, categorical standards, State
requirements, and local limits
Comply with Federal and POTW-specific reporting
requirements
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3.6.3 Compliance Schedules
Compliance schedules are set forth in NPDES permits when additional conditions are
necessary to ensure compliance. Examples of situation where schedules are often used
include:
Pretreatment program development
Sludge use and disposal program development and/or implementation
New/revised effluent guidelines application
New/revised water quality standards application
BMP plan development and/or implementation
Inflow and infiltration program development and/or implementation.
Compliance schedules may involve construction of facilities, in which case they are
called construction schedules. Generally, schedules are negotiated with the discharger and
ensure compliance with the final permit limitations within a realistic timeframe. Occasionally,
a schedule includes the conduct and completion of engineering studies, with the remainder of
the schedule requiring the implementation of the suggested actions found pursuant to the
study.
Because compliance schedules may not authorize compliance beyond applicable
statutory deadlines, compliance schedule negotiation responsibilities are shifting from the
permit writer to the compliance officer. There are exceptions for water quality-based permit
limits, however. When compliance schedules do fall under the purview of permitting, the
permit writer should ensure that at least the two following components are provided
(1) dates itemized by day, month, and year are set forth for each major milestone, and
-»
(2)*reports specifying compliance or noncompliance are required within 14 days of each
milestone.
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4. INDUSTRIAL PERMIT CONSIDERATIONS
4.1 INDUSTRY-SPECIFIC EFFLUENT LIMITATIONS
4.1.1 Effluent Limitations Guidelines
The Clean Water Act (CWA) required all industries discharging wastes into navigable
waters to achieve the Best Practicable Control Technology Currently Available (BPT) by July 1,
1977. This control technology represents the average of the best existing wastewater treatment
performance within each industry category or subcategory. By March 31, 1989, the CWA
required the application of effluent limitations based on the best control and treatment measures
that have been developed or that are capable of being developed within the industrial category or
subcategory. These effluent limitations are as follows:
Toxic and Nonconventional PollutantsApplication of the Best Available Technology
Economically Achievable (BAT)
Conventional PollutantsApplication of the Best Conventional Pollutant Control
Technology (BCT).
There are three groups of pollutants: conventional, toxic, and nonconventional. By
definition, there are five conventional pollutants: 5-day biochemical oxygen demand (BODs),
total suspended solids (TSS), fecal coliform, pH, and oil and grease. Toxic or "priority"
pollutants are those defined in Section 307(a)(l) of the CWA and include heavy metals and
manmade organic compounds. The 126 priority pollutants are listed in Appendix F.
Nonconventional pollutants are those which do not fall under either of the above categories and
include such parameters as ammonia, nitrogen, chemical oxygen demand, and whole effluent
toxicity (WET).
New Source Performance Standards (NSPSs) are established for new industrial direct
dischargers. The intent of this special set of guidelines is to set limitations that represent state-
of-the-art treatment technology for new sources, because these dischargers have the opportunity
to install the latest in treatment technology at the time of start-up. Established facilities often
have to retrofit existing treatment units to meet BAT guidelines. This can be a costly and time-
consuming process and, therefore more lenient requirements are usually applied for existing
facilities. NSPSs are described as the best available demonstrated control technology, processes,
operating methods, or other alternatives including, where practicable, no discharge of pollutants.
NSPSs are effective at the commencement of a new facility's operation; the facility must
demonstrate compliance within 90 days.
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A summary of statutory deadlines by type of pollutant for the different treatment
technologies is provided in Exhibit 4-1.
EXHIBIT 4-1: STATUTORY DEADLINES FOR BPT, BAT, AND BCT
Pollutant
Conventional
Conventional
Nonconventional
Nonconventional
Toxic
Toxic
Level of Treatment
BPT
BCT
BPT
BAT
BPT
BAT
Statutory Deadlines
July 1, 1977
July 1, 1984
July 1, 1977
March 31, 1989
July 1, 1977
March 3 1,1989
The U.S. Environmental Protection Agency (EPA) has established effluent guidelines and
standards for more than 50 different industrial categories (e.g., Steam Electric Power Plants, Iron
and Steel Manufacturing Facilities). Guidelines are established for different industrial categories
since the best control technology for one industry is not necessarily the best for another. These
guidelines were developed based on the degree of pollutant reduction attainable by an industrial
category through the application of control technologies, irrespective of the facility location. The
CWA requires EPA to assess certain factors when establishing effluent guidelines, including the
following:
The age of the equipment and facilities involved
Manufacturing processes used
Engineering aspects of the application of recommended control technologies, including
process changes and in-plant controls
Non-water quality impacts, including energy requirements
Other factors, as deemed appropriate.
Using this approach, similar facilities are regulated in the same manner. In theory, for
example, a pulp and paper mill on the west coast of the United States would be required to meet
the same limitations for sulfate as an identical plant located on the east coast (unless there were
special site-specific concerns that had to be addressed).
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The deadlines for compliance with effluent guidelines has passed, as previously shown in
Exhibit 4-1. Permit writers do not have the authority to extend statutory deadlines. Thus,
effluent guidelines must be applied in National Pollutant Discharge Elimination System
(NPDES) permits without the benefit of a compliance schedule.
4.1.1.1 General Considerations With Respect to the Use of Effluent Limitation
Guidelines
The use of effluent limitations guidelines for the development of permit limits appears at
first to be straightforward: determine production and multiply by the appropriate factor contained
in the guidelines. For example, a bleach kraft tissue plant produces 234,000 pounds per day
Gbs/day), and the daily maximum guideline for BODs is 13.65 Ibs/1,000 Ibs of product The
effluent limitation should then be 3,194 Ibs/day (234,000 x 13.65/1,000 = 3,194). However, the
process is often more complicated than this simple example indicates. Some of the difficulties
associated with the use of guidelines include:
Determination of the proper category and subcategory of the facility
Proper use of the guidelines applicable to the category or subcategory under
consideration
Classification of plants that fall under more than one subcategory and/or have multiple
products with multiple measures of production
Determination of the measure of production
Use of alternate limits
Application of mass versus concentration limits.
4.1.1.2 Categorization
In order to properly use and apply effluent guidelines, the permit writer must first
determine which industrial category(s) applies to the facility being permitted. In determining
which categories a facility comes under, the Standard Industrial Classification (SIC) code is
helpful. Item VII of Application Form 1 requires that the applicant provide the SIC code for the
activity covered by the permit application. Usually, a SIC code will determine the appropriate
category but not necessarily the subcategory. For example, a turpentine producer, SIC code
2861, falls under the Gum and Wood Chemicals Manufacturing category. In this particular case,
SIC code 2861 and the Gum and Wood Chemicals Manufacturing category correspond. A listing
of SIC codes corresponding with effluent guideline categories as in Appendix F should be useful
in determining industrial categories. Once the category is established, it is just a matter of
determining which subcategory the facility falls under. However, a permit writer should be
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cautious of relying exclusively on SIC codes for determining the appropriate category. SIC
codes are developed by the Department of Commerce and, therefore, may not always assist the
permit writer in the categorization process. It is important to note that more than one SIC code
may apply to a facility.
Usually, plants do not fall into a single category and then a single subcategory. This may
require some research and probing on the part of the permit writer. For example, an integrated
washing machine producer (SIC code 3633) would be expected to fall into the Household
Laundry Equipment category (as specified under the SIC code system). Because of the wide-
ranging activities needed for integrated production, this manufacturer may also fall under
Porcelain Enameling, Metal Finishing, and Plastic Molding and Forming categories.
When determining which subcategories are applicable to a plant, it is best to determine the
categories first and then by careful analysis of the plant, determine the subcategories. The
determination of applicable categories can be accomplished by quickly classifying the categories
as not applicable or possibly applicable. For example, if a brewery is under consideration, Iron
and Steel Manufacturing would obviously not be applicable but Organic Chemicals might be,
depending on the extent of recovery and processing of byproducts. A careful analysis of the
production of the plant and comparison to the subcategories under Organic Chemicals would
establish which, if any, of the subcategories are applicable.
4.1.13 Production-Based Limitations
Many effluent limitation guidelines are expressed in terms of allowable pollutant discharge
per unit of production. To determine permit limits, these standards are multiplied by the facility's
production rate. Thus, it is necessary for the permit writer to determine the facility's actual
production, based on information supplied by the permittee.
The ideal situation for the application of effluent limitations guidelines is where production
is constant from day-to-day and month-to-month. Production for the purposes of calculating the
limitations would then be the average production rate. In practice, production rates are not as
constant as the ideal situation. They vary because of market factors, maintenance, product
changes, down times, breakdowns, and facility modifications. The production rate of a facility
will vary with time, and, thus, determination of production may be difficult
To apply effluent limitation guidelines to a facility with varying production rates, the
permit writer should determine a single estimate of the long-term average production rate that is
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expected to exist during the term of the permit being prepared. It is recommended that the permit
writer establish this average from 5 years of facility production data. This single production
value is then multiplied by both the daily maximum and monthly average guideline limitations to
obtain permit limits.
The objective in determining a production estimate for a facility is to develop a single
estimate of the long-term average production rate (in terms of mass of product per day), which
can reasonably be expected to prevail during the next term of the permit. The following example
illustrates the proper application of guidelines:
Example: Company A has produced 331,500 tons, 301,500 tons, 361,500 tons, 301,500
tons, and 361,500 tons per year for the previous 5 years operating 255 days per year.
What would be a reasonable measure of production for permitting purposes? Assuming
that pollutant X has an effluent limitation guideline of 0.1 lbs/1,000 Ibs for the monthly
average and 0.15 lbs/1,000 Ibs for the daily maximum, what would be the resulting
effluent limitations?
Discussion: The use of the long-term average production (331,500 tons per year) would
be an appropriate and reasonable measure of production, if this figure was more
representative of the actual production expected to occur over the next term of the permit
and this number did not represent a temporary increase in production. Also, in
evaluating these gross production figures, the number of production days must be
considered. If the number of production days per year is not comparable, the numbers
must be converted to production per day before they may be compared. To convert from
the annual production rate to average daily rate, the annual production rate is divided by
the number of production days per year. To determine the number of production days,
the total number of normally scheduled nonproduction days are subtracted from the total
days in a year.
If Company A normally has 255 production days per year, the annual production rate of
331,500 tons per year would yield an average daily rate of 1,300 tons per day.
Monthly average limit:
1.300 tons x 2.000 Ibs x 0.10 Ihs = 260 Ibs/dav
day ton 1,000 Ibs
Daily maximum limit:
1.300 tons x 2.000 Ihs x 0.15 Ihs = 390 Ibs/dav
day ton 1,000 Ibs
In the example above, the production during the highest year of the last 5 years was used as
the estimate of production. This estimate is appropriate when production is not expected to
change significantly during the permit term. However, if historical trends, market forces, or
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company plans indicate that a different level of production will prevail during the permit term, a
different basis for estimating production should be used.
4.1.1.4 Tiered Permit Limits
If production rates are expected to change significantly during the life of the permit, the
permit can include alternate or tiered limits. These tiered limits would become effective when
production exceeds a threshold value, such as during seasonal production variations. As a
general rule of thumb, up to a 20 percent fluctuation in production is within the range of normal
variability, while changes in production higher than 20 percent could warrant consideration of
alternate limits. The major characteristics of tiered limits are best described by illustration and
example.
Example: Plant B has produced 334,800 tons, 260,400 tons, 220,000 tons, 240,000 tons,
and 206,500 tons per year for the previous 5 years. The high year is significantly higher
than the rest and the permittee has made a plausible argument that production is expected
to return to that level. The guideline for pollutant X is 0.08 Ibs/1,000 Ibs for the monthly
average and 0.14 Ibs/1,000 Ibs for the daily maximum. What are the tiered effluent
limitations?
Discussion: The first tier or primary limits would be based on a production rate of
260,400 tons per year or 1,050 tons per day (248 production days per year). These limits
would apply when the level of production is no more than 120 percent times the 1,050
tons per day average production rate for the month.
Monthly average limit:
1.050 tons x 2.000 Ihs x 0.08 Ibs = 168 Ibs/day
day ton 1,000 Ibs
Daily maximum limit:
1.050 tons x 2.000 Ihs x 0.14 Ihs = 294 Ibs/day
day ton 1,000 Ibs
The second tier or alternate limits would be based on production of 334,800 tons/yr or
1,350 tons/day. These limits would apply when the level of production is greater than
120 percent times the 1,050 tons/day average production rate for the month. The results
of the calculations for tiered limits follow:
Monthly average limit = 216 Ibs/day
Daily maximum limit = 378 Ibs/day
Tiered permits with alternate limits should be used only after careful consideration and only
when a substantial increase or decrease in production is likely to occur. In the example above,
the primary limits would be in effect when production was at normal levels. During periods of
significantly higher production, the alternate limits would be in effect. When production
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reverted to* normal levels, the primary limits would have to be met In addition, alternate limits
may also be appropriate in the case of special processes or product lines. The thresholds,
measures of production, and special reporting requirements must be detailed in the permit. Some
of the special reporting requirements may include:
The permittee notifying the permitting authority at least 2 business days prior to the
month they expected to be operating at a higher level of production and the duration this
level of production is expected to continue
The permittee reporting, along with the discharge monitoring report, the level of
production and the limitation and standards applicable to that level.
4.1.1.5 Multiple Products or Multiple Categories
Another complication is the situation of multiple products or multiple categories and
subcategories. Determination of production and the calculation of the effluent limits will depend
on the specific conditions. A typical case would be a facility with a newly constructed metal
plating production line that combines with an older metal plating production line prior to
treatment and discharge. In this situation, the flow-weighted combination of the NSPS and
BAT/BCT standards would be used to derive a limitation. Another example may be an
integrated lamp maker with copper forming, aluminum forming, metal finishing, and porcelain
enameling processes all being combined prior to treatment and discharge. In this situation, the
appropriate effluent guidelines for these categories must be applied to each waste stream and
combined by flow-weighted averaging when developing limitations. Guidelines may also
specify inconsistent limit expressions (i.e., one category provides a parameter with a daily
maximum limit, while another has an instantaneous maximum limit) that will have to be
adjusted.
4.1.1.6 Mass Versus Concentration Limits
s
The regulations containing 40 Code of Federal Regulations (CFR) 122.45(f) require that all
permit limits be expressed in terms of allowable mass (in units of pounds or kilograms) of
pollutant per day. However, the permit writer should also consider the use of concentration
limits to supplement the mass limits. Including concentration limits encourages proper operation
of the treatment facility at all times. In the absence of concentration limits, a permittee could
theoretically reduce treatment efficiency during low flow periods and still meet the facility's
mass-based effluent limits. For example, Company A could have an average daily wastewater
flow of 0.9 million gallons per day (MOD). On a given day, the wastewater flow might drop to
0.6 MOD. In this example, pollutant X could be 150 percent more than the normal average.
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However, the* company would still be in compliance with its permit, unless concentration limits
were also included. The following example and calculation illustrate this situation:
Example: For Company A, the mass limits for pollutant X have been set as 260 Ibs/day
and 390 Ibs/day monthly average and daily maximum respectively. What are the
monthly average concentration limitations in milligrams per liter (mg/1) using both an
average flow of 0.9 MOD and the low flow of 0.6 MOD?
Discussion: Note: 8.34 is a conversion factor with the units [(Ibs/day)/(MGD)(mg/l)].
Monthly average limit (based on average flow):
260 Ihs/dav = 35 mg/1
(8.34)(0.9 MGD)
Monthly average limit (based on low flow):
260 Ihs/dav = 52 mg/1
(8.34)(0.6 MGD)
This is almost 150 percent more than the concentration during average flow!
In determining applicable effluent concentration limitations, the monthly average and
daily maximum mass limits divided by the average flow will provide appropriate
concentrations.
Monthly average limit:
2601bs/dav = 35 mi
(8.34)(0.9 MGD)
Daily maximum limit:
390 Ihs/dav = 52.5 mj
(8.34)(0.9 MGD)
It should be noted that the long-term average flow is used to calculate both the monthly
average and daily maximum concentrations. The use of the long-term average flow is
appropriate for the calculation of a daily maximum concentration because it will reflect the range
of concentrations that could be expected in a well operated plant. The use of the maximum daily
flow is not appropriate to determine the daily maximum concentration from the daily maximum
mass limitation because it will reduce the daily maximum concentration below the value which
could be expected in a well operated plant. The maximum concentration calculated using the
maximum daily flow could be less than the monthly average concentration. For example,
Company A has a maximum daily flow of 1.6 MGD. Using this flow, the maximum
concentration is calculated to be 29 mg/1, which is less than the average concentration limit of 35
mg/1. Concentration limits derived by these calculations should be evaluated using historical
monitoring data and engineering judgment to be sure they are reasonable.
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In certain situations, the use of concentration limits may be counter productive since they
may discourage the use of innovative techniques, such as water conservation. For example, if a
facility had a history of providing efficient treatment of its wastewater and also wished to
practice water conservation, inclusion of concentration limits would probably not be appropriate.
To summarize, the applicability of concentration limits should be a case-by-case determination
based upon the professional judgment of the permit writer.
4.1.1.7 Net Credits
In some cases, solely as a result of the level of pollutants in the intake water, facilities are
faced with situations in which technology-based limits are difficult or impossible to meet with
BAT/BCT technology. Permit writers are authorized to grant net credits for the quantity of
pollutants in the intake water where the applicable effluent guidelines specify that the guidelines
are to be applied on a net basis or where the pollution control technology would, if properly
installed and operated, meet applicable effluent guidelines limitations and standards in the
absence of the pollutants in the intake waters.
The following requirements have been established in 40 CFR 122.45(g) for establishing net
limitations:
Credit for generic pollutants, such as BOD.-, or TSS, is only authorized where the
constituents resulting in the BOD5 and the TSS are similar between the intake water and
the discharge
Credit is only authorized up to the extent necessary to meet the applicable limitation or
standard, with a maximum value equal to the influent concentration
Intake water must be taken from the same body of water into which the discharge is
made
Net credits do not apply to the discharge of raw water clarifier sludge generated during
the treatment of intake water.
4.1.1.8 Variances
In addition to specifying national goals for water pollution control, the CWA provides a
mechanism for modification of requirements of the CWA in exceptional cases. These
modifications are called variances. Very specific data requirements must be met by an applicant
before a variance may be granted. As the term implies, a variance is the unusual situation, and,
thus, the permit writer should not expect to routinely receive variance requests. Nevertheless, the
permit writer should be aware- of the major types of variances and the basic requirements for
each, because the permit writer will most likely be the person to conduct the initial reviews of
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such request?, before submitting them for review to the State Director (if applicable), the EPA
Regional office, and EPA Headquarters. The permit writer should consult 40 CFR 124.62 for the
procedures for decisions on the various types of variances.
With one exception, a variance request must be submitted before the close of the public
comment period of the permit The following paragraphs discuss variances and the factors that
should be considered in a technical review of the variance request.
Economic Variances
Section 301(c) of the CWA provides for a variance for nonconventional pollutants from
BAT effluent guidelines due to economic factors. The variance may also apply to non-guideline
limits in accordance with 40 CFR 122.21(l)(2)(iii). The request for the variance from effluent
limitations developed from BAT guidelines is normally filed by the discharger during the public
notice period for the draft permit.. Other filing time periods may apply, as specified in 40 CFR
122.210X2). The application must show that the modified requirements:
Represent the maximum use of technology within the economic capability of the owner
or operator
Will result in further progress toward the no discharge goal.
The methodologies for determining economic capability for utilities is different than that
used for other industries. Utilities should perform two financial calculations. Generally, EPA
will only grant a variance only if both tests indicate that the pollution control equipment is not
economically achievable and the applicant can demonstrate reasonable further progress. Other
industry categories must calculate three financial tests to determine if they are eligible on
economic grounds for a 301 (c) variance. Guidance for conducting these financial tests is
available from EPA's Office of Wastewater Enforcement and Compliance. Generally, EPA will
only grant a variance if all three tests indicate that the required pollution control is not
economically achievable and the applicant makes the requisite demonstration about reasonable
further progress.
With respect to the second requirement for a 301 (c) modification (reasonable further
progress toward the no-discharge goal), the applicant must, at a minimum, demonstrate
compliance with all applicable BPT limitations and pertinent water quality standards. In
addition, the proposed alternative must provide for a reasonable degree of improvement in the
applicant's discharge.
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Water Quality Variances
Section 301 (g) of the CWA provides for a variance for certain nonconventional pollutants
from BAT effluent guidelines due to localized environmental factors. These pollutants include
ammonia, chlorine, color, iron, and total phenols. The discharger must file a variance application
that meets the following requirements:
The modified requirements must result in compliance with BPT and water quality
standards of the receiving stream.
No additional treatment will be required of other point or nonpoint source dischargers as
a result of the variance approval.
The modified requirements will not interfere with attainment or maintenance of water
quality to protect public water supplies, or with protection and propagation of a balanced
population of shellfish, fish, and wildfowl, and will allow recreational activities in and
on the water. Also, the modified requirements will not result in quantities of pollutants
that may reasonably be anticipated to pose an unacceptable risk to human health or the
environment, acute or chronic toxicity, or synergistic properties.
The permit writer should review the request to ensure that it complies with each of the
requirements for this type of variance. This variance request involves a great deal of water
quality assessment, including aquatic toxicity, mixing zone and dilution model analysis, and
possible site-specific criterion development. In addition, many complex human health effects
must be assessed, including carcinogenicity, teratogenicity, mutagenicity, bioaccumulation, and
synergistic propensities. All permit writers should use the EPA draft 301 (g) technical guidance
manual to assess a completed variance request. Typical industries that have applied for 301(g)
variances include Iron and Steel Manufacturing, Steam Electric Power Generating, Inorganic
Chemicals Manufacturing, Nonferrous Metals Manufacturing, Aluminum Forming, and
Pesticides Manufacturing facilities.
»
Fundamentally Different Factors Variances
Section 301(n) of the CWA provides for variances based upon fundamentally different
factors (PDF). PDF variances for direct dischargers are available from effluent guidelines
regulations for BPT, BCT and BAT for toxic, conventional, and nonconventional pollutants if
the individual facility is found to be fundamentally different from the factors considered in
establishing the effluent guidelines. There is no PDF variance allowed from NSPS. The PDF
variance must be requested by the discharger within 180 days of the guideline promulgation. An
PDF variance cannot be approved if violations of water quality standards will result.
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Factors .needed to justify a variance of this type include factors relating to a discharger's
facilities, equipment, and processes that differ from those considered in the subcategory
classification in the effluent guidelines. The review or proposal of an PDF variance is completed
on a case-by-case basis. The burden of proof lies with the entity requesting the variance.
4.13, Best Professional Judgment Permitting
Best Professional Judgment (BPJ) permitting is used in cases where an effluent limitation
guideline has not been promulgated for the industry or pollutant of concern. BPJ is defined as
the highest quality technical opinion developed by a permit writer after consideration of all
reasonably available and pertinent data or information that forms the basis for the terms and
conditions of an NPDES permit
The authority for BPJ is contained in Section 402(a)(l) of the CWA, which authorizes the
EPA Administrator to issue a permit containing "such conditions as the Administrator determines
are necessary to carry out the provisions of this Act" prior to taking the necessary implementing
actions, such as the establishment of effluent limitations guidelines. During the first round of
NPDES permits in the early-to-mid-1970s, a majority of permits were based on the authority of
Section 402(a)(l) of the CWA. These first round so-called best engineering judgment permits
were drafted because effluent guidelines were not available for many industries. As effluent
guidelines began to be promulgated, permit writers had to rely less on their best engineering
judgment and could apply the effluent limitations in permits. As the implementation of the age
of toxic pollutant control continues, the use of BPJ conditions in permits has again become more
common. However, the statutory deadline for compliance with BPJ-based pollutant limits was
March 31, 1989. Therefore, compliance schedules cannot be placed in permits to allow for
extensions in meeting BPJ pollutant limits.
BPJ has proven to be a valuable tool for NPDES permit writers over the years. Because it
is so broad in scope, BPJ allows the permit writer considerable flexibility in establishing permit
terms and conditions. Inherent in this flexibility, however, is the burden on the permit writer to
show that his/her BPJ is based on sound engineering analysis. If this evaluation of
reasonableness does not exist, the BPJ condition is vulnerable to a challenge by the permittee.
Therefore, the need for and derivation of the permit condition and the basis for its establishment
should be clearly defined and documented. References used to determine the BPJ condition
should be identified. In short, the rationale for a BPJ permit must be carefully drafted to
withstand the scrutiny of not only the permittee but also the public and, ultimately, a hearing
officer.
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* * " ;
4.1.2.1 Establishment of BPJ Pollutant Limits Permits
The NPDES regulations in 40 CFR 125.3 state that permits developed on a case-by-case
basis under Section 402(a)(l) of the CWA must consider (1) the appropriate technology for the
category class of point sources of which the applicant is a member, based on all available
information, and (2) any unique factors relating to the applicant. In setting BPJ limitations, the
permit writer must consider several specific factors as they appear in 40 CFR 125.3(d). These
factors, which are enumerated below, are required to be considered in the development of
effluent limitations guidelines and, therefore, are often referred to as the Section 304(b) factors:
For BPT requirements
- The total cost of application of technology in relation to the effluent reduction
benefits to be achieved from such application
- The age of equipment and facilities involved*
- The process employed*
- The engineering aspects of the application of various types of control techniques*
- Process changes*
- Non-water quality environmental impact including energy requirements*
For BCT requirements
- All items in the BPT requirements indicated by an asterisk (*) above
- The reasonableness of the relationship between the costs of attaining a reduction in
effluent and the effluent reduction benefits derived
- The comparison of the cost and level of reduction of such pollutants from the
discharge of publicly owned treatment works to the cost and level of reduction of
such pollutants from a class or category of industrial sources
For BAT requirements
- All items in the BPT requirements indicated'by an asterisk (*) above
- The cost of achieving such effluent reduction.
A permit writer must consider each of these factors in establishing BPJ-based conditions in
permits. Since BPJ contains an element of judgment or educated opinion, a permit writer with
the proper tools should be able to establish BPJ conditions in permits that are both technically
sound and reasonable.
A technically sound and reasonable permit is not likely to be successfully challenged by the
permittee or a third party. In this context, technically sound permit conditions means that the
conditions are achievable with existing technology and reasonable means that they are achievable
at a cost that the facility can afford. Historically, some of the other factors, such as age, process
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employed and non-water quality impacts have assumed lesser importance than the technical and
economic feasibility evaluations.
4.1.2.2 BPJ Permitting Tools
References (e.g., data sources and tools) for BPJ permit writing are numerous and
voluminous. As one gains experience drafting BPJ permits, it is common practice to rely on
some references more than others. Exhibit 4-2 lists references and provides some examples for
selected BPJ data sources that have proven useful over the years.
EXHIBIT 4-2: BPJ PERMITTING TOOLS
Abstracts of Industrial NPDES Permits
Treatability Manual
NPDES Best Management Practices Guidance Document
Technical Support Document for the Development of Water Quality-based Permit
Toxic Control
Workbook for Determining Economic Achievability for NPDES Permits
National Environmental Investigation Center reports on specific facilities
Toxicity reduction evaluations for selected industries
Industry experts within EPA Headquarters, Regions, and States
Effluent guidelines development information
- CWA Section 308 questionnaires
- Screening and verification data
- Development documents
- Contractor's reports
- Proposed regulations
- Project Officers
Permit Compliance System data
Permit/compliance file information
- Previous NPDES application forms
- Discharge Monitoring Reports
- Inspection reports
Other media permit files (e.g., Resource Conservation and Recovery Act permit
applications and Spill Prevention Countermeasure and Control (SPCC) plans)
Literature (e.g., technical journals and books)
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INDUSTRY-SPECIFIC SPECIAL CONDITIONS
42.1 Best Management Practices
Traditionally, NPDES permits have contained chemical-specific, numerical effluent limits.
Effluent guidelines are not always available to prescribe these limits nor to guarantee water
quality sufficient for the protection of indigenous aquatic life. To improve water quality, the
CWA provides for water pollution controls supplemental to effluent limitation guidelines.
Best Management Practices (BMPs) are measures to prevent or mitigate water pollution
from sources ancillary to the industrial manufacturing or treatment process. BMPs are broad and
may include processes, procedures, human actions, or construction. In essence, BMPs are any
measure or action identified by a plant manager, department foreman, environmental engineer,
consultant, or employee as a method to prevent toxic pollutants or hazardous substances from
damaging the aquatic environment. They may be inexpensive, such as a liquid level alarm in a
material transfer operation, or they may be costly, such as impervious secondary containment
around a tank farm.
Experience has shown that three-quarters of all spills of hazardous chemicals can be
attributed, in one way or another, to human error. Improper procedures, lack of training, and
poor engineering are among the major causes of spills. BMPs are aimed at preventing spills and
similar environmental incidents by stressing the importance of management and employee
awareness of potential spill situations.
BMPs are one method of supplemental control. Pursuant to 40 CFR 122.44(k) and
Sections 304 and 402 of the CWA, BMPs may be incorporated as permit conditions. In the
context of the NPDES program, BMPs are actions or procedures to prevent or minimize the
potential for the release of toxic pollutants or hazardous substances in significant amounts to
surface waters. BMPs, although normally qualitative, are expected to be most effective when
used in conjunction with numerical effluent limits in NPDES permits.
4.2.1.1 Best Management Practices in NPDES Permits
BMPs are included in permits in two basic ways: as BMP plans and/or as site-, process-, or
pollutant-specific BMPs. BMP plans can be submitted for review but are usually kept onsite and
made available to the permitting authority on request. The normal compliance schedule is to
require preparation of the plan within 6 months and implementation within 12 months of permit
issuance.
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Generally, the determination and incorporation, in to NPDES permits of site-specific or
pollutant-specific BMPs are left to the discretion of the permit writer, because these are highly
dependent on a careful review of the circumstances at a particular facility. However, EPA has
identified several components that act as a basis for developing and implementing effective BMP
plans. The minimum suggested components of a BMP plan are presented below:
General Requirements
- Name and location of facility
- Statement of BMP policy and objective
- Review by plant manager
Specific Requirements
- BMP committee
- Risk identification and assessment
- Reporting of BMP incidents
- Materials compatibility
- Good housekeeping
- Preventive maintenance
- Inspections and records
- Security
- Employee training.
The following subsection describes in detail the specific requirements that should be
included in a BMP plan.
42.12 Specific Components of BMP Plans
BMP Committee
The'BMP committee is the group of individuals within the plant organization responsible
for Developing the BMP plan and assisting the plant management in its implementation,
maintenance, and updating. Thus, the committee's functions are similar to those of a plant fire
prevention or safety committee. Plant management, not the committee, has overall responsibility
and accountability for the quality of the BMP plan.
The scope of activities and responsibilities of the BMP committee should include all
aspects of the facility's BMP plan, such as identification of toxic and hazardous materials
addressed in the plan; identification of potential spill sources; establishment of incident reporting
procedures; development of BMP inspections and records procedures and review of
environmental incidents to determine and implement necessary changes to the BMP plan;
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coordination of incident notification, response, and cleanup procedures; establishment of BMP
training programs for plant personnel; and aid for interdepartmental coordination in carrying out
the BMP plan.
Risk Identification and Assessment
The areas of the plant subject to BMP requirements should be identified by the BMP
committee, plant engineering group, environmental engineer, or others in the plant Each such
area should be examined for the potential risks of discharges to receiving waters of toxic
pollutants or hazardous substances from ancillary sources. Any existing physical means (e.g.,
dikes or diversion ditches) of controlling such discharges also should be identified.
A hazardous substances and toxic chemicals inventory (materials inventory) should be
developed as part of the risk identification and assessment. The level of detail of the materials
inventory should be proportionate to the quantity of toxic pollutants and hazardous substances
onsite and their potential for reaching the receiving waters.
Reporting of BMP Incidents
A BMP incident reporting system is used to keep records of incidents, such as spills, leaks,
runoff, and other improper discharges, for the purpose of minimizing recurrence, expediting
mitigation or cleanup activities, and complying with legal requirements. Reporting procedures
defined by the BMP committee should include (1) notification of a discharge to appropriate plant
personnel to begin immediate action, (2) formal written reports for review and evaluation by
management of the BMP incident and revisions to the BMP plan, and (3) notification, as required
by law, of government and environmental agencies.
Materials Compatibility
Materials compatibility includes consideration of the compatibility of stored and mixed
chemicals. Incompatible materials can cause equipment failure resulting from corrosion, fire, or
explosion. Equipment failure can be prevented by ensuring that the hazardous substances or
toxic pollutants are compatible with the container contents and the surrounding environment.
The BMP plan should provide procedures to address these aspects in the design and operation of
the equipment used for the storage or transfer of toxic and hazardous materials.
Good Housekeeping
Good housekeeping is the maintenance of a clean, orderly work environment that
contributes to the prevention of releases, which in turn prevents pollution and loss of raw
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materials from occurring. Periodic training of employees in housekeeping techniques for plant
areas where the potential exists for BMP incidents reduces the possibility of mishandling
chemicals or equipment.
Examples of good housekeeping include neat and orderly storage of bags, drums, and piles
of chemicals, prompt cleanup of spilled liquids to prevent significant runoff to surface waters,
sweeping, vacuuming or other cleanup of accumulations of dry chemicals as necessary to prevent
them from reaching receiving waters, and provision for storage of containers or drums to keep
them from protruding into open walkways or vehicular traffic.
Preventive Maintenance
An effective preventive maintenance (PM) program is important to prevent environmental
incidents. A PM program involves inspecting and testing plant equipment and systems (e.g.,
pumps and alarms) to identify conditions that could cause breakdowns or failures resulting in
significant discharges of chemicals to surface waters. The program should prevent breakdowns
and failures by adjustment, repair, or replacement of items.
A PM program should include a suitable records system for scheduling tests and
inspections, recording test results, and facilitating corrective action. Most plants have PM
programs that provide a degree of environmental protection. A BMP plan should not require the
development of a redundant PM program. Instead, the plan should reinforce the objective to
have qualified plant personnel (e.g., BMP committee, maintenance foreman, or environmental
engineer) evaluate the existing plant PM program and recommend to management any changes,
needed to address BMP requirements.
A good PM program includes identification of equipment or systems to which the PM
program should apply, periodic inspections or tests of identified equipment and systems,
appropriate adjustment, repair, or replacement of items, and maintenance of complete PM
records on the applicable equipment and systems.
Inspections and Records
An inspection and records system detects and documents actual or potential BMP incidents
and is integral to a good preventive maintenance program. The BMP plan should include written
inspection procedures and optimum intervals between inspections. Records to show the
completion date and results of each inspection should be signed by the appropriate supervisor
and maintained for 3 years. A tracking or followup procedure should be initiated to ensure that
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adequate response and corrective action have been taken if potential or actual problems have
been identified. The recordkeeping portion of this system can be combined with the existing
spill reporting system in the plant.
The inspection and records system should include equipment and plant areas having the
potential for significant discharges. To determine the inspection frequency and inspection
procedures, experienced personnel should evaluate the causes of previous incidents and the
likelihood of future incidents and assess the probable risks for incident occurrence or recurrence.
Consideration should be given to the nature of chemicals handled, materials of construction, and
site-specific factors, including age, inspection techniques, and cost effectiveness of BMPs
employed.
Security
A security system prevents accidental or intentional entry to a plant that might result in
vandalism, theft, sabotage, or other improper or illegal use of plant facilities, which may cause
pollution. Most plants have security systems to prevent unauthorized entry.
The BMP plan should describe any portions of the existing security system and any
improvements necessary to ensure that toxic chemicals are not discharged to receiving waters in
significant quantities as a result of unauthorized entry. Documentation of the security system
may require separate filing from the BMP plan to prevent unauthorized individuals from gaining
access to sensitive or confidential information.
Employee Training
Employee training programs should instill in personnel, at all levels of responsibility, a
complete understanding of the BMP plan. Training should address the processes and materials
on the plant site, the safety hazards, the practices for preventing discharges, and the procedures
for responding properly and rapidly to toxic and hazardous materials incidents.
Meetings should be conducted periodically to ensure adequate understanding of the
objectives of the BMP plan and the individual responsibilities of each employee. Typically,
these topics could be a part of routine employee meetings for safety or fire protection. Such
meetings should highlight previous spill events, equipment malfunctions or failures, and new or
modified BMPs.
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Training sessions should review the BMP plan and associated procedures. Just as fire drills
are used to improve an employee's reaction to a fire emergency, spill or environmental incident
drills may serve to improve the employee's reactions to BMP-related incidents. Plants are
encouraged to conduct spill drills on a quarterly or semi-annual basis. Spill or incident drills
serve to evaluate the employee's knowledge of BMP-related procedures and are a fundamental
part of employee training.
4.2.1.3 Specific BMPs
Site-, process-, and pollutant-specific BMPs are designed to address conditions particular to
a site, process, or pollutant The need for specific BMPs at a facility often will be discovered in
conjunction with other permit-related activities, such as compliance inspections. Poor
housekeeping or a history of spills, for example, indicate a need for specific BMPs to supplement
the quantitative effluent limits on specific pollutants in the permit
4.2.1.4 Best Management Practices and Pollution Prevention
Over the last 20 years, the NPDES program has focused on end-of-pipe treatment to meet
permit limits and the goals of the CWA. As a result, the goals of the CWA (fishable and
swimmable waters by 1983) have been met in some locations, but much progress still needs to be
made. Additionally, the CWA goal to end the discharge of pollutants into U.S. waters by 1985
has not been met. In the coming decade, it is clear that prevention rather than treatment is key to
solving the remaining pollution problems.
Under Section 6602 (b) of the Pollution Prevention Act of 1990, Congress established a
national policy for a hierarchy of environmental management:
Pollution should be prevented or reduced at the source, whenever feasible
Pollution that cannot be prevented should be recycled in an environmentally safe
manner, whenever feasible
Pollution that cannot be prevented or recycled should be treated in an environmentally
safe manner, whenever feasible
Disposal or other release into the environment should be employed only as a last resort
and should be conducted in an environmentally safe manner.
The Pollution Prevention Act emphasizes that pollution prevention means source reduction
and defines source reduction as any practice that:
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Reduces the amount of any hazardous substance, pollutant, or contaminant entering any
waste stream or otherwise released into the environment (including fugitive emissions)
prior to recycling, treatment, or disposal
Reduces the threats to public health and the environment associated with the release of
hazardous substances, pollutants, or contaminants
Increases the efficiency of using raw materials, energy, water, or other resources, or
protects natural resources by conservation.
Some methods that achieve source reduction include equipment or technology
modifications, process or procedure modifications, reformulation or redesign of products,
substitution of raw materials, and improvements in housekeeping, maintenance, training, or
inventory control.
The environmental management hierarchyprevention, recycling, treatment, and
disposalshould be viewed as establishing a set of preferences, rather than an absolute judgment
that prevention is always the most desirable option. The hierarchy is applied to many different
circumstances that require good judgment. Prevention includes what is commonly called in-
process recycling, but not out-of-process recycling. Recycling conducted in an environmentally
sound manner shares many of the advantages of prevention (e.g., energy and resource
conservation and reduction of the need for end-of-pipe treatment or waste containment).
Within the NPDES program, BMPs are inherently pollution prevention practices.
Traditionally, BMPs have focused on good housekeeping measures and good management
techniques that attempt to avoid contact between pollutants and water media as a result of leaks,
spills, and improper waste disposal. However, based on the authority granted under the
regulations, BMPs may include the universe of pollution prevention, which encompasses
productioa-modifications, operational changes, materials substitution, materials and water
conservation, and other such measures.
The regulatory authority for BMPs needs to be used to the maximum extent possible to
incorporate pollution prevention into the permit. The most likely scenario requires the
development of a BMP/Pollution Prevention (P2) plan that incorporates P2 activities into the
traditional BMP plan parts. P2 activities may include requirements for the permittee to develop a
plan to audit their feed stock, process, and discharge to determine how they may reduce the
amount of pollutants being discharged to the receiving stream.
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5. MUNICIPAL PERMIT CONSIDERATIONS
Nationally, there are more than 15,000 municipal point sources or publicly owned
treatment works (POTWs). In the early years of the National Pollutant Discharge Elimination
System (NPDES) program, municipal NPDES permits were probably viewed as easy to prepare
compared to industrial permits. The municipal permits at that time were fairly standard and
usually contained limits for a small number of conventional pollutants. However, several
regulatory changes and important realizations about municipal wastewater have increased the
complexity of municipal permitting and require special consideration including:
Secondary and equivalent to secondary treatment definition
Pretreatment
Municipal sewage sludge
Combined sewer overflows (CSOs).
Because of the special circumstances surrounding permitting for municipal sewage sludge,
this topic is discussed in Chapter 7; the other three topics will be discussed in the subsequent
sections of this chapter. A complete explanation of all of the aspects of these programs is outside
the scope of this document. Rather, the intent is to explain how these programs relate to the
process of writing municipal NPDES permits. The reader is referred to the various documents
listed in the bibliography for more detailed discussions of these programs.
5.1 MUNICIPAL-SPECIFIC EFFLUENT LIMITATIONS
As with industrial discharge limits, municipal discharge limits are derived from
technology-based limitations and water quality considerations. For purposes of discussion, one
may think of municipal wastewater treatment facilities as being analogous to a single industrial
category. The type of technology-based limit that is applicable to this category is called
secondary treatment. Secondary treatment limits are defined by regulation in 40 Code of Federal
Regulations (CFR) Part 133. The use of conventional secondary treatment limits is analogous to
guidelines for primary industries and typically does not involve Best Professional Judgment
(BPJ) decisions by the permit writer.
Changes to the secondary regulation initiated by the 1981 Amendments to the Clean Water
Act (CWA) introduced a BPJ-like concept to certain classes of municipal permits that formerly
incorporated conventional secondary treatment. This equivalent to secondary treatment
classification involves the consideration of various site-specific factors that may lead to the
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development- of effluent limitations, which are less stringent than conventional secondary
treatment limits, but which reflect treatment technologies which are considered to be equivalent-
to-secondary. The various site-specific factors that must be considered in this process include
the type of treatment technology employed and the operating history of the treatment facility or
of similar facilities. This topic is discussed in detail under the section on secondary treatment.
The same general water quality considerations that apply to industrial discharges also apply
to municipal discharges. However, when assessing water quality impacts with respect to
municipal discharges, the driving factors are usually in-stream dissolved oxygen concentration,
concern for specific toxic pollutants, and whole effluent toxicity. Dissolved oxygen concerns
stem from the fact that the primary pollutant in municipal wastewater is oxygen-demanding
matter, of both carbonaceous and nitrogenous origin. In some cases, nutrients (i.e., nitrogen and
phosphorous compounds) may also be of concern, as well as metals and organics that are
contributed by industrial users and that pass through the treatment system. Where a wasteload
allocation model or an areawide water quality plan indicates the need for more stringent limits
than technology-based limits (conventional secondary or equivalent to secondary), the permit's
effluent limitations must reflect these more stringent limits. In these cases, higher levels of
treatment must be applied to achieve the effluent levels desired to protect the receiving stream
quality. Such treatment may involve some additional treatment steps to augment a secondary
treatment system. These steps might include additional aeration or filters or chemical addition.
The resulting treatment scheme is then called advanced secondary, greater than secondary, or
tertiary depending upon the type of system. Finally, the permit writer should be aware of the
need to consider water quality-based limitations on toxic pollutants, particularly in those
situations where the contribution from industrial wastes to a municipal facility may be
significant.
An increased understanding of toxic pollutants in POTW effluents has resulted in an
increasing need for water quality-based limitations in municipal permits. While the National
Pretreatment Program is in place to control toxic pollutants introduced into POTWs, it is
essential that the permit writer assess the need for chemical-specific toxic limits in the municipal
permit data, since toxic pollutant data are not required and thus may not always be present in the
municipal permit application. Most POTWs with approved pretreatment programs are likely to
have collected POTW effluent data on toxics. This information can usually be obtained with the
help of the State or U.S. Environmental Protection Agency (EPA) Regional Pretreatment
Coordinator.
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5.7.7 Secondary and Equivalent-to-Secondary Treatment Definition
An important aspect of municipal wastewater is that it is amenable to biological treatment
The biological treatment component of a municipal treatment plant is termed secondary
treatment and is usually preceded by simple settling (primary treatment). Just as effluent
limitation guidelines applicable to an industrial category establish effluent limitations based upon
the appropriate treatment technology applicable to the industrial category, municipal guidelines
have been established based upon the efficiency of secondary treatment systems. This has
historically been defined in terms of (1) the desired effluent concentrations of 5-day biochemical
oxygen demand (BODs) and total suspended solids (TSS) i.e., 30 milligrams per liter (mg/1) (30-
day average) BODs and TSS and 45 mg/1 (7-day average), (2) the percent removal for BODs,
specified as 85 percent; and (3) the effluent pH value which must be maintained between 6.0 and
9.0 standard units (s.u.). Most POTWs are required to meet these minimum requirements.
The definition of secondary treatment was modified on September 20, 1984, and June 3,
1985, and published in the revised secondary treatment regulations contained in 40 CFR Part
133. These regulations allow alternative limits for facilities using trickling filters and waste
stabilization ponds that qualify for equivalent to secondary treatment. Several important
concepts form the basis for this revision of the regulations:
Certain classes of biological treatment facilities that are capable of achieving significant
reductions in BODs and TSS, but cannot consistently achieve secondary treatment,
should be defined as separate and distinct from secondary treatment facilities.
These facilities (equivalent to secondary) are cheaper and easier to operate and,
therefore, are utilized by smaller communities. The provisions established by EPA
should provide for continued use of these technologies where possible.
The technology-based effluent limitation approach used to establish secondary treatment
should be retained for equivalent to secondary treatment limits,
Water quality must not be adversely affected by the application of equivalent to
secondary treatment.
Costly treatment plant upgrading or replacement should be avoided where equivalent
facilities are operating sufficiently (e.g., achieving their original design performance
levels).
Regulations should address variations in facility performance due to geographic,
climatic, or seasonal conditions.
In recognition of the above factors, the revisions to include a definition for equivalent to
secondary treatment entail a change in the traditional definition of secondary treatment for some
POTWs. The capability and performance of an individual plant is assessed, and limits are
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selected from, a range of possible values. Although this process has been used for industrial
facilities, the concept has generally not been applied to municipal permits (with the exception of
interim permit limits).
To be eligible for equivalent-to-secondary limitations, a POTW must meet all of the
following criteria:
The principal treatment process must be either a trickling filter or waste stabilization
pond (e.g., the largest percentage of BODs and TSS removal is provided by the trickling
filter or waste stabilization pond system)
The effluent quality consistently achieved, despite proper operations and maintenance, is
in excess of 30 mg/1 BOD5 and TSS
The treatment works as a whole provides significant biological treatment such that a
minimum 65 percent reduction of BODs is consistently attained (30-day average).
A treatment works that is operating beyond its design hydraulic or organic loading limit is
not considered an eligible facility. If overloading or structural failure is causing poor
performance, the solution to the problem is construction, not effluent limitations adjustment.
There are several important implications of the equivalent-to-secondary treatment regulation as it
applies to specific municipal permitting issues. These issues are discussed below.
5.1.1.1 New Facility Limitations
As specified in 40 CFR 133.105(f), the permitting authority must set more stringent limits
for new facilities if an analysis of new plant performance shows that more stringent limits than
the maximum equivalent-to-secondary limits (45/45) can be met. Recently, a wide range of
designs (e.g., solids contact channels, covers) has been used on trickling filters to improve their
performance. This situation creates a performance dichotomy between old trickling filters and
current state-of-the-art plants. The regulations recognize this disparity and encourage States to
establish separate limits for new trickling filters based on current design practices in the State.
Where possible, an analysis of similar plants is the preferred method for establishing permit
limits where in-State data on new trickling filters are not available. Where no performance data
are available for determining new plant capability, literature values may be used.
5.1.1.2 Calculation of Permit Limits for Equivalent-to-Secondary Facilities
In most cases the permit limits for equivalent-to-secondary facilities will be selected from
the 30 to 45 mg/1 BODs and TSS monthly average and 45 to 60 mg/1 BODs and TSS weekly
average range established by the regulation. Obviously, not all permits will be set at the 45 mg/1
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monthly average and 65 mg/1 weekly average top of the range. The selection should be based on
current performance data for the last two years of operation, at a minimum.
Where the plant performance data contain erroneous values because of plant upsets, or
other situations not associated with poor operation or maintenance, an adjustment to the permit
limit calculation may be made. The data for the month in question may be adjusted by dropping
the erroneous daily value and recalculating the monthly average based on the remaining daily
values. Another alternative is to analyze monthly average values for a period greater than two
years and drop the monthly averages that are erroneous because of explained upset situations.
Discharge Monitoring Report (DMR) data should be used for calculations whenever possible.
The DMRs must support the permit limits decision for an equivalent to secondary facility. It
should be noted that the burden of proof for performance data and demonstration of proper
operation and maintenance is the responsibility of the municipality.
Often a trickling filter or lagoon will be combined with another biological process (i.e.,
activated sludge process) in one treatment plant. In this case, if the trickling filter or lagoon
qualifies for equivalent-to-secondary limits, the permit limits for the treatment plant can be
derived by averaging the equivalent-to-secondary and conventional secondary treatment limits.
To accomplish this, a flow-weighted average of the two effluent concentration limits should be
calculated and applied as the outfall limitation for the permit. An alternative to this approach is
the use of internal waste stream limitations as authorized by 40 CFR 122.45(h) for each
biological process effluent line. The permit writer should encourage the continued use of
existing trickling filters and lagoons, where appropriate, through the application of appropriate
equivalent-to-secondary limits. However, the permit writer must be sure that these facilities are
capable of meeting the proposed effluent limits without causing water quality impacts before the
permit limits can be adjusted. If one cannot determine this, equivalent-to-secondary limits
cannot be used in the permit.
5.1.1.3 Alternative State Requirements (ASRs)
The Alternative State Requirement (ASR) provision contained in 40 CFR 133.105(d) of the
regulation allows States the flexibility to set permit limits above the maximum levels of 45 mg/1
monthly average and 65 mg/1 weekly average BODs and TSS from lagoons meeting certain
requirements. Where lagoon suspended solids requirements are already above 45 mg/1 in
accordance with 40 CFR 133.103(c), an ASR by the State is not necessary, unless higher limits
are desired. To establish an ASR, the State must do two things:
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Identify a group of equivalent facilities that warrant different limits in exceedance of the
equivalent-to-secondary values contained in 40 CFR Part 133
Justify the higher permit limitations for these facilities.
The group of facilities can be selected because of climatic or geographic location, the type
of technology used, or any other supportable criteria. The analysis of plant data for the group
must be statistically sound and should follow the methods presented in EPA's Technical Support
Document for Water Quality-based Toxics Control. The ASR must be approved by the EPA
Region before permits can be written using the ASR values. The public notice of a proposed
ASR is the responsibility of the State. EPA has published approved ASRs in the September 20,
1984, Federal Register. Exhibit 5-1 is a summary of the ASRs for each State.
EXHIBIT 5-1: STATE-SPECIFIC ASRs
Location
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Aerated ponds
All others
Connecticut
Delaware
District of Columbia
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Controlled discharge, 3 cell
All others
Kansas
Kentucky
Louisiana
Maine
Alternate TSS Limit
(30-day average)
(mg/1)
90
70
90
90
95
75
105
None
None
None
, None
90
None
None
None
37
70
Case-by-case but not greater than 80
80
80
None
90
45
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EXHIBIT 5-1: STATE-SPECIFIC ASRs (CONTINUED)
Location
Maryland
Massachusetts
Michigan: Controlled seasonal discharge
Summer
Winter
Minnesota
Mississippi
Missouri
Montana
Nebraska
North Carolina
North Dakota
North and East of Missouri River
South and West of Missouri River
Nevada
New Hampshire
New Jersey
New Mexico
New York
Ohio
Oklahoma
Oregon
East of Cascade Mountains
West of Cascade Mountains
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
East of Blue Ridge Mountains
West of Blue Ridge Mountains
East slope counties: Loudoun,
Faquier, Rappahannock, Madison.
Green, Albemarle, Nelson. Amherst,
Bedford. Franklin. Patrick.
Alternate TSS Limit
(30-day average)
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161A/FS-Novcmber 24,1992-11:46 AM
EXHIBIT 5-1: STATE-SPECIFIC ASRs (CONTINUED)
Location
Virginia Islands
Washington
West Virginia
Wisconsin
Wyoming
Trust Territories and N. Marianes
Alternate TSS Limit
(30-day average)
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l«lA/FS-Noveinber 23,1992-5:18 PM
The use of-CBOD in the permit is not a substitute for nitrogen or ammonia limits if in-stream
nitrification or ammonia toxicity is creating a problem.
5.2 MUNICIPAL-SPECIFIC SPECIAL CONDITIONS
Several special conditions are exclusive to municipalities. These are pretreatment, CSOs,
and municipal sewage sludge. This section discusses pretreatment and CSOs. Municipal sewage
sludge is discussed in the special topics contained in Chapter 7.
5-2.7 Pretreatment
5.2.1.1 Statutory History
The discharge of industrial pollutants into municipal sewer systems can result in water
pollution and related problems at the local wastewater treatment plant. Congress decided that the
most feasible solution to this problem was to regulate discharges from industrial users and, where
necessary, require pretreatment by these users to remove pollutants from their wastewaters prior
to discharge into municipal sewers. Section 307(b) of the CWA focuses pretreatment
requirements on the control of toxic pollutants by establishing pretreatment standards for
industrial and commercial dischargers in specific industrial categories determined to be the most
significant sources of toxic pollutants referenced in Section 307(a) of the CWA. In Section
402(b)(8) of the CWA, Congress assigned the primary responsibility for enforcing national
pretreatment standards to the local POTWs and that this responsibility would be a condition of
the POTWs NPDES permit.
To implement this mandate, EPA first issued pretreatment regulations under 40 CFR Part
128 on November 8,1973. Subsequently, the General Pretreatment Regulations for Existing and
New Sources of Pollution were promulgated on June 26, 1978 as pan of 40 CFR Part 403, the
current location of the pretreatment regulations. Revised regulations have been established as
recently as July 1990. The regulations establish procedures, responsibilities, and requirements
for EPA, States, local governments, and industry.
5.2.1.2 Objectives of the Pretreatment Program
Four major problems can be prevented through implementation of a local pretreatment
program:
Interference With POTW OperationsSince municipal wastewater treatment systems
are designed primarily to treat domestic wastes, the introduction of nondomestic wastes
may affect these systems. For example, the bacteria in activated sludge treatment
systems can be inhibited by toxic pollutants. The result is interference with the
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treatment process, which means that domestic and industrial wastes may be improperly
treated before being discharged into the receiving stream.
Pass-Through of PollutantsEven if pollutants do not interfere with the treatment
systems, they may pass through POTWs without being adequately treated because the
systems are not designed to remove them.
Municipal Sludge ContaminationThe removal of certain pollutants (particularly
metals) by the POTW's treatment system can result in contamination of its sludge. Such
contamination can limit the POTW's sludge management alternatives and increase the
cost of appropriate sludge disposal methods.
Exposure of Workers to Chemical HazardsWhen combined with domestic wastes,
industrial wastes can produce poisonous gases that may be hazardous to POTW
personnel.
The pretreatment regulations require that if a POTW (or combination of POTWs operated
by the same authority) has a design flow greater than 5 million gallons per day (MGD) and
receives wastes subject to Pretreatment Standards, it must establish a pretreatment program as a
condition of its NPDES permit. POTWs with design flows less than 5 MGD may also be
required to establish a pretreatment program if nondomestic wastes cause upsets, sludge
contamination, or violations of the POTW's NPDES permit conditions.
Five States (Connecticut, Vermont, Alabama, Nebraska, and Mississippi) have elected to
implement the pretreatment requirements at the State level, in lieu of requiring approval for local
pretreatment programs. This alternative is authorized pursuant to 40 CFR 403.10(e). About
1,500 of the Nation's 15,000-plus POTWs have approved pretreatment programs. The remaining
municipal treatment plants are not believed to be receiving industrial wastes of concern at this
time and will probably not be required to develop pretreatment programs unless local
circumstances regarding their industrial users change.
5.2.1.3 Pretreatment Standards
The pretreatment regulations provide for three types of pretreatment standards to control
pollutant discharges into POTWs. First, prohibited discharge standards promulgated by EPA
apply to all nondomestic sources of pollutants discharged to POTWs. Second, categorical
pretreatment standards apply to users in specific industrial categories determined to be the most
significant sources of toxic pollutants. Third, POTWs are required to establish local limits where
necessary to protect the environment or the municipal sewage system.
Prohibited discharge standards include a general prohibition against any pollutant that
causes pass-through or interference and specific prohibitions that are intended to protect the
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POTW treatment plant and its operations. The specific prohibitions forbid the introduction of the
following pollutants:
Pollutants that create a fire or explosion hazard (flash point less than 104°F/60°C) in the
sewers or treatment works
Pollutants that are corrosive (or with a pH lower than 5.0 s.u.)
Solid or viscous pollutants in amounts that cause obstructions
Any pollutant released at a flow rate and/or concentration that causes interference,
including oxygen demanding pollutants (e.g., BOD5)
Pollutants that increase the temperature of wastewater entering the treatment plant to
above 104°F(400°C)
Petroleum oil, nonbiodegradeable cutting oil, or products of mineral oil in amounts that
cause interference or pass-through
Pollutants that result in the presence of toxic gases, vapors, or fumes
Any trucked or hauled pollutants, except at discharge points designated by the POTW.
Categorical pretreatment standards are uniform, national technology-based standards
established for specific industrial categories. They are published by EPA as a separate
regulation. The standards contain limitations for pollutants commonly discharged within each
specific industrial category. All firms regulated by a particular category are required to comply
with these standards, no matter where they are located in the United States.
Local limits are established by POTWs in consideration of site-specific factors such as
NPDES permit limits, receiving stream water quality sludge use and disposal practices, and the
operational characteristics of the POTW treatment plant. Sound technically based local limits are
the key to achieving the environmental objectives of the pretreatment program. All POTWs with
approved pretreatment .programs are required to develop and implements local limits and to
evaluate, every 5 years, whether their limits need to be revised. POTWs without approved
pretreatment programs that are experiencing pass-through and interference may be required to
develop local limits.
There are a number of different methods to calculate appropriate and technically defensible
local limits. EPA's December 1987 and May 1991 Guidance on the Development and
Implementation of Local Discharge Limitations Under the Pretreatment Program provide
various methods of calculating local limits. The predominant approach used by POTWs and
advocated in the guidance is a chemical-specific approach known as the Maximum Allowable
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Headworks--Loading (MAHL) method. This method involves back-calculating from
environmental and plant protection criterion to MAHLs. This is accomplished, pollutant by
pollutant, for each environmental criteria or plant requirement. The lowest or most limiting
value for each pollutant serves as the basis for allocation to industry and for ultimately setting
local limits. The following steps detail the MAHL local limits development process:
Step 1Collect data for local limits development.
- Determine pollutants of concern.
- Characterize existing loadings from industrial users, hauled waste contributions, and
remaining domestic/commercial contribution through the monitoring program.
- Determine applicable environmental criteria, including NPDES permit limits,
receiving stream water quality criteria and standards, sludge use and disposal
practices, and inhibition of treatment plant processes.
Step 2Develop the MAHLs.
Step 3Determine maximum allowable industrial loadings and allocate them to
industrial users.
Step 4Incorporate local limits into individual control mechanisms and the sewer use
ordinance.
Step 5Revise local limits where conditions dictate such, but at least once every five
years.
Besides the MAHL methods, other methods of local limits development have been used by
POTWs. These include the collection system approach, industrial user management practice
plans, and case-by-case discharge limits. These approaches are briefly described as the
following:
Collection System ApproachTo apply this method, the POTW identifies pollutants
that may cause fire and explosion hazards or other worker health and safety concerns.
Pollutants found to be present are evaluated for their propensity to volatilize and are
modeled to evaluate their expected concentration in air. Comparisons are made with
worker health exposure criteria and lower explosive limits. Where values are of
concern, the POTW may set limits or require development of management practices to
control undesirable discharges. The collection system approach may also consider the
prohibition of pollutants with specific flashpoints to prevent discharge of ignitable
wastes.
Industrial User Management Practice PlansThis approach consists of POTWs
requiring industrial users to develop management practices as enforceable pretreatment
requirements for the handling of chemicals and wastes. Example practice plans include
chemical management practices, best management practices, and spill prevention plans.
Management practice plans are usually narrative local limits.
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Case-by-Case Discharge LimitsIn this approach, a POTW may set numeric local
limits based on BPJ and on available technologies that are known to be economically
feasible. This approach is most often used when insufficient data are available to
employ other methods.
5.2.1.4 Relationship of the Pretreatment Program to the NPDES Program
States with approved programs have the responsibility of overseeing and coordinating the
development of local pretreatment programs and approving or disapproving local pretreatment
program submissions. If a State does not administer a pretreatment or NPDES program, then
EPA is the Approval Authority for local pretreatment programs. However, many States
participate in pretreatment activities even if their State program is not approved.
The development and implementation of a pretreatment program are integral and
enforceable components of the POTW's NPDES permit. Initially, POTWs are notified by EPA
or their State water pollution control agencies that they are required to develop local pretreatment
programs. A compliance schedule (generally 1 year) is included in the NPDES permit and
typically outlines milestones and dates for program completion. As pan of pretreatment program
development, POTWs are required to develop and document the necessary authorities,
information, and procedures to implement local programs.
Once the local pretreatment program is approved, 40 CFR 122.63 provides that the permit
be modified, as a minor modification, to incorporate the conditions and requirements of the
approved pretreatment program. Note that approved programs are not enforceable until the
POTW's NPDES permit requires them to be implemented. Typically, in the past, the modified
NPDES permit included simple language that required the POTW to implement its approved
program and the requirements of the General Pretreatment Regulations. Over time, it has
become apparent that more specific and detailed language in the POTW's NPDES permit has
certain advantages, such as a clearer standard of performance and improved enforceability
against the POTW. EPA has distributed model language requiring POTW program
implementation. Exhibit 5-2 provides an abbreviated summary of requirements of the model
permit language, which in turn provides good insight into the responsibilities of POTWs for
implementing local pretreatment programs.
EPA and the States oversee and evaluate POTW program implementation and compliance
through the review of POTW reports and onsite evaluation (e.g., pretreatment audits and
compliance inspections).
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161AyFS-November 24,1992-11:48 AM
EXHIBIT 5-2: EXAMPLE POTW PRETREATMENT PROGRAM
IMPLEMENTATION REQUIREMENTS
Adopt and maintain legal authority to conduct pretreatment program activities as per
40 CFR 403.8(f)(l)
Establish multijurisdictional agreements (for industrial users located in other
jurisdictions)
Identify and locate industrial users
Develop and enforce local limits
Issue individual control mechanisms (e.g., permits) to all significant industrial users
(SIUs)
Perform inspections and sampling at each SIU at least annually
Review industrial user reports
Take enforcement action and publish public notice of users in significant
noncompliance
Perform data management and recordkeeping
Ensure public participation
Secure and maintain resources
Report at least annually to the State/EPA
Monitor POTW treatment plant influent, effluent, and sludge
Evaluate the environmental effectiveness of the POTW pretreatment program.
Role of the Permit Writer
An NPDES State or an EPA Region will often designate an individual (e.g., pretreatment
coordinator) to serve as the pretreatment expert The pretreatment coordinator is a key resource
on pretreatment issues, particularly at the time of NPDES permit reissuance. However, in most
cases, it will be the responsibility of the permit writer to identify relevant pretreatment concerns
and ensure they are appropriately addressed in the permit. Therefore, the permit writer must be
familiar with requirements of the pretreatment program since, as discussed above, he or she will
become an integral part of the NPDES permit. Further, the POTW's pretreatment program can
serve as an important source of information for other municipal permit considerations.
The major roles and contributions of the municipal permit writer are briefly discussed
below:
Identify the Need for a Pretreatment ProgramWhen reviewing the municipal permit
application, it may become apparent that a POTW should have a pretreatment program
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because of concerns about industrial users or historical operational or compliance
problems. The pretreatment coordinator should be consulted in these cases.
Modify Pretreatment Implementation Language/Initiate Corrective Action
Reissuance of the NPDES permit is the opportunity to adjust the requirements for an
approved program. The results of a recent audit or pretreatment compliance inspection
may have identified deficiencies that can be addressed through reissuance of the NPDES
permit Also, the permit writer may notice that the pretreatment boilerplate in the
expiring NPDES permit is not detailed and specific. The permit writer is encouraged to
coordinate reissuance of all permits for pretreatment POTWs with the pretreatment
coordinator.
Identify the Need for Water Quality-Based ControlsUntil recently, municipal
application requirements did not require POTWs to submit any data related to the
toxicity of POTW's effluent. In a July 1990 rule, EPA began to require all pretreatment
POTWs and POTWs with flows more than 1 MOD to submit the results of a valid whole
effluent toxicity (WET) test with their application for a permit. These data can help
establish the need for and basis of further WET controls. There is currently no
requirement for chemical-specific toxics effluent monitoring to be submitted with the
permit application. However, most pretreatment POTWs have performed toxics
monitoring of their influent, effluent, and sludge. The permit writer should obtain such
data, with the aid of the pretreatment coordinator. These data can be used to determine
the need for water quality-based limits.
5.2.2 Combined Sewer Overflows
Combined sewer systems are designed to achieve two purposes: control sanitary and
industrial wastewater and control storm water runoff. During dry weather, combined sewers,
carry sanitary wastes and industrial discharges to a treatment plant. In periods of heavy rainfall,
however, the combined storm water runoff and untreated sanitary sewage, including industrial
components, can overflow the structures that normally divert the wastewater to a POTW and
instead divert this untreated wastewater directly to a water body. These overflows are called
CSOs. A typical diagram of a CSO is provided in Exhibit 5-3.
CSOs are point source discharges subject to the technology-based requirements of the
CWA and to applicable State water quality standards. Under the CWA, CSOs must comply with
the Best Available Technology Economically Achievable (BAT) for nonconventional and toxic
pollutants and Best Conventional Pollution Control Technology (BCT) for the conventional
pollutants. Furthermore, they must achieve compliance with applicable State water quality
standards. However, since these discharges are not POTW effluent discharges, they are not
subject to secondary treatment regulations.
There are no promulgated BAT/BCT effluent guidelines and limitations for CSOs. As a
result, permit writers must use their judgement in developing technology-based permit
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M
I
Stormwater
connections
Ov
Sanitary
connections
Overflow
Receiving Water
To wastewater
treatment plant
V
u
8
2
8
1
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161A/FS-November 23,1992-5:18 PM
requirements. Broad authority under the CWA is provided in authorizing the development of
NPDES permit conditions on a case-by-case basis. BPJ is the permit writer's opinion as to what
constitutes technically-based permit conditions considering all reasonable available and relevant
data after a multidisciplinary approach examination and evaluation. Permit writers must clearly
define and document the need for CSO permit requirements and the basis for their establishment.
In short, the rationale for CSO special conditions must be clearly drafted to withstand the
scrutiny of not only the permittee but also the public and, possibly, a hearing officer.
For CSO discharges, the permit writer should weigh those considerations appropriate for
CSOs in general, as well as information specific to a particular CSO. In developing permit
requirements to meet technology-based requirements and applicable State water quality
standards, the permit writer may decide that particular issues are appropriate considerations in
developing conditions for CSOs. EPA believes that the following general considerations will be
particularly relevant:
CSO Discharge
- Row, frequency, and duration of the CSO discharge
- Available effluent characterization data on the CSO discharge
- Available information and data on the impacts of the CSO discharge(s) (e.g., 305(h))
reports, ambient survey data, fish kills, 304(1) lists of impaired waters)
- Compliance history of the CSO owner, including performance and reliability of any
existing CSO controls
- Current NPDES permit and NPDES permit application
- Facility planning information from the permittee which addresses CSOs.
Technologies
- Performance data (either from the manufacturer or from other applications) for
various CSO technologies that may be employed, including equipment efficiency and
reliability
- Cost information associated with both the installation and operations and maintenance
of CSO technologies
- Reference materials on various types of CSO technologies (e.g., WEF Manual of
Practice, ASCE publications).
EPA's National Combined Sewer Overflow Control Strategy, issued in August 1989, stated
that, as a minimum BAT/BCT, NPDES permits should require six technology-based control
measures:
Proper operation and maintenance for sewer system and CSO points
Maximization of storage in collection system
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Minimization of CSO impacts through pretreatment program modifications
Maximization of flow to POTW for treatment
Prohibition of dry weather overflows
Control of solids and floatables.
EPA's Office of Water's Management Advisory Group has recently recommended that
EPA require three additional control measures in NPDES permits as minimum control measures:
Inspections and monitoring
Pollution prevention
Public notification.
Permit writers should include these nine minimum technology-based CSO control measures
in any NPDES permit issued to control CSO discharges. When the permit writer determines that
these nine control measures do meet the technology-based requirements of the CWA and
applicable State water quality standards, the permit writer has satisfied the statutory
requirements. When the determination is that these nine minimum control measures are not
sufficient to achieve the level of control required to alleviate the impacts of the CSO discharges,
then the permit writer must select additional control measures. Using BPJ, the permit writer
must include additional measures that will achieve the incremental level of control necessary to
reduce the CSO impacts to the required degree. EPA's strategy also identified the following 17
additional CSO control measures that the permit writer should consider to bring wet weather
CSO discharges into compliance with B AT/BCT requirements and applicable State water quality
standards:
t
* Improved operation and maintenance
Best Management Practices (BMPs)
System-wide storm water management programs
Supplemental pretreatment program modifications
Sewer ordinances
Local limits program modifications
Identification and elimination of illicit discharges
Monitoring requirements
Pollutant-specific limitations
Flow minimization and hydraulic improvements
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Direct treatment of overflow
Sewer rehabilitation
In-line/off-line storage
Reduction of tidewater intrusion
Construction of CSO controls within sewer system or at CSO discharge points
Sewer separation
New/modified wastewater treatment facilities.
The permit writer must base the selection of these measures on good judgement in order to
determine which control measures are necessary to meet statutory requirements. The permit
writer must also use all available resources in developing NPDES permits that control CSO
discharges and satisfy all the requirements in the NPDES regulations, including technology-
based requirements and any applicable State water quality standards. If the permits do not meet
these minimal levels of control, they are vulnerable to successful challenges by the permittee or
by other interested parties.
EPA is currently preparing CSO-specific permitting guidance to reflect a to-be-developed
CSO Permitting Strategy.
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6. WATER QUALITY-BASED PERMITTING
A water quality-based limit is designed to protect the water quality of a receiving water by
ensuring that State water quality standards are met. To understand how to develop water quality-
based limits, the permit writer must be familiar with the concepts of water quality standards.
This chapter discusses water quality standards, approaches to water quality-based toxics control,
determination of the need for a water quality-based effluent limit (WQBEL), and procedures for
setting WQBELs. For more detailed information on water quality-based permitting, refer to the
U.S. Environmental Protection Agency (EPA) manual, entitled Technical Support Document for
Water Quality-based Toxics Control (TSD).
6.1 WATER QUALITY STANDARDS
Water quality standards define the water quality goals of a waterbody and, under the Clean
Water Act (CWA), every State must develop water quality standards applicable to the various
bodies of water within the State. Once developed, EPA must approve or disapprove of these
standards. The water quality standards should (1) include provisions for restoring and
maintaining chemical, physical, and biological integrity of State waters, (2) provide, wherever
attainable, water quality for the protection and propagation of fish, shellfish, and wildlife and
recreation (fishable/swimmable) in and on the water, and (3) consider the use and value of State
waters for public water supplies, propagation of fish and wildlife, recreation, and industrial
purposes and navigation. Water quality standards comprise three parts:
Uses or classifications of waters
Water quality criteria
Antidegradation policy.
x
The permit writer should be aware that the basis for the development of criteria and
standards is constantly evolving. States review their water quality standards and revise them if
necessary, at least once every three years. Whenever writing a permit, the permit writer must use
the most current State water quality standards.
In addition, States may, at their discretion, adopt policies affecting the application and
implementation of the standard, such as mixing zones, variances, low flow exemptions, or
schedules of compliance for water quality-based permit limits. However, EPA retains authority
to review and approve or disapprove of such policies.
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6.1.1 Use -or Classifications of Waters
The CWA describes various uses of waters that are considered desirable and should be
protected. These uses include public water supply, recreation, and propagation of fish and
wildlife. The States are free to designate more specific uses (e.g., cold water and warm water
aquatic life) or to designate uses not mentioned in the CWA, with the exception that waste
transport and assimilation are not acceptable designated uses (see 40 Code of Federal
Regulations [CFR] 131.10(a)). Designated uses should support the fishable/swimmable goal of
Section 101(a)(2) of the CWA. Water quality standards, including use classifications, are to be
reviewed by the States and, where appropriate, modified at least every three years.
Water Quality Criteria
The regulations in 40 CFR 131.11 encourage States to adopt both numeric and narrative
water quality criteria. Aquatic life criteria should protect against both short-term (acute) and
long-term (chronic) effects. Numeric criteria are particularly important where the cause of
toxicity is known or for protection against pollutants with potential human health impacts or
bioaccumulation potential. Numeric criteria are expressed in terms of concentration. Narrative
criteria can be the basis for limiting the toxicity of waste discharges where a specific pollutant
can be identified as causing or contributing to the toxicity but there are no numeric criteria in the
State standards or where toxicity cannot be traced to a particular pollutant. For example, a
narrative criterion is a statement that requires discharges to be "free from toxics in toxic
amounts."
Water quality criteria developed by EPA and States for various pollutants of concern are
scientifically based ambient limits expressed in terms of concentration. The primary resource
available to determine the water quality criteria for a specific body of water is the State water
quality standards. Typically, States have water quality criteria to protect human health and
aquatic life uses. The criteria values represent the numbers that States determine must not be
exceeded in order to protect the designated uses of State waterbodies. Since water quality
criteria may depend on the waterbody, the criteria may vary among States and even among
receiving waters within a State.
EPA periodically updates and publishes water quality criteria which States can use as
guidelines to help develop their criteria or to supplement their criteria. EPA criteria are
recommended levels not to be exceeded in a body of water. These levels are designed to protect
the aquatic life and human health criteria for the designated beneficial use/classification. For
example, the maximum chronic criteria for zinc are 86 micrograms per liter (ng/1) for marine
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waters and '110 Jig/1 for fresh water aquatic life. EPA's past lists of water quality criteria are
referred to as the Green, Blue, Red, Toxics, and Gold Books, published in 1968, 1973, 1976,
1980, and 1986 respectively. Toxic criteria were published in the 1980 water quality criteria
documents for the 65 compounds and families of compounds listed in Section 307 (a) of the
CWA as priority pollutants.
Numeric criteria are required where they are necessary to protect designated uses. Numeric
criteria to protect aquatic life should be developed to address both short-term (acute) and long-
term (chronic) effects. Adoption of numeric criteria is particularly important for toxicants known
to be impairing surface waters and for toxicants with potential human health impacts (e.g., those
with high bioaccumulation potential). Human health should be protected from exposure
resulting from consumption of water and fish or other aquatic life (e.g., mussels, crayfish).
Numeric water quality criteria also are useful in addressing nonpoint source pollution problems.
To supplement numeric criteria for toxicants, all States have also adopted narrative criteria
for toxicants. Narrative criteria are statements that describe the desired water quality goal, such
as "All State waters must, at all times and flows, be free from substances that are toxic to humans
or aquatic life."
The science that forms the basis of water quality criteria development is constantly
evolving. For example, two new areas where criteria are being developed include biological and
sediment criteria.
Biological criteria are numerical values or narrative expressions that describe the reference
biological integrity of aquatic communities inhabiting unimpaired waters of a designated aquatic
life use. The biological communities in these waters represent the best attainable condition for
the organisms. According to EPA policy, States should develop and implement biological
criteria in their water quality standards.
Although ambient water quality criteria are playing an important role in ensuring a healthy
aquatic environment, they alone have not been able to ensure appropriate levels of environmental
protection. Sediment contamination, which can involve deposition of toxicants over long periods
of time, is also responsible for affecting water quality. EPA is currently developing sediment
criteria and sediment guidance.
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6.13 AriGdegradation Policy
EPA's regulation for water quality standards requires each State to adopt, as pan of its
water quality standards, an antidegradation policy consistent with 40 CFR 131.12 and to identify
the methods it will use for implementing the policy. EPA's antidegradation regulations require
States to maintain the quality of high quality waters and outstanding natural resources even
where the designated uses of such waters would permit lower water quality.
6.1.4 Other Policies
It is not always necessary to meet all water criteria at the outfall to protect the integrity of
the waterbody as a whole. Sometimes it is appropriate to allow for ambient concentrations above
the criteria in small areas near outfalls. These areas are called mixing zones.
The CWA allows mixing zones at the discretion of the State. EPA recommends that States
have a definitive statement in their standards on whether or not mixing zones are allowed. When
they are, the State should include in their standards a description of the procedures for defining a
mixing zone. The TSD gives recommendations on mixing zone allowances.
To ensure that mixing zones do not impair the integrity of the waterbody, the mixing zone
must not cause lethality to passing organisms and, considering likely pathways of exposure, must
not cause significant health risks. One way to achieve these objectives is to limit the size of the
area affected by the mixing zones.
6.2 APPROACHES TO WATER QUALITY-BASED TOXICS CONTROL
The objective of water quality-based toxics control is to protect water quality standards for
aquatic life and human health and wasteload allocations through the implementation of permit
limitations. This is accomplished using three different approaches: the chemical-specific
approach, the whole effluent toxicity (WET) approach, and the biological criteria or
bioassessment approach. These approaches have unique, as well as overlapping, attributes.
To be fully protective of water quality, EPA recommends that regulatory agencies strive to
integrate the chemical-specific, WET, and biological criteria approaches because each has its
respective capabilities and limitations. The TSD highlights the strengths and weaknesses of each
approach.
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6.2.7 Chemical-Specific Approach
The chemical-specific approach, developed in the 1960s, involves the use of chemical
specific criteria that are adopted into a State's water quality standards. This approach features
numeric criteria that protect aquatic life from acute and chronic effects. These criteria are used
as the basis to analyze an effluent and decide which chemicals need controls and to derive permit
limits to control those chemicals. This approach allows for the control of individual chemicals
before a water quality impact has occurred.
6.22 Whole Effluent Toxicity Approach
WET, the second approach to water quality-based toxics control, is the aggregate toxic
effect of a complex mixture of pollutants. The WET approach is important because specific,
numeric criteria for all pollutants have not been developed and there is no set determination of
the toxicity caused by the interaction of different pollutants. Ultimately, this approach allows the
permit writer to protect the narrative "no toxics in toxic amounts" standard, which is applicable
to all U.S. waters.
This approach involves the use of toxicity tests to measure the toxicity of wastewater. A
toxicity test measures the degree of response of exposed aquatic test organisms to a specific
chemical, an effluent, or receiving water samples. There are two types of toxicity tests: acute
and chronic. An acute toxicity test is usually conducted over a period of 48 hours and the
endpoint measured is mortality. The endpoint for an acute test is often expressed as the lowest
concentration of a toxicant that is lethal to 50 percent of the exposed test organisms (LC50).
A chronic toxicity test is usually conducted over a period of 7 days and the endpoint
measured is latent mortality and sublethal effects, such as changes in reproduction and growth.
The endpoint is often expressed as the no observed effect concentration (NOEC) and the lowest
observed effect concentration (LOEC). The NOEC is the highest concentration of a toxicant or
effluent at which no adverse effects are observed on the aquatic test organisms. The LOEC is the
lowest concentration of toxicant that causes observable adverse effects in exposed test
organisms.
To express criteria, facilitate modeling, and express permit limits, EPA recommends that
toxicity be expressed in toxic units (TUs). A TU is merely the inverse of the sample fraction.
Toxicity expressed as percent sample is divided into 1(X) to obtain toxic units. For example, if a
chronic test result is a NOEC of 25 percent effluent, that result can be expressed as 100/25 or 4
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chronic toxio units (4 TUc); if an acute test result is a LC50 of 50 percent, that result can also be
expressed as 100/50 or 2 acute toxic units (2 TUa).
It is important to distinguish TUa (acute toxic units) from TUc (chronic toxic units). The
difference between TUa and TUc can be likened to the difference between miles and kilometers.
In order to compare a TUa and a TUc, an acute-to-chronic ratio (ACR) needs to be used. The
ACR is a conversion factor that changes TUa into equivalent TUc. The ACR = LC50/NOEC. If
data are insufficient to calculate an ACR, EPA's TSD recommends a default value of ACR =10.
63.3 Biological Criteria or Biological Assessment Approach
This approach is used to assess the overall biological integrity of an aquatic community in
order to protect water quality standards and to define designated uses of waterbodies. A
bioassessment is an evaluation of the biological condition of a waterbody using biological
surveys and other direct measurements of resident biota in surface waters. A biosurvey consists
of collecting, processing, and analyzing representative portions of a resident aquatic community
to determine the community structure and function.
The biocriteria approach first involves the use of numeric or narrative values to describe the
biological integrity of aquatic communities in a reference waterbody, and then biosurveys are
used to collect information on the overall health of aquatic communities in a waterbody of
interest. The results of the biosurveys are compared to the reference waterbody to determine if
the criteria are met. EPA issued guidance on this approach in the Biological Criteria: National
Program Guidance for Surface Waters.
6.3 DETERMINATION OF THE NEED FOR A WQBEL
Once the applicable designated uses and water quality criteria for a waterbody are
determined and, if after technology based limits are applied, the receiving water concentrations
still exceed the water quality standards, the discharges into such waters are subject to further
reduction. EPA regulations at 40 CFR 122.44(d) require that all effluents be characterized by the
permit authority to determine the need for WQBELs to control the discharge.
The purpose of effluent characterization is to determine whether the discharge causes, has
the reasonable potential to cause, or contributes to an excursion of numeric or narrative water
quality criteria. EPA's regulation at 40 CFR 122.44(d)(l) establishes grounds for determining if
there is an excursion of the numeric or narrative water quality criteria. At a minimum, the
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permitting authority must make this determination at each permit reissuance and must develop
permit limits that will control the discharge.
When conducting an effluent characterization, the permit writer is essentially projecting the
concentration of the pollutant(s) contained in the effluent once the effluent enters the receiving
water. The permit writer then compares this projected receiving water concentration to the
applicable State water quality criteria. If the projected concentration exceeds the applicable
water quality criteria, the permit writer has established that WQBELs are needed.
In making a determination of the need for a permit limit for WET or an individual toxicant,
the permit authority is required to consider, at a minimum, existing controls on point and
nonpoint sources of pollution, the variability of the pollutant or pollutant parameter in the
effluent, the sensitivity of the species to toxicity testing (for whole effluent), and where
appropriate, the dilution of the effluent in the receiving water (40 CFR 122.44(d)(ii)).
63.1 Determination of the Need for WQBELs With Effluent Monitoring Data
When characterizing an effluent for the need for a WET, and/or an individual toxicant
limit, the regulatory authority should use any available effluent monitoring data as the basis for a
decision. The regulatory authority may already have effluent toxicity data available from
previous monitoring or it may decide to require the permittee to generate effluent monitoring
data prior to permit issuance or as a condition of the issued permit. EPA recommends
monitoring data be generated on effluent toxicity prior to permit limit development for the
following reasons: (1) the presence or absence of effluent toxicity can be more clearly
established or refuted, and (2) where toxicity is shown, effluent variability can be more clearly
defined.
6.3.2 Determination of the Need for WQBELs Without Effluent Monitoring Data
If the permit authority so chooses, or if the circumstances dictate, the authority may decide
to develop and impose a permit limit for WET or individual toxicants without facility-specific
effluent monitoring data. WQBELs can be set for a single parameter or WET based on the
available dilution and the water quality criterion or State standard in the absence of facility-
specific effluent monitoring data. In justification of a limit, EPA recommends that the more
information the authority can acquire to support the limit, the better a position the authority will
be in to defend the limit if necessary. In such a case, the regulatory authority may well benefit
from the collection of effluent monitoring data prior to establishing the limit.
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If the regulatory authority, after evaluating all available information on the effluent, in the
absence of effluent monitoring data, is not able to decide whether the discharge causes, has the
reasonable potential to cause, or contributes to an excursion above a numeric or narrative
criterion for WET or for individual toxicants, the authority should require WET or chemical-
specific testing to gather further evidence. In such a case, the regulatory authority can require the
monitoring prior to permit issuance, if sufficient time exists, or it may require the testing as a
condition of the issued (reissued) permit.
Under such circumstances, the permit authority may include a permit reopener allowing for
the imposition of an effluent limit if the effluent testing establishes that the discharge causes, has
the reasonable potential to cause, or contributes to an excursion above a water quality criterion.
6.3.3 Uncertainty in Effluent Characterization by Generating Effluent Monitoring Data
Using Statistics
All toxic effects testing and exposure assessment parameters, for both effluent toxicity and
individual chemicals, have some degree of uncertainty. The fewer the pieces of effluent data
available, the greater the uncertainty of the data. For example, if a regulatory authority has only
one piece of effluent data (i.e., an LCSO of 50%) for a facility, uncertainty results because of
limited monitoring data. Effluent variability in such a case, given the range of effluent toxicity
variability seen in other effluents, may range between 20 percent to 100 percent (see Appendix A
in the TSD). It is impossible to determine from one piece of monitoring data where in this range
the effluent variability really falls. More monitoring data would be needed to determine the
actual variability of this effluent and reduce this source of uncertainty.
To better characterize the effects of effluent variability and to reduce uncertainty in the
process of deciding whether to require an effluent limit, EPA has developed a statistical
approach, which is discussed in Chapter 3 of the TSD. This approach combines knowledge of
effluent variability with the uncertainty due to a limited number of data to project an estimated
maximum concentration for the effluent. This projected maximum concentration, after
considering dilution, can then be compared to an appropriate water quality criterion to determine
the potential for exceeding that criterion and the need for an effluent limit.
6.4 PROCEDURES FOR SETTING WATER QUALITY-BASED LIMITS
6.4.1 Waste Load Allocation and Exposure Assessment
The difficulty of setting WQBELs is further complicated where water quality in a water
body is affected by more than one discharger and the burden of effluent reduction must be
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allocated among the various dischargers. The first step in this process is to establish waste load
allocations to determine the total maximum daily load (TMDL) of discharges to a waterbody.
A TMDL is the sum of the individual pollutant allocations from point sources, nonpoint
sources, and natural background sources, complemented by a margin of safety. The TMDL
process uses water quality analyses to predict water quality conditions and pollutant
concentrations. Point source wasteload allocations (WLAs) and nonpoint source load allocations
(LA) are established so that predicted receiving water concentrations do not exceed water quality
criteria. TMDLs and WLAs or LAs should be established at levels necessary to attain and
maintain the applicable narrative and numerical water quality standards, with seasonal variations
and a margin of safety that account for any lack of knowledge concerning the relationship
between point and nonpoint source loadings and water quality.
Before calculating a water quality-based effluent limit, the permit writer must determine the
WLA for the point source involved. A WLA is the traction of a receiving water's TMDL that is
allocated to one of its existing or future point sources of pollution.
An exposure assessment is the method used to determine the appropriate WLA. The water
quality model is the primary tool used by regulatory agencies in conducting an exposure
assessment to determine a WLA. Models establish a quantitative relationship between a
particular waste load and its impact on water quality. Modeling is usually conducted by a
specialized work group within the regulatory agency; however, it is important that the permit
writer understand this process. The permit writer will use the end result of the model (i.e., the
WLA) to derive a water quality-based permit limitation.
^ Two major types of water quality models are Used to conduct an exposure assessment:
steady-state and dynamic. The selection of the model depends on the characteristics of the
receiving water, the availability of effluent data, and the level of sophistication desired. The
minimum data required for model input include receiving water flow, effluent flow, effluent
concentrations, and background concentrations.
6.4.1.1 Steady-State Models
If only a few toxicant or effluent toxicity measurements are available or if a daily receiving
water flow record is not available, steady-state assessments should be used. Single-value or two-
value steady-state WLA models calculate WLAs at critical conditions, which are usually
combinations of worst-case assumptions of flow, effluent, and environmental effects. For
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example, a steady-state model for ammonia considers the maximum effluent discharge to occur
on the day of the lowest river flow, highest upstream concentration, highest pH, and highest
temperature. Permit limits derived from a steady-state model will be protective of water quality
standards at the critical conditions and for all environmental conditions less than critical.
Steady-state modeling involves the application of a mass-balance equation, which allows
the analyst to equate the mass of pollutants upstream of a given point (generally at a pollutant
discharge, tributary stream, or lateral inflow) to the mass of pollutants downstream after
complete mixing. Using the simplified diagram in Exhibit 6-1, the general formula for the mass-
balance model is as follows:
EXHIBIT 6-1: MASS BALANCE WATER QUALITY CALCULATIONS
QdCd + QsCs = QrCr
Qd, Cd
Discharge
Qs, Cs
Upstream
Qs, Cr
Downstream
Qd = waste discharge flow in million gallons per day (MGD) or cubic feet per second (cfs)
Cd = pollutant concentration in waste discharge in milligrams per liter (mg/1)
Qs = background stream flow in MGD or cfs above point of discharge
Cs = background in-stream pollutant concentration in mg/1
Qr = resultant in-stream flow, after discharge in MGD or cfs
Cr = resultant in-stream pollutant concentration in mg/1 in the stream reach (after complete
mixing occurs).
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The equation can be rearranged as follows to determine the downstream effect of a
particular discharge concentration:
r _(QdxCd) + (QsxCs)
^^ ~ «.»
Qr
The equation can be further rearranged to determine the permit limit necessary to achieve a
given in-stream concentration, such as a water quality standard:
Qs)-(CsxQs)
Qd
For example, assume a stream has a flow of 1.2 cfs and a background zinc concentration of
0.80 mg/1. The State standards for zinc are 1.0 mg/1 or less. The allowable zinc discharge with a
flow of 0.2 MGD is:
0.2MGD = 0.31 cfs
Cd _ (1.0X0.31 + 1.2) - (0.80)(1.2) _ 1.51 - 0.96 _ 0.55
0.31 0.31 0.31
Cd = 1.75mg/l
A one-value or two-value steady-state approach can be used. EPA is encouraging the
States to adopt two-numbered aquatic life water quality criteria to protect against acute and
chronic effects and is using them in WLA studies. Steady-state WLA models should be used to
calculate the allowable effluent load that will meet the criteria maximum concentration at the
1Q10 (1-day low flow over a 10-year period) acute design flow and the criteria continuous
concentration at the 7Q10 (7-day low flow over a 10-year period) chronic design flow. Steady
state WLA analyses should be used in most cases.
6.4.1.2 Dynamic Models
If adequate receiving water flow and effluent concentration data are available to estimate
frequency distributions, one of the dynamic (i.e., probabilistic) modeling techniques should be
used to develop more cost-effective treatments. In general, dynamic models account for the daily
variations of and relationships between flow, effluent, and environmental conditions and,
therefore, directly determine the actual probability that a water quality standard exceedance will
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occur. The* three dynamic modeling techniques .recommended by EPA are continuous
simulation, Monte Carlo simulation, and lognormal probability modeling. These methods
calculate a probability distribution for receiving water concentrations rather than a single, worst-
case concentration based on critical conditions.
Chapter 4 of the TSD describes steady-state and dynamic models in detail and includes
specific model recommendations for toxicity and individual toxicants for each type of receiving
waterrivers, lakes, and estuaries. In addition, EPA has issued detailed guidelines on the use of
fate and transport models of individual toxicants in the TMDL guidance available through the
Office of Wetlands, Oceans, and Watersheds. These manuals describe in detail the transport and
transformation processes involved in water quality modeling.
6.42 Development of WQBELs From WLAs
WLAs are the outputs of water quality models, and the requirements of a WLA must be
translated into a permit limit The objective of the permit writer is to derive permit limits that are
fully enforceable, adequately account for effluent variability, consider available receiving water
dilution, protect against acute and chronic impacts, account for compliance monitoring sampling
frequency, and protect the WLA and ultimately water quality standards. To accomplish these
objectives, EPA recommends that permitting authorities use the statistical permit limit derivation
procedure discussed in Chapter 5 of the TSD with outputs from either steady-state or dynamic
models. EPA believes this procedure will result in the most defensible and protective water
quality-based permit limits for both specific chemicals and WET.
The NPDES regulations at 40 CFR 122.45(d) require that all permit limits be expressed,
unless impracticable, as both average monthly and maximum daily values for all discharges other
than publicly owned treatment works (POTWs) and as average weekly and average monthly
tf
limits for POTWs. The maximum daily limit (MDL) is the highest allowable discharge
measured during a calendar day or 24-hour period representing a calendar day. The average
monthly permit limit (AML) is the highest allowable value for the average of daily discharges
obtained over a calendar month. The average weekly permit limit is the highest allowable value
for the average of daily discharges obtained over a calendar week.
The objective is to establish permit limits that result in the effluent meeting the WLA under
normal operating conditions virtually all the time. It is not possible to guarantee, using permit
limits, that a WLA will never be exceeded. It is possible, however, using the recommended
permit limit derivation procedures, to account for extreme values and to establish low
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probabilities of exceedance of the WLA in conform ance with the duration and frequency
requirements of the water quality standards. This is not to suggest that permit writers should
assume a probability of exceedance of the WLA but, rather, that they should develop limits that
will make an exceedance a very small likelihood.
Since effluents are variable and permit limits are developed based on a low probability of
exceedance, the permit limits should consider effluent variability and ensure that the requisite
loading from the WLA is not exceeded under normal conditions. In effect then, the limits must
force treatment plant performance, which, after considering acceptable effluent variability, will
only have a low statistical probability of exceeding the WLA and will achieve the desired
loadings.
A permit limit depends on the type of WLA. A number of WLAs have two results: acute
and chronic requirements. These types of allocations will be developed more often as States
begin to adopt water quality standards that provide both acute and chronic protection for aquatic
life. These WLA outputs need to be translated into MDLs and AMLs. The acute and chronic
WLA can be achieved for either specific chemicals or WET by using the following methodology
to derive permit limits:
A treatment performance level (a long term average or LTA and a coefficient of
variation or CV) is established that will allow the effluent to meet the WLA requirement
calculated.
For WET only, the acute WLA is converted into an equivalent chronic WLA by
multiplying the acute WLA by an ACR.
Permit limits are then derived directly from whichever performance level is more
protective.
This procedure provides a toxicologically sound approach. To help the permit writer, EPA
has developed tables (see Table 5-1 and 5-2 in Chapter 5 of the TSD) to quickly determine the
values necessary to translate a WLA into a permit limit. In addition, some permit authorities
have developed their own computer programs to readily compute the necessary information from
the appropriate inputs.
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7. SPECIAL TOPICS
Special permitting topics, storm water permitting and municipal sewage sludge permitting,
also warrant discussion in this document. These special topics are discussed separately because
of their possibility of being permitted under a number of different permitting mechanisms.
Under the storm water program, storm water may be permitted as part of an existing
individual permit. Under other conditions, a permit solely regulating storm water may be
needed. This includes cases where facilities do not discharge process water or discharge process
water to publicly owned treatment works (POTWs) or where facilities opt to be covered under a
group-specific or baseline general permit rather than an individual permit.
POTWs that generate sewage sludge may have sewage sludge conditions incorporated into
existing National Pollutant Discharge Elimination System (NPDES) permits, which already
authorize the discharge of treatment plant effluent to receiving water(s). However, because the
sludge program requires that States receive authorization, the U.S. Environmental Protection
Agency (EPA) may be obligated to issue a sludge use and disposal permit separately from the
existing NPDES permit authorizing wastewater discharges. Additionally, in arid areas where
effluent may not be discharged, separate sludge use and disposal permits may be needed.
This chapter discusses the intricacies involved with the storm water and municipal sewage
sludge permitting programs.
7.1 STORM WATER CONSIDERATIONS
Pollutants in storm water discharges come from many sources and are largely uncontrolled.
The National Water Quality Inventory, 1990 Report to Congress provides a general assessment
of water quality based on biennial reports submitted by the States under Section 305(b) of the
Clean Water Act (CWA). The report indicated that roughly 30 percent of identified cases of
water quality impairment reported by the States are attributable to point source discharges of
storm water.
The results of the Nationwide Urban Runoff Program (NURP) demonstrated that
commercial and residential areas can contribute a substantial quantity and diversity of pollutants
to storm water runoff. Some of the most commonly observed pollutants included biochemical
oxygen demand, total suspended solids, copper, cadmium, zinc, lead, nutrients, and a variety of
pesticides and herbicides. The NURP study excluded the contribution of pollutants to storm
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water runoff-from industrial activities. However, these activities are known contributors of
pollutants to storm water runoff from such sources as exposed raw materials, material handling
operations, improper dumping and spills, illicit connections to the storm sewer system, and waste
disposal practices. It is anticipated that the effective prohibition of illicit connections to storm
sewer systems, as required by 40 Code of Federal Regulations (CFR) 122.26, presents one of the
largest opportunities for dramatic improvement in the quality of storm water discharges.
In the November 16, 1990, Federal Register, EPA identified certain municipalities and
industrial activities that were required to obtain an NPDES storm water permit The remainder
of this section addresses the permit storm water application requirements and ongoing permitting
efforts.
7.7.1 Storm Water Permit Applications
7.1.1.1 Facilities Required to Apply
In the 1987 Amendments to the CWA, Congress established that EPA or States must
require permit applications by October 1, 1992, from dischargers of storm water point sources
from the following:
A discharge of storm water associated with industrial activity
A discharge from a municipal separate storm sewer system serving a population of
250,000 or more
A discharge from a municipal separate storm sewer system serving a population greater
than 100,000 but less than 250,000
A discharge for which the Administrator or the State determines that the storm water
discharge contributes to a violation of a water quality standard or is a significant
contributor of pollutants to waters of the United States.
Activities that do not meet the above criteria are not required to submit storm water permit
applications by October 1, 1992. After October 1,1992, however, these activities may be subject
to coverage under Phase n of the storm water program.
The term storm water discharge associated with industrial activity is defined as the
discharge from any conveyance that is used for collecting and conveying storm water and that is
directly related to manufacturing, processing, or raw materials storage areas at an industrial plant
The November 16, 1990, Federal Register identified the following 11 industrial categories that
were required to seek a storm water permit:
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Facilities subject to storm water effluent limitation guidelines, new source performance
standards, or toxic pollutant effluent standards under 40 CFR Subchapter N
Certain heavy manufacturing facilities (lumber, paper, chemicals, petroleum refining,
leather tanning, stone, clay, glass, concrete, ship construction)
Active and inactive mining operations and oil and gas operations with contaminated
storm water
Hazardous waste treatment, storage, or disposal facilities, including Resource
Conservation and Recovery Act (RCRA) Subtitle C facilities
Landfills, open dumps, and RCRA Subtitle D facilities
Recycling facilities, including metal scrapyards, battery reclaimers, salvage yards, and
automotive junkyards
Steam electric power generating facilities, including coal handling sites
Transportation facilities that have vehicle maintenance shops, equipment cleaning
operations, or airport de-icing operations
Major POTW sludge handling facilities, including onsite application of sewage sludge.
Construction activities that disturb five acres or more
Certain light industrial manufacturing facilities (category XI also includes an exemption
for facilities with no exposure of pollutants to runoff).
The November 16, 1990, Federal Register also identified 172 cities and 47 counties that
are required, based on the results of the 1980 Census to apply for a storm water permit. EPA
established the following definitions for large and medium municipal separate storm sewer
systems:
A large municipal separate storm sewer system is a separate storm sewer system
serving an incorporated city or unincorporated, urbanized county with a population
greater than 250,000
A medium municipal separate storm sewer system is a separate storm sewer system
serving an incorporated city or unincorporated, urbanized county with a population
greater than 100,000 but less than 250,000.
The 1987 Amendments to the CWA provided that the Administrator or States may
designate specific storm water discharges that contribute to the violation of water quality
standards or are significant contributors of pollutants. This could include small municipal
separate storm sewer systems interconnected with a large or medium separate storm sewer
system or certain industrial activities not covered under the definition of discharges of storm
water associated with industrial activity. Ultimately, this allows for significant flexibility in
requiring the submission of storm water permit applications by facilities of concern.
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7.1.1.2 Permit Application Requirements
Industrial Activities
The regulations set forth in 40 CFR Part 126 establish the following three permit
application options for industrial activities:
Individual applications
Group applications
Notice of Intent (NOI) to be covered under a general permit.
Facilities with storm water discharges associated with industrial activity may submit an
individual permit application. If a facility elects this option, it is required to complete a Form 1
and Form 2F. The Form 2F requirements include a topographic map, estimates of impervious
surfaces, descriptions of material management practices and control measures, a certification that
separate storm water outfalls have been evaluated for non-storm water discharges, descriptions of
past leaks and spills, and analytical data for several specified parameters. The submission of an
individual application must be accompanied by sampling data for a representative storm event
from all sewer outfalls. When an applicant has two or more outfalls with substantially identical
effluents or discharges, the permitting authority may allow the applicant to test only one outfall
and to report that the quantitative data also apply to substantially identical outfalls.
Construction operations with discharges of storm water associated with industrial activity
and that opt to apply for an individual permit are not required to submit a Form 2F.
Alternatively, construction activities are required to provide a description of the construction
activity, the total area of the site and the area to be excavated or disturbed under the permit
application, proposed measures to control pollutants in storm water discharges during and after
construction operations, an estimate of the runoff coefficient, the estimated increase in
impervious area after construction, and the name of the receiving water. Unlike other industrial
activities, construction activities are not required to submit sampling data with their individual
applications.
Certain facilities that discharge storm water associated with industrial activity have the
option of participating in group permit applications. In order for these facilities to participate in
a group application, each must demonstrate that they are substantially similar. EPA approves
group applicants largely based on factors established in 40 CFR 122.28 governing the
development of general permits (see Section 1.4.4 of this manual).
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> .
Group applicants are required to select a subset of its members that will collect and submit
quantitative data from a representative storm event The number of samplers is based on the total
number of members participating in the group application process and the number of samplers
breakdown as follows:
Four to 20 members: Minimum of 50 percent of participating facilities
Twenty-one to 99 members: Minimum of 10 participating facilities
One hundred to 1,000 members: Minimum of 10 percent of participating facilities
More than 1,000 members: No more than 100 participating facilities.
In the April 2, 1992, Federal Register (57 FR 11394), EPA provided regulations
establishing a final permit application optionsubmitting an NOI to be covered under a general
permit. These regulations mandated that NOI requirements be specified in the general permit
and that specific information, including the legal name and address of the owner or operator, the
facility name and address, type of facility or discharges, and the receiving stream(s), be
submitted and signed in accordance with 40 CFR 122.22.
Certain industrial activities cannot be covered under a general permit, including the
following:
Storm water discharges that are subject to storm water effluent guidelines
Any industrial facilities with current or existing NPDES permits for storm water
discharges (these facilities may seek coverage under a general permit when their
existing NPDES permit expires)
In general, storm water discharges that are mixed with non-storm water discharges,
such as process wastewater
Storm water discharges that may be contributing to violation of a water quality
standard.
Although all three permit application options have been provided in the Federal
regulations, State regulations may be more stringent and, thus, not provide for all three permit
application options. Permit writers should be aware of State-specific requirements pertaining to
group permit applications and NOI guidelines to ensure compliance with their regulatory
framework.
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Municipal Separate Storm Sewer Systems
The November 16, 1990, Federal Register established a two-part application process for
storm water discharges from large and medium municipal separate storm sewer systems. The
following information summarizes the key requirements of Parts 1 and 2:
Part 1 of the application must include:
General information (e.g., name, address)
- Existing legal authorities and any additional authority required
- Source identification information
- Discharge characterization, including results of dry weather flow screening
- Identification of representative 5 to 10 outfalls for storm water sampling
- Description of existing storm water management programs
- Descriptions of existing financial budget and resources available to complete Part 2
of the application.
Part 2 of the application must include:
- Demonstration of adequate legal authority
- Identification of any major storm sewer outfalls
- Discharge characterization data from sampling three representative storm events
- Proposed storm water management program
- Assessment of controls, including expected reductions in pollutant loadings
- Fiscal analysis, and capital and operation and maintenance expenditures for each
year of the permit.
7.1.1.3 Permit Application Deadlines
Exhibit 7-1 summarizes permit application deadlines for both municipal separate storm
sewer systems and industrial activities.
7.13, Permitting Activities
On September 9, 1992, EPA published two baseline general permits. These permits
covered discharges of storm water associated with industrial activity from construction activities
and discharges of storm water associated with industrial activity from other industrial activities.
EPA's baseline general permits were intended to provide coverage to States that currently do not
possess NPDES authority, as well as provide States having general permit authority with
example language. These baseline permits comply with EPA's long-term storm water manage-
ment program, which establishes four tiers of permitting in order of priority: baseline permitting,
watershed permitting, industry-specific permitting, and facility-specific (individual) permitting.
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EXHIBIT 7-1: PERMIT APPLICATION DEADLINES
Category
Sunm Water Associated
With Industrial Activity
Municipal Separate
Storm Sewer Systems
Type of Application
Individual
Group
- All industrial activities except
those owned or operated by a
municipality with a population
less than 250.000
- Industrial activities owned or
operated by a municipality with
a population greater than
100.000 but less than 250,000
General Permit
Large Municipalities
Medium Municipalities
Deadline
October 1. 1992
Pan 1 Part2
September 30. 1991 October 1, 1992
May 18. 1992 May 17. 1993
October 1. 1992
Pan 1 Part2
November 18. 1991 November 16, 1992
May 18, 1992 May 17. 1993
These baseline general permits rely on the development and implementation of site-specific
storm water pollution prevention plans as the primary means of controlling pollution. EPA
believes that site-specific storm water pollution prevention plans allow for the selection of
control measures best suited for controlling pollution at a particular industrial facility.
EPA is currently drafting industry-specific general permits that reflect conditions
applicable to facilities submitting group permit applications. As they become available, these
draft permits will be provided to State and EPA Regional permitting authorities for use in
drafting industry-specific general permits.
»
12 MUNICIPAL SEWAGE SLUDGE
Section 405 of the CWA requires that EPA regulate disposal of sewage sludge to protect
public health and the environment from any reasonably anticipated adverse effects of these
practices. In the CWA, Congress directs EPA to develop technical standards for municipal
sludge use and disposal options and to incorporate these standards into NPDES permits issued to
POTWs. These standards are set out in 40 CFR Part 503. Congress also enacted strict deadlines
for compliance with these standards; within 1 year of promulgation of the standards, compliance
is required unless construction of new pollution control facilities is necessary, in which case
compliance is required within 2 years.
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The regulations establish requirements for the use and disposal of municipal sludge when
land applied, placed in surface disposal sites, or incinerated. The standards for each end use and
disposal method consist of numeric pollutant limits, management practices, and other
requirements that protect human health and the environment. For example, a good management
practice would be prohibiting the land application of sludge within a certain distance from a
stream. Proposed standards are set for as many as 28 different organic and inorganic pollutants,
such as polychlorinated biphenyls (PCBs) and cadmium. Unlike technology standards based on
the ability of treatment technologies to reduce the level of pollutants, EPA's sewage sludge
standards are based on health and environmental risks.
72.1 Sewage Sludge Conditions in NPDES Permits
To provide a mechanism for including the technical standards in permits, EPA promulgated
regulations designed to incorporate sewage sludge use and disposal requirements into permits as
required under Section 405(d) of the CWA. On May 2, 1989 (published at 54 FR 18716), EPA
issued final revisions to the regulations contained in 40 CFR Parts 122 and 124 that identify
permit requirements under Section 402 of the CWA. These regulations require inclusion of
sludge conditions in NPDES permits issued to municipal sewage treatment works. The
regulations also authorize issuance of permits to facilities that do not discharge wastewater under
the NPDES program.
EPA also promulgated regulations for State sludge management programs in 40 CFR Parts
501 and 123 (see 54 FR 18716). These regulations specify procedures for States to receive
authorization to implement sludge management programs in lieu of the Federal program. Like
the NPDES base program, to receive program approval, a State must demonstrate adequate legal
authority and administrative procedures to issue permits and determine compliance with and
enfo/ce Federal and State sewage sludge regulations and*requirements.
Three boilerplate conditions must be written in the permit: (1) language requiring the
POTW to comply with all existing requirements for sludge use and disposal, including the
technical standards when they are promulgated, (2) a reopener clause, which authorizes
reopening a permit to include technical standards if the technical standards are more stringent or
more comprehensive than the conditions in the permit, (3) a notification provision requiring the
permittee to give notice to the permitting authority when a significant change in the sludge use or
disposal practice occurs (or is planned).
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161A~November 23,1992-8:29 AM
Some'Standard permit conditions that apply to effluent discharges will also apply to sludge
use and disposal (e.g., duty of proper operation and maintenance; entry and inspection duties.)
EPA suggests the following monitoring conditions for sludge permits:
Class 1
- Annual Priority Pollutant Scan
Non-Class I/Industry
- Priority Scan at Application
- Annual 503 Scan
Non-Class 1 Industry
- Annual monitoring of six metals: cadmium, copper, chromium, lead, nickel, and
zinc
In addition to the CW A, several other Federal laws provide authority for regulating various
aspects of sewage sludge disposal. These include the Clean Air Act; Subtitles C and D of
RCRA; the Marine Protection, Research, and Sanctuaries Act; and the Toxic Substances Control
Act (TSCA). POTWs are already under obligation to comply with existing Federal regulations.
Nevertheless, placing the regulations in a POTW's NPDES permit reinforces the importance of
compliance for purposes of the CWA and helps to ensure that sludge disposal practices will not
threaten public health and the environment. It also provides a more direct link to pretreatment
controls, which are an important means of improving sludge quality (i.e., the sludge requirements
may force some POTWS to develop more stringent local limits). Exhibit 7-2 lists current
Federal regulations that directly apply to sludge use and disposal. Permit writers should consult
with personnel responsible for implementing these programs to see if NPDES permit conditions
aimed at improving sludge quality and disposal practices would help ensure compliance with the
existing requirements.
7.2.1.1 Establishment of Sewage Sludge Requirements on a Case-by-Case Basis
If permit conditions based on existing regulations are insufficient to protect public health
and the environment from adverse effects that may occur from toxic pollutants in sewage sludge,
permit conditions should be developed on a case-by-case basis using Best Professional Judgment
(BPJ) to fulfill the statutory standard.
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EXHIBIT 7-2: EPA REGULATIONS FOR SLUDGE MANAGEMENT
Coverage
PCBs
New Sources of Air Emissions
Air Emissions
NESHAPS* Mercury and Beryllium
Co-disposal with municipal wastes
Toxicity Characteristics Leachate
Procedure
Municipal Solid Waste Land Fill
Land Application, Surface Disposal,
Incineration
Reference
40 CFR Part 761
40 CFR Pan 60
40 CFR Part 52
40 CFR Part 61
40 CFR Part 258
55 FR 11290
40 CFR Part 258
40 CFR 503
Application
All sludges containing more
than 50 milligrams per
kilogram
Incineration of sludge at
rates above 1,000 kilograms
per day
State Implementation Plans
(SIPs) which may also
regulate certain parameters
Incineration and heat drying
of sludge
Land application and
surface disposal
Defines whether sludges are
hazardous
Regulates municipal solid
waste landfills
Sewage sludge only
NESHAPS-National Emission Standards for Hazardous Air Pollutants
Using BPJ to develop sludge requirements follows the same general principles for
developing BPT effluent limits in NPDES permits. Permit conditions developed using BPJ are
based on the sound technical opinion of the permit writer after consideration of all reasonably
available pertinent data or information. This may include such information as Federal, Regional,
State, and local regulations or guidance. Exhibit 7-3 lists pollutants known to be subject to State
or Federal regulations or suggested to be regulated pursuant to guidance.
It is important to note that permit writers are not restricted to addressing these pollutants
when writing BPJ limits. If a particular pollutant is causing or threatening to cause a disposal
problem, the permit writer may establish a limit for the parameter in the permit. As a general
rule, pollutants of concern (i.e., those which exceed or potentially exceed the level appropriate to
protect public health and the environment), whether addressed in Federal or State guidance or
regulations, should be limited in the permit
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EXHIBIT 7-3: POLLUTANTS ADDRESSED IN STATE OR FEDERAL GUIDANCE
Pollutant
Aldrin
Aluminum
Arsenic
Barium
Benzene
Benzo(a)pyrene
Beryllium
Bis(2 ethylhexyl)phthalate
Boron
Cadmium
Carbon Monoxide
Chlordane
Chlorine
Chromium
Cobalt
Copper
Cyanide
2,4-D
DDD/DDE/DDT
Dieldrin
Dimethylnitrosamine
Dioxin
Endrin
Fluoride
Heptachlor
Heptachlor Epoxide
Iron
Lead
Lindane
Lithium
Manganese
Mercury
Methoxychlor
Mirex
Molybdenum
Nickel
Nitrogen Compounds
Nitrates
Oil & Grease
Organics
State
Regulation
X4
X6
X4.9
Xs
X4
X4
.
X6
X4
X8
Federal
Guidance
X5
X5
X5
X1
X5
X
X3
X5
X
X
X5
X5
X2
XX5
X*
x,x5
X-*5
X
X2
X*
State
Requirements
X
X
X
X
X
X
X
X
X
X
X
X
X
X3
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Part 503
Proposed
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
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EXHIBIT 7-4: POLLUTANTS ADDRESSED IN STATE OR FEDERAL GUIDANCE
(CONTINUED)
Pollutant
Phenols
Pesticides
Phosphorous
Potassium
PCBs
Radium
Radon
Selenium
Silver
Silvex
Sodium
Total Hydrocarbons
Total Organic Carbon
Toxaphene
Trichloroethylene
Uranium
Vinyl Chloride
Zinc
State Federal
Regulation Guidance
X2
X7-9 X
X,X5
X
X4 X5
X5
X*
X1
X*
X
X4 X
State
Requirements
X
X
X
X
X
X
X
X
X
X3
X
X
X
Part 503
Proposed
X
X
X
X
X
X
* In addition, pathogen reduction standards will apply to land application and to distribution and marketing. See 40 CFR Part
257. Appendix II.
1 Process Design Manual for Municipal Sludge Landfills (EPA 1978) recommended monitoring for these parameters at
landfills.
2 Process Design Manual for Land Application of Municipal Sludge (EPA 1983) recommends monitoring for these parameters
at land application sites.
3 State monitoring and reporting requirements for sludge and compost (EPA 1987).
4 Final revisions to the New Source Performance Standards for Sewage Sludge Incinerators (40 CFR 60.150 [53 FR 39412])
require initial testing for these metals.
5 Maximum Ground water Contaminant Limits from 40 CFR Part 257 are found in Appendix C of Part 257. Appendix C of Part
257 also provides maximum contaminant limits for coliform bacteria, radium-226. and gross alpha radiation.
6 NESHAP (40 CFR Part 61).
7 Sewage sludge containing more than 50 mg/kg PCBs must comply with TSCA (40 CFR Part 761).
8 National Ambient Air Quality Standards (40 CFR Pan 50).
9 40 CFR Part 257.
EPA's Guidance for Writing Case-By-Case Permit Requirements for Municipal Sewage
Sludge contains information to assist permit writers in developing contaminant limits and
management practice requirements on a case-by-case basis to protect public health and the
environment from adverse effects that may occur from toxic pollutants in sewage sludge.
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Generally, EPA permit writers should also include any applicable State requirements,
unless they are less stringent than what is required by federal regulation (since federal
requirements must be included as a minimum). This will help minimize disruption to existing
State programs. Again, the permit writer should use best professional judgment in applying State
requirements and recommendations. While incorporation of State requirements would be
appropriate in most cases, permit writers should do as much as possible to ensure that the
requirements adopted can be reasonably defended.
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8. ADMINISTRATIVE PROCEDURES
Chapter 3, supplemented by the industry- and municipal-specific National Pollutant
Discharge Elimination System (NPDES) permit considerations provided in Chapters 4 and 5
and the water quality-based considerations specified in Chapter 6, discussed the process
involved in the development of a permit. However, the following tasks, among others, which
must be accomplished prior to the permit becoming effective:
Supporting the permit development through documentation
Providing public notice, conducting hearings if appropriate, and responding to
comments prior to permit issuance
Defending the permit and, if appropriate, modifying the permit after permit issuance.
This chapter focuses on these activities.
8.1 DOCUMENTION FOR DEVELOPMENT OF THE DRAFT PERMIT
8.1.1 General Considerations
The initial sections of Chapter 3 described the importance of documentation in the permit
development process, including the importance of:
Ensuring development of a thorough permit in a logical fashion
Meeting legal requirements for preparation of an administrative record, fact sheet,
and statement of basis
Helping to substantiate permit decisions where challenges are made to the derivation
of permit terms, conditions, and limitations
Explaining the permit's basis for use in future permit actions.
The'following sections describe the requirements pertaining to the development of
permit documentation, particularly the administrative record and the fact sheet.
8.1.2 Administrative Record
The administrative record is the foundation for issuing permits. If the U.S.
Environmental Protection Agency (EPA) is the issuer, the contents of the administrative
record are prescribed by regulation (see 40 Code of Federal Regulations [CFR] 124.9 and
124.18). All supporting materials must be made available to the public, whether a State or
EPA issues the permit. The importance of maintaining the permit records in a neat, orderly,
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161AX- 11/23/92 - 8:30 AM
complete, and retrievable form cannot be over emphasized. The record allows personnel from
the regulatory agency to reconstruct the justification for a given permit. It also must be made
available to the public and may be examined during the public comment period and any
subsequent public hearing.
The record for a draft permit consists, at a minimum, of certain specific documents,
namely:
The application and supporting data
The draft permit
The statement of basis or fact sheet
All items cited in the statement of basis or fact sheet, including calculations used to
derive the permit limits
All other items in the supporting file
For new sources, any environmental assessment, the draft/final environmental impact
statement (EIS), or other such background information, such as a Findings of No
Significant Impact
Materials that are readily available in the issuing Regional office or published material
that is generally available, does not need to be physically included with the record as long as
it is specifically referred to in the fact sheet or statement of basis. If EPA issues new source
draft permits, the administrative record requires including any EIS or environmental
assessment.
The administrative record includes all meeting reports and correspondence with the
applicant and correspondence with other regulatory agency personnel. In addition, trip
reports and telephone memos are included in the record. These reports must be complete and
clear. Standard report forms should be used when available. If the reports are fairly short,
they can be. handwritten provided they are neat and legible. This applies also to calculations
and sketches. All correspondence, notes, and calculations should indicate the date and the
name of the writer, as well as all other persons involved. Since correspondence is subject to
public scrutiny, references or comments that do not serve an objective purpose should be
avoided. Finally, when performing calculations or documenting decisions, they should be
presented in such a way that they can be reconstructed and the logic supporting the decisions
or calculation can be easily gleaned. It is actually better to be redundant in these cases.
Decisions or calculations that are used as part of the development of the fact sheet or
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161AA- 11/23/92 - 5:37 PM
statement of basis are very important because they may be needed to defend the permit if it
is challenged.
The record for the final permit consists of the record for the draft permit, as well as
copies of the following:
All comments received during the comment period
The tape or transcript of any public hearing
Any materials submitted at a hearing
Responses to comments
For NPDES new source permits, the draft or final EIS
The final permit.
8.1.3 Fact Sheet Development
A fact sheet is a document that briefly sets forth the principle facts and the significant
factual, legal, methodological, and policy questions considered in preparing the draft permit.
When the permit is in the draft stage, the fact sheet and supporting documentation serve to
explain to the permittee and the general public the rationale and assumptions used in deriving
the limits. When the permit is issued, the fact sheet and supporting documentation
(administrative record) are the primary support for defending the permit in administrative
appeals and evidentiary hearings.
Both EPA and State-issued permits must be accompanied by a fact sheet if the permit
(1) involves a major facility, (2) incorporates a variance, (3) is an NPDES general permit, or
(4) is subject to widespread public interest (see 40 CFR 124.8). However, a prudent permit
writer will develop a fact sheet for any permit that required complex calculations or special
conditions. This will be particularly true for permit conditions based on best professional
judgement (BPJ). EPA permit writers are required to prepare at least a statement of basis
for all permits that do not merit the detail of a fact sheet. Such statements briefly describe
the derivation of the effluent limits and the reasons for special conditions (see 40 CFR 124.7).
The required contents of a fact sheet, as specified in 40 CFR 124.8 and 124.56 include the
following:
A brief description of the type of facility
The type and quantity of wastes discharged
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For a prevention of significant deterioration (PSD) permit, the degree of increment
consumption expected to result from operation of the facility
A brief summary of the basis for the draft permit conditions
Reasons why any requested variances do not appear justified
A description of the procedures for reaching a final decision on the draft permit,
including:
- The dates of the public comment period and the address where comments will be
received
- Procedures for requesting a hearing
- Any other public participation procedures
Name and telephone number of person to contact for additional information
Provisions satisfying the requirements of 40 CFR 124.56:
- Explanation of derivation of effluent limitations
- Explanation of any conditions applicable to toxic, internal waste streams, or
indicator pollutants
- A sketch or detailed description of the location of the discharge
- For EPA issued permits, the requirements of any State certification.
8.1.3.1 Requirements for the Development of a Fact Sheet
The NPDES regulations set forth in 40 CFR 124.8 (a) require that a fact sheet be
prepared for major NPDES permits, NPDES permits that incorporate a variance, permits that
require an explanation under 40 CFR 124.56(b) (toxic pollutants, internal waste stream, and
indicator pollutants and for privately owned waste treatment facilities), NPDES general
permits, and permits that the Director finds are the subject of widespread interest or that
raise major issues.
With a well-documented rationale, much of the work in reissuing a permit in the future
will be done. This will avoid any conjecture and guessing concerning the development of any
conditions that are being carried forward from the expired permit to the next permit. This is
also true if a modification is initiated during the life of the permit.
A permit rationale can be as short as 2 to 3 pages for a relatively simple permit or as
long as 20 to 100 pages for an extremely complicated permit (e.g., several discharge points,
BPJ determinations).
8.1.3.2 Basis Portion of a Fact Sheet
A detailed discussion of the development of limits for each pollutant should be included
in the fact sheet. For each pollutant the following information should be included:
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Calculations and assumptions
- Production
- Flow
Type of limitations (i.e., effluent guideline-, water quality-, or BPJ-based)
Whether the effluent guidelines used were Best Practicable Control Technology
Currently Available, Best Pollutant Control Conventional Technology (BCT), or Best
Available Treatment Economically Achievable (BAT)
The water quality standards or criteria used
Whether any pollutants were indicators for other pollutants
Citations to appropriate wasteload allocations studies, guidance documents, etc.
Occasionally, confidential or proprietary information will be required to establish permit
limitations for a particular facility. In addition, production data for a facility not covered by a
guideline may be required to draft permit limits. In such cases, the permittee may claim that
such information is confidential and, therefore, should not appear in documents available to
the public, such as the fact sheet. Such claims should be carefully evaluated in cooperation
with the legal staff of the permitting authority in order to determine whether the
confidentiality requirements under 40 CFR 122.7 apply.
Often, it is as important to keep a record of items that were not included in the draft
permit, such as the following:
Why was BPJ or effluent guidelines used instead of water quality-based limitations
(i.e., were the limitations checked to see that water quality considerations did not
govern the setting of permit limits)?
Why was biomonitoring not included?
i Why were pollutants that were reported on Form 2C not specifically limited in the
permit?
Why is a previously limited pollutant no longer limited in the draft permit?
8.2 ITEMS TO ADDRESS PRIOR TO ISSUANCE OF A FINAL PERMIT
8.2.1 Public Notice
The public notice is the vehicle for informing all interested parties and members of the
general public of the contents of a draft NPDES permit or of other significant actions with
respect to a NPDES permit or permit application. The basic intent of this requirement is to
ensure that permitting decisions are not made in a vacuum and that all interested parties
have an opportunity to comment on significant agency actions with respect to a permit
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application or a permit. The exact scope, required contents, and methods for effecting public
notices may be found in 40 CFR 124.10.
8.2.1.1 Actions That Must Receive Public Notice
The following types of actions must receive public notice:
Tentative denial of an NPDES permit application (not necessarily applicable to State
programs)
Preparation of a draft NPDES permit, including a proposal to terminate a permit
Scheduling of a public hearing
Granting of an evidentiary appeal of an EPA-issued permit under 40 CFR 124.74.
The permit writer should be primarily concerned with the first three items above. It is
important to note that no public notice is required when a request for a permit modification,
revocation, reissuance, or termination is denied.
8.2.1.2 Scheduling of the Public Notice
Public notice of the preparation of the draft permit (including a notice of intent to deny a
permit application) must allow at least 30 days for public comment. The draft permit is
usually submitted for public notice after it has undergone internal review by the regulatory
agency that is issuing the permit. State-issued permits will typically undergo public notice
after EPA has reviewed and commented on the draft permit. In the special case of those
EPA-issued permits that require an EIS, public notice is not given until after a draft EIS is
issued.
8.2.1.3 Methods Applicable to the Public Notice,Process
>
Public notice of the various NPDES-related activities that require the public notice
process is given by several methods:
Publication of a notice in daily or weekly newspaper within the area affected by the
facility or activity. In addition, for permits issued by EPA, publication in the Federal
Register is required.
Direct mailing to various interested parties. This mailing list should include the
following:
- The applicant
- Any interested parlies on the mailing list
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- Any other agency that is required to issue a Resource Conservation and Recovery
Act, Underground Injection Control, Corps of Engineers, or PSD permit for the
same facility
- All appropriate government authorities (e.g., sister agencies, U.S. Fish and
Wildlife Services, National Marine Fisheries Service, neighboring states)
- Users identified in the permit application of a privately owned treatment works.
8.2.1.4 Contents of the Public Notice
A public notice should contain certain basic information, including the following:
Name and address of the office processing the permit action
Name and address of the permittee or applicant and, if different, of the facility
regulated by the permit
A brief description of the business conducted at the facility
Name, address, and telephone number of a contact from whom interested persons can
obtain additional information
A brief description of the comment procedures required
For EPA-issued permits, the location and availability of the administrative record
Any additional information considered necessary.
8.2.2 Public Comments
Public notice of a draft permit elicits comments from concerned individuals or agencies.
Frequently, such comments are simply requests for additional information. However, some
comments are of a substantive nature and suggest modifications to the draft permit or
indicate that the draft permit is inappropriate for .various reasons. In such cases, those
parties providing comments must submit all reasonable arguments and factual material in
support of their positions. If the approach is technically correct and clearly stated in the fact
sheet, it'will be difficult for commenters to find fault with the permit. Commenters may
always suggest alternatives, however. In addition, an interested party may also request a
public hearing (see Section 8.1). To the extent possible, it is desirable to respond to all
public comments as quickly as possible. In some cases it may be possible to defuse a
potentially controversial situation by providing further explanation of permit terms and
conditions. It is also good public relations to inform parties who provide public comments that
their comments have been received and are being considered.
The regulatory agency is obliged to respond to all significant comments (in accordance
with 40 CFR 124.17) at the time a final permit decision is reached (in the case of EPA-issued
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permits) or at the same time a final permit is actually issued (in the case of State-issued
permits). The response should incorporate the following elements:
Changes in any of the provisions of the draft permit and the reasons for the changes
Description and response to all significant comments on the draft permit raised during
the public comment period or during any hearing.
8.2.2.1 Reopening of the Public Comment Period
In the event that any information submitted during the public comment period raises
substantial new questions about the draft permit, one of the following actions may occur:
A new draft permit is prepared
A revised fact sheet or statement of basis is prepared
The comment period is reopened but is limited only to new findings.
If any of these actions are taken, a new public notice, as described earlier, must be given.
8.2.3 Public Hearing
8.2.3.1 Conduct of Public Hearing
A public hearing may be requested in writing by any interested party. The request
should state the nature of the issues proposed to be raised during the hearing. However, a
request for a hearing does not automatically necessitate that a hearing be held. A public
hearing should be held when there is a significant amount of interest expressed during the
30-day public comment period or when it is necessary to clarify the issues involved in the
permit decision.
Thus, the decision of whether or not to hold a public hearing is actually a judgment call.
Such decisions are usually made by someone other than the permit writer. However, the
permit writer will be responsible for ensuring that all of the factual information in support of
the draft permit is well documented.
8.2.3.2 Public Notice of Public Hearing
Public notice of a public hearing must be given at least 30 days prior to the public
meeting (public notice of the hearing may be given at the same time as public notice of the
draft permit and the two notices may be combined). Scheduling a hearing automatically
extends the comment period until at least the close of the hearing (40 CFR 124.12(c)).
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The public notice of the hearing should contain the following information:
Reference to the dates of any other public notices relating to the permit
Date, time, and place of the hearing
Brief description of the nature and purpose of the hearing, including the applicable
rules and procedures.
8.2.3.3 Contents of Public Hearing
A presiding officer is responsible for the hearing's scheduling and orderly conduct.
Anyone may submit written or oral comments concerning the draft permit at the hearing. The
presiding officer should set reasonable time limits for oral statements. The public comment
period may be extended by so stating during the hearing. It should be noted that a transcript
or recording of the hearing must be available to interested persons.
8.2.4 Issuance of Final Permit
The final permit may be issued after the close of the public notice period and after State
certification has been received (for permits issued by EPA). State certification involves the
review and concurrence by States of the content of permits and is designed to ensure that
State initiatives and policies are addressed in permits, as well as ensure consistency
between State- and EPA-issued permits. The public notice period includes:
A 30-day period that gives notice of intent to issue or deny the permit
A 30-day period advertising a public hearing (if applicable)
Any extensions or reopening of the comment period.
Final EPA permit decisions are effective immediately upon issuance unless comments
request ctianges in the draft permit, in which case the effective date of the permit is 30 days
after issuance (or a later date if specified in the permit). As discussed earlier, any comments
that are received must be answered at the time of final permit issuance (in the case of
NPDES States) or after a final decision is reached (in the case of EPA).
Once the final permit has been issued, the issuing authority should integrate the permit
limitations and any special conditions into the NPDES tracking system (i.e., the permit
compliance system). This will ensure that the facility's performance will be tracked and the
agency will be alerted to the need for corrective action in the event of violations of permit
limitations, terms, or conditions.
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8.3 ITEMS" TO BE ADDRESSED AFTER FINAL PERMIT ISSUANCE
8.3.1 Permit Appeals
In the process of developing a draft permit and during the public notice period, the permit
writer should carefully consider the legitimate concerns of the permittee as well as the
concerns of any third party who may have an interest in the permit terms and conditions.
However, there will inevitably be situations in which a permit is issued in spite of the
objections of the permittee or a third party. In such instances, the permittee or an interested
party may choose to legally contest or appeal the NPDES permit.
Various mechanisms are available to resolve legal challenges to NPDES permits. In
the case of EPA-issued permits, the administrative procedure involved is called an
evidentiary hearing. Many NPDES States have similar administrative procedures designed
to resolve challenges to the conditions of a permit. These procedures involve hearings
presided over by an administrative law judge. For the sake of convenience, these hearings
will hereafter be referred to as evidentiary hearings. They will naturally be known by different
names in different States. However, permit writers will, from time-to-time, be involved in
permit appeals and need to be concerned with the types of issues discussed in the following
section.
8.3.1.1 Role of the Permit Writer
Aside from preparation of the administrative record and notices, the permit writer need
not concern himself or herself with procedural matters relating to evidentiary hearings. All
requests for evidentiary hearings are coordinated through the office of the EPA Regional
Counsel or the appropriate State legal personnel. The permit writer's first involvement with
the hearing process will come as a result of designation of the trial staff and his role will be
limited to that of a witness and technical advisor to legal counsel.
The permit writer should not concern himself or herself with the legal defense of a permit
or permit conditions, but should be familiar with those laws, regulations, and policies that
may affect the permit. The permit writer should be thoroughly familiar with the technical
basis for the permit conditions. For example, if the effluent limits are based on water quality
requirements, the permit writer should thoroughly study any applicable basin plan or water
quality simulation used to develop the effluent limits and be prepared to defend any
assumptions inherent in the plan or simulation. If BPJ limits are based on proposed effluent
guidelines, it will be necessary to carefully review not only the guidelines themselves but all
applicable data, including the development document for the specific guidelines. The technical
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defense of other BPJ requirements is much more difficult The permit writer should be sure
that (1) the information on which BPJ limits are based are unimpeachable, (2) the limits were
derived from the data in a logical manner, in accordance with established procedures, and (3)
the BPJ limits so derived are technically sound and meet BCT or BAT standards for economic
reasonableness.
As technical advisor to legal counsel, the permit writer's most important function is to
develop direct testimony in support of contested permit conditions. No attempt should be
made to support technically indefensible conditions. Contested permit conditions that are not
technically defensible and are not based on any legal requirement should be brought to
counsel's attention, with advice that EPA or the State agency withdraw those conditions.
The second most important advisory function of the permit writer is assisting counsel in
the development of questions for cross-examination of the opposing witnesses. Questions
should be restricted to the subject material covered by the witness' direct testimony and
should be designed to elicit an affirmative or negative response, rather than an essay-type
response. If a question must be phrased in such a way that the witness could attempt
lengthy explanations, counsel should be forewarned.
Finally, the permit writer should remember that in requesting an evidentiary hearing the
permittee has declared an adversary relationship with the regulatory agency, and the permit
writer must therefore refrain from discussions about the case without prior consultation with
legal counsel. In the role of witness and/or technical advisor, the permit writer should:
Cultivate credibility
Never imply or admit weakness in his or her area of expertise
Never attempt to testify about subjects outside his or her area of expertise
Always maintain good communication with counsel.
8.3.2 Permit Modification, Revocation, and Transfer
After the final permit is issued, the permit may still need to be modified or revoked prior
to the expiration date. Modifications differ from revocations and reissuance. In a permit
modification, only the conditions subject to change are reconsidered while all other permit
conditions remain in effect. Conversely, the entire permit may be reconsidered when it is
revoked and reissued. A permit modification may be triggered in several ways. For example,
a representative of the regulatory agency may conduct an inspection of the facility, that
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indicates a need for the modification (i.e., the improper classification of an industry) or
information submitted by the permittee may suggest the need for a change. Of course, any
interested person may request that a permit modification be made.
There are two classifications of modifications: major and minor. From a procedural
standpoint, they differ primarily with respect to the public notice requirement. Major
modifications require public notice; minor modifications do not
8.3.2.1 Major Modifications
Virtually all modifications that result in less stringent conditions must be treated as a
major modification, with provisions for public notice and comment Generally speaking, a
permit will not be modified during the term of the permit if the facility is in full compliance with
permit conditions. Conditions that would necessitate a major modification of a permit are
described in 40 CFR 122.62 and include the following:
AlterationsWhen alterations or changes in operations occur that justify new
conditions that are different from the existing permit.
InformationWhen information is received that was not available at the time of
permit issuance.
New RegulationsWhen standards or regulations on which the permit was based
have been changed by promulgation of amended standards or regulations or by
judicial decision.
Compliance SchedulesWhen good cause for modification of a compliance schedule
exists, such as an Act of God, strike, or flood.
Variance RequestsWhen requests for variances, net effluent limitations,
pretreatment, etc., are filed within the specified time but not granted until after permit
issuance.
ReopenerConditions in the permit that required it to be reopened under certain
circumstances.
Net LimitsUpon request of a permittee who qualifies for effluent limitations on a
net basis under 40 CFR 122.45(g) and (h).
PretreatmentTo require that an approved program be implemented or to change the
schedule for program development.
Failure to NotifyUpon failure of an approved State to notify another State whose
waters may be affected by a discharge from the approved State.
Non-Limited PollutantsWhen the level of discharge of any pollutant that is not
limited in the permit exceeds the level that can be achieved by the technology-based
treatment requirements appropriate to the permit.
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Notification LevelsTo establish notification levels for toxic pollutants that are not
limited in the permit but must be reported if concentrations in the discharge exceed
these levels.
Technical MistakesTo correct technical mistakes or mistaken interpretations of
law made in developing the permit conditions.
Compliance Schedules for Innovative or Alternative FacilitiesTo modify the
compliance schedule in light of the additional time that may be required to construct
this type of facility.
Failed BPJ ComplianceWhen BPJ technology is installed and properly operated
and maintained but the permittee is unable to meet its limits, the limits may be
reduced to reflect actual removal; but in no case may they be less than the guideline
limits. If BPJ operation and maintenance costs are totally disproportionate to the
costs considered in a subsequent guideline, the permittee may be allowed to
backslide to the guideline limits.
8.3.2.2 Minor Modifications
Minor modifications are generally non-substantive changes (e.g., typographical errors
that require more stringent permit conditions). The conditions for minor modification,
described in 40 CFR 122.63, are summarized as follows:
To correct typographical errors
To require more frequent monitoring or reporting
To change an interim compliance date in the schedule of compliance, provided the new
date is not more than 120 days after the date specified in the permit and does not
interfere with attainment of the final compliance date requirement
To allow for a change in ownership when no other change is necessary
To allow for a change in the construction schedule for a new source discharger
To allow for the deletion of a point source outfall that does not result in the discharge
of pollutants from other outfalls except in accordance with permit limits.
8.3.2.3 Termination of Permits
Situations may arise during the life of the permit that are cause for termination (i.e.,
cancellation) of the permit. Such circumstances include the following (see 40 CFR
122.62(b)):
Noncompliance by the permittee with any condition of the permit
Misrepresentation or omission of relevant facts by the permittee
A determination that the permitted activity endangers human health or the
environment
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A temporary or permanent reduction or elimination of a discharge (e.g., plant closure)
Notification of a proposed transfer of a permit
*
Once the permit is terminated, it can be placed into effect again only by the reissuance
process, which requires a new permit application. All of the above situations may also be
addressed through the permit modification process on a case-by-case determination.
8.3.2.4 Transfer of Permits
Regulatory agencies will occasionally receive notification of a change in ownership of a
facility covered by an NPDES permit Such changes require that a permit be transferred by
one of two provisions:
Transfer by Modification or RevocationThe transfer may be made during the
process of modification, either major or minor. It may also be addressed by revoking
and subsequently reissuing the permit.
Automatic TransferA permit may be automatically transferred to a new permittee if
three conditions are met:
- The current permittee notifies the Director 30 days in advance of the transfer date
- The notice includes a written agreement between the old and new owner on the
terms of the transfer
- The Director of the regulatory agency does not indicate that the subject permit will
be modified or revoked.
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9. PERMIT COMPLIANCE AND ENFORCEMENT
9.1 OVERVIEW
It is essential that the limitations and conditions contained in an National Pollutant
Discharge Elimination System (NPDES) permit be met by the permittee, otherwise the
permit becomes a meaningless document. Various methods may be used by a regulatory
agency to determine whether or not a permittee is in compliance with the permit limits and
the various other conditions of the NPDES permit. In addition, numerous enforcement actions
which may be taken by the regulatory agency in response to various permit violations.
The permit writer may or may not become actively involved with the compliance
monitoring and enforcement of the terms and conditions of the NPDES permits that he or she
has written. The extent of the permit writer's involvement will usually depend upon the
organizational structure of the regulatory agency. Larger, centrally organized agencies will
typically have specialized personnel responsible for enforcing the terms of NPDES permits. In
other organizations, the individual who writes the permit will also be responsible for such
enforcement activities as Discharge Monitoring Report (DMR) tracking, facility inspections,
and enforcement recommendations. In the event of a judicial enforcement action, the permit
writer may be called upon to testify regarding the specific requirements of the permit or its
basis.
Regardless of the type of organizational structure within a regulatory agency, the permit
writer should have an appreciation for the various aspects of a meaningful NPDES compliance
enforcement program. The way in which permit requirements are expressed has a direct
bearing on the permittee's self-monitoring program and on the regulatory agency's compliance
monitoring and enforcement activities.
9.2 COMPLIANCE MONITORING
Compliance monitoring is a generic term that includes all activities undertaken by
Federal or State regulatory agencies to ascertain a permittee's adherence to an NPDES
permit Compliance monitoring data collected as part of the NPDES program are used in
compliance evaluation and in support of enforcement. The process includes receiving data,
reviewing data, entering data into the Permit Compliance System (PCS) data base,
identifying violators, and responding with enforcement.
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A primary function of the compliance monitoring program is the verification of compliance
with permit conditions, including effluent limitations and compliance schedules. Compliance
monitoring may be described as comprising two elements:
Compliance ReviewThe review of all written reports and other material relating to
the status of a permittee's compliance
Compliance InspectionsField-related regulatory activities, including sampling,
conducted to determine compliance.
9.2.7 Compliance Review
Compliance and enforcement personnel use two primary sources of information to carry
out their compliance review responsibilities:
Permit/Compliance FilesThese files include compliance schedule reports,
compliance inspection reports, DMRs, enforcement actions, and any other
correspondence (e.g., summaries of telephone calls, copies of warning letters)
Compliance personnel periodically review this information and use it to determine if
enforcement is necessary and what level of enforcement is appropriate.
PCSPCS is a data management system used to compile all relevant facts about a
facility's permit conditions, self-monitoring data, the inspections performed, and any
enforcement actions taken. PCS is the national data base for the NPDES program.
As such, PCS promotes national consistency and uniformity in permit and compliance
evaluations. To accomplish this goal, all required data are entered into and
maintained regularly in PCS.
NPDES permits must be enforceable and capable of being tracked by PCS. There may
be situations where permit limits and monitoring conditions are not initially compatible with
PCS entry and tracking. In these cases, States should ensure that appropriate steps are
taken by the permit writer to identify difficult permits to the PCS coder (either in the State or
the Region)''and to mutually resolve any coding issues. To assist PCS coders in accurately
interpreting and coding the permit into PCS and to assist enforcement personnel in reviewing
permittee self-monitoring data and reports in a timely manner, permit writers should apply
the practices discussed in Section 9.2.2.
9.2.2 Compliance Inspections
Compliance inspections refer to all field-related regulatory activities conducted to
determine permit compliance. Such field activities may include evaluation inspections
(nonsampling), sampling inspections, other specialized inspections, and remote sensing.
Certain inspections, such as diagnostic inspections and performance audit inspections, in
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addition to providing information to support enforcement action, aid the regulatory agency in
evaluating the facility's problems. Biomonitoring inspections are specifically targeted at
facilities with effluent suspected or identified as causing toxicity problems that threaten the
ecological balance of the receiving waters.
Compliance inspections are undertaken for one or more of the following purposes:
To establish a regulatory presence to defer violations
To ensure that permit requirements are being met or to determine if permit conditions
are adequate .
To check the completeness and accuracy of a permittee's performance and compliance
records
To assess the adequacy of the permittee's self-monitoring and reporting program
To determine the progress or completion of corrective action
To obtain independent compliance data on a facility's discharge
To evaluate the permittee's operation and maintenance activities
To observe the status of construction required by the permit
9.2 QUARTERLY NONCOMPLIANCE REPORTS
EPA Regional Offices and States that have been approved to administer the NPDES
program are required by regulation to report quarterly on major facilities that are not in
compliance with the terms and conditions of their permit (i.e., effluent limitations meet the
criteria for reportable noncompliance [RNC], schedules, and reporting requirements).
The regulations in 40 Code of Federal Regulations (CFR) 123.45 established
requirements for listing facility violations and resulting regulatory enforcement action or
quarterly noncompliance reports (QNCRs). This regulation established reporting
requirements for violations that meet specific, quantifiable reporting criteria, as well as for
violations that are more difficult to quantify but are of sufficient concern to be considered
reportable. The regulation also specifies the format that the reports must follow and the
schedule for their submission.
Only facilities within an RNC that are considered to be major must be reported on the
QNCR. RNC consist of five general types of violations:
Violation of Monthly Average Effluent Limits:
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- Data that exceeds or equals the limit times the Technical Review Criteria (TRC)
for 2 months during a six month period, where the TRC is 1.4 for Group I pollutants
and 1.2 for Group n pollutants (Appendix A to 40 CFR Part 123 contains a list of
Group I and n pollutants)
- Data that exceeds the limit for 4 months during a six month period
Interim Effluent Limits Set Forth in a Formal Enforcement ActionAny violation of
any magnitude
ScheduleMissing a compliance schedule milestone date by 90 days
ReportingMissing a report due date by 30 days
Single EventA violation of any magnitude considered to have an adverse effect on
water quality or public health (e.g., unauthorized bypass, unpermitted discharge,
frequent discharges of a variety of pollutants).
A subset of instances of RNC that appear on the QNCR may be noted as significant
noncompliance (SNC). This distinction is used solely for management accountability
purposes as a means of tracking trends in compliance and evaluating relative timeliness of
appropriate enforcement response toward priority violations. The definition of SNC is not
regulatory and may changes as the NPDES program change to encompass new initiatives.
Generally, the designation of SNC indicates a violation is of sufficient magnitude and/or
duration to be considered among the Agency's priorities for regulatory review and/or
response. The categories of SNC are:
Violation of enforcement action requirements (i.e., administrative effluent limits, key
compliance schedule milestones, and key reports)
Violation of permit effluent limits
Violation of key compliance schedule milestones contained in a permit
Violation of key reporting requirements in a permit
Any unauthorized discharge or bypass considered significant by the NPDES program
director
Violations associated with water quality or health impacts.
The Regions and NPDES States are expected to prioritize rapid enforcement action
against all SNC violations by the time they appear on the first QNCR. Prior to a permittee
appearing on the subsequent QNCR for the same instance of SNC, the permittee should
either be in compliance or the administering agency should have initiated an appropriate
formal enforcement action to achieve final compliance. If the facility is still considered SNC
after two quarters and no formal enforcement action has been taken, the facility is placed on
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the Exceptions List. Although there are some legitimate justifications for facilities appearing
on the Exception List, the Exceptions List generally indicates facilities for which the
administering agency failed to handle enforcement in a timely and appropriate manner.
9.3 ENFORCEMENT
Once a facility has been identified as having apparent permit violations, the U.S.
Environmental Protection Agency (EPA) or the NPDES-authorized State will review the
facility's compliance history. Such a review should focus on the magnitude, frequency, and
duration of violations. Significant permit violations are identified and a determination of the
appropriate enforcement response is made.
Section 309 of the Act authorizes the Agency to bring civil or criminal action against
facilities which violating their NPDES permit conditions. The EPA Regions and the NPDES
States have specific procedures for reviewing self-monitoring and inspection data and for
deciding what type of enforcement action is warranted. Typical types of enforcement actions
include the following activities (listed in increasing order of severity):
Inspection debriefing, calling attention to deficiencies
Telephone call
Letter of violation
Notice of violation
Administrative order
Administrative fine of up to $125,(KK) per proceeding
Civil lawsuit
Criminal prosecution.
Considerations when making determinations on the level of the enforcement response
include (1) the severity of the permit violation, (2) the degree of economic benefit obtained
through the violation, (3) previous enforcement actions taken against the violator, and (4) the
deterrent effect of the response on similarly situated permittees. Equally important are
considerations of fairness and equity, national consistency, and the integrity of the NPDES
program.
In the final analysis, the way in which a permit is written directly affects the type of
enforcement action that can be taken. Each permit must be written clearly and without
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ambiguities so that it can be tracked effectively and enforced in the event of frequent and
significant violations.
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APPENDIX AGLOSSARY
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APPENPIX AGLOSSARY
Acute - A stimulus severe enough to rapidly induce an effect; in aquatic toxicity tests, an
effect observed in 96 hours or less typically is considered acute. When referring to aquatic
toxicology or human health, an acute affect is not always measured in terms of lethality.
Administrator - The Administrator of the United States Environmental Protection Agency or
an authorized representative.
Antidegradation - Policies are part of each State's water quality standards. These policies
are designed to protect water quality and provide a method of assessing activities that may
impact the integrity of the waterbody.
Authorized Program or Authorized State - A State or interstate program which has been
approved or authorized by EPA under Part 323.
Average Monthly Discharge Limitations - The highest allowable average of daily discharges
over a calendar month, calculated as the sum of all daily discharges measured during that
month (except in the case of fecal coliform).
Average Weekly Discharge Limitation - The highest allowable average of daily discharges
over a calendar week, calculated as the sum of all daily discharges measured during a
calendar week divided by the number of daily discharges measured during that week.
Best 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 United States. BMPs also include but are not limited to 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 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.
Bioassay - A test used to evaluate the relative potency of a chemical or a mixture of
chemicals by comparing its effect on a living organism with the effect of a standard
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161A/FS - 11/24/92 - 11:51 AM
preparation "on the same type of organism. Bioassays frequently are used in the
pharmaceutical industry to evaluate the potency of vitamins and drugs.
Biochemical Qxvgen Demand (BOD^) - A measurement of the amount of oxygen depletion
over a specified time period (usually 5 days) in a wastewater sample; it is a measurement of
non-toxic organic strength of a wastewater.
Chronic - A stimulus that lingers or continues for a relatively long 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 a chronic effect can be reduced growth, reduced
reproduction, etc., in addition to lethality.
Code of Federal Regulations (40 CFR1 - Title 40 of the Code of Federal Regulations
published in a U.S. government publication, the Federal Register, which contains
environmental 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.
Concentration-based Limit- A limit based on 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.
CWA - The Clean Water Act (formerly referred to as the Federal Water Pollution Control
Act or Federal Water Pollution Control Act Amendments of 1972) Public Law 92-500, as
amended by Public Law 96-483 and Public Law 97-117, 33 U.S.C. 1251 et. seq.
CWA and Regulations - The Clean Water Act (CWA) and applicable regulations
promulgated thereunder. In the case of an approved State program, it includes State program
requirements.
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Daily Discharge - The discharge of a pollutant measured during a calendar day or any 24-
hour period that reasonably represents the calendar day for purposes of sampling. For
pollutants with limitation expressed in units of mass, the daily discharge is calculated as the
total mass of the pollutant discharges over the day. For pollutants with limitations
expressed in other units of measurement (e.g., concentration) daily discharge is calculated as
the average measurement of the pollutant over the day. Daily discharge is calculated as the
average measurement of the pollutant over the day.
Daily Maximum - The maximum allowable value of any single observation in a given day.
Development Document - Detailed report of studies conducted by the Environmental
Protection Agency for the purpose of developing effluent guidelines and categorical
pretreatment standards.
Director - The Regional Administrator or State Director, as the context requires, or an
authorized representative. When there is no approved State program, and there is an EPA
administered program, Director means the Regional administrator. When there is an
approved State program, "Director" normally means the State Director. In some
circumstances, however, EPA retains the authority to take certain actions even where there
is an approved State program.
Discharge of a Pollutant - Any addition of any pollutant or combination of pollutants to
Waters of the United States from any point source, or any addition of any pollutant or
combination of pollutants to the waters of the contiguous zone or the ocean from any point
other than a vessel or other floating craft which is being used as a means of transportation.
Discharge Monitoring Report (DMR) - The EPA uniform national form, including any
subsequent additions, revisions, or modifications for the reporting of self-monitoring results
by permittees. DMRs must be used by approved States as well as by EPA.
Draft Permit - A document prepared under 40 CFR 124.6 indicating the Director's tentative
decision to issue or deny, modify, revoke and reissue, terminate, or reissue a permit. A
notice of intent to terminate a permit, and a notice of intent to deny a permit, as discussed in
40 CFR 124.5, are types of draft permits. A denial of a request for modification, revocation
and reissuance, or termination, as discussed in 40 CFR 124.5, is not a draft permit.
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Effluent - Wastewater discharge at the end of a treatment process or treatment facility.
Effluent Limitation - Any restriction imposed by the Director on quantities, discharge rates,
and concentrations or pollutants which are discharged from point sources into waters of the
United States, the waters of the contiguous zone, or the ocean.
Effluent Limitations Guidelines - A regulation published by the Administrator under section
304(b) of CWA to adopt or revise effluent limitations.
Facility or Activity - Any NPDES permit issued under 40 CFR 122.28 authorizing a category
of discharges under the CWA within a geographical area.
Flow Proportional Composite Sample - Combination of individual samples proportional to the
flow of the wastestream at the time of sampling.
General Permit - An NPDES permit issued under 40 CFR 122.28 authorized a category of
discharges under the CWA within a geographical area.
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.
Hazardous Substance - Any substance designated under 40 CFR Part 116 pursuant to
Section 311 of the CWA.
Indirect Discharge - A nondomestic discharge introducing pollutants to a publicly owned
treatment works.
Industrial User (IU) - A source of Indirect Discharge which does not constitute a "discharge
of pollutants" under regulations issued pursuant to Section 402 of the Clean Water Act.
Major Facility - Any NPDES facility or activity classified as such as by the Regional
Administrator, or in the case of approved State programs, the Regional Administrator in
conjunction with the State Director.
Mass-Based Standard - A discharge limit which is measured in a mass unit such as pounds
per day.
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Municipality - A city, town, borough, county, parish, district, association, or other public body
created by or under 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 208 of the CWA.
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
CWA.
New Discharger - 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 that particular site prior to
August 13, 1979.
c. Which is not a new source.
d. Which has never received a finally effective NPDES permit for discharges at that
site.
New Source - Any building, structure, facility, or installation from which there is or may be a
discharge of pollutants, the construction of which commenced:
a. After promulgation of standards of performance under Section 306 of the CWA
which are applicable to such source, or
b. After proposal of standards of performance in accordance with Section 306 of the
CWA which are applicable to such source, but only if the standards are promulgated
in accordance with Section 306 of the CWA within 120 days of their proposal.
c. Except as otherwise provided in an applicable new source performance standards, a
source is a new source if it meets the definition in 40 CFR 122.2, and
i. It is constructed at a site at which no other source is located; or
ii It totally replaces the process or production equipment that causes the
discharge of pollutants at an existing source; or
iii. Its processes are substantially independent of an existing source at the same
site. In determining whether these processes are substantially independent,
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.
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Owner or Operator - The owner or operator of any facility or activity subject to regulation
under the NPDES program.
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 et
seq.)), heat, wrecked or discarded equipment, rock, sand, cellar dirt and industrial, municipal,
and agricultural waste discharged into water.
Pretreatment - The reduction of the amount of pollutants, the elimination of pollutants, or the
alteration of the nature of pollutant properties in wastewater to a less harmful state 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
categorical standards to 40 CFR Parts 405-471 for specific dates.)
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 categorical standards in
40 CFR Parts 405-471 for specific dates.)
Primary Industry Category - Any industry category listed in the NRDC settlement agreement
(Natural Resources Defense Council et al. v. Train, 8 E.R.C. 2120 verify (D.D.C. 1976),
modified 12 E.R.C. 1833 (D.D.C. 1979); also listed in Appendix A of 40 CFR Part 122.
Priority Pollutants - Those pollutants listed by the Administrator under CWA Section 307(a).
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Privately Owned Treatment Works - Any device or system which is (a) used to treat wastes
from any facility whose operator is not the operator of the treatment works and (b) not a
POTW.
Process Wastewater - Any water which, during manufacturing or processing, comes into
direct contact with, or results from the production or use of any raw material, intermediate
product, finished product, byproduct, or waste product.
Production-based Standard - A discharge limitation expressed in terms of allowable pollutant
mass discharge rate per unit of production which is applied directly to an industrial user's
manufacturing process.
Proposed Permit - A State NPDES permit prepared after the close of the public comment
period (and, when applicable, any public hearing and administrative appeals) which is sent to
EPA for review before final issuance by the State.
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 definition includes sewers, pipes, or
other conveyances only if they convey wastewater to a POTW providing treatment
Quality Assurance - Refers to a management/administrative check on procedures and
practices used during sampling and analysis that ensures the accuracy, precision,
reproductibility, and representativeness of reported data.
Quality Control - Routine application of procedures to. control the accuracy and precision of
the sampling and analytical measurement processed (as a function of quality assurance).
Regional Administrator - The Regional Administrator of the appropriate Regional Office of
the Environmental Protection Agency or the authorized representative of the Regional
Administrator.
Self-monitoring - Sampling and analyses performed by a facility to ensure compliance with a
permit or other regulatory requirements.
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Schedule of Compliance - A schedule of remedial measures included in a permit, including an
enforceable sequence of interim requirements (i.e., actions, operations, or milestone events)
leading to compliance with the CWA and regulations.
Secondary Industry Category - Any industry category which is not a primary industry
category.
Significant Industrial User (SIU) - Includes:
a. all categorical industrial users or
b. any noncategorical industrial user that
i. discharges 25,000 gallons per day or more of process wastewater ("process
wastewater" excludes sanitary noncontact cooling, and boiler blowdown
wastewaters)
ii. contributes a process wastestream which makes up five percent or more of the
average dry weather hydraulic or organic (BOD, TSS, etc.) capacity of the
treatment plant
iii. has a reasonable potential, in the opinion of the Control or Approval Authority,
to adversely affect the POTW's operation or to violate any pretreatment
standard or requirement.
State Director - The chief administrative officer of any State or interstate agency operating an
authorized program, or the delegated representative of the State Director.
STORET - EPA's computerized water quality data base that includes physical, chemical, and
biological data measured in waterbodies throughout the United States.
»
Time Proportional Composite Sample - Combination of individual samples with fixed volumes
taken at specific time intervals.
Toxicity Reduction Evaluation (TRE) - 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.
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Toxicitv Test - A procedure to determine the toxicity of a chemical or an effluent using living
organisms. A toxicity test measures the degree of effect on exposed test organisms of a
specific chemical or effluent
Toxic Pollutants - Those pollutants listed by the Administrator under CWA Section 307 (a).
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 Quality 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 Toxicitv - The total toxic effect of an effluent measured directly with a toxicity
test.
A-9
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APPENDIX BOUTLINE OF 40 CFR PART 122
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APPENDIX BOUTLINE OF 40 CFR PART 122
PART 122 - NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM
SUBPART A - DEFINITIONS AND GENERAL PROGRAM REQUIREMENTS
122.1 Purpose and Scope
122.2 Definitions
122.3 Exclusions
122.4 Prohibitions *
122.5 Effect of a permit
122.6 Continuation of expiring permits
122.7 Confidentiality of information
SUBPART B - PERMIT APPLICATION AND SPECIAL NPDES PROGRAM REQUIREMENTS
122.21 Application for a permit *
122.22 Signatories to permit applications and reports *
122.23 Concentrated animal feeding operations *
122.24 Concentrated aquatic animal production facilities *
122.25 Aquaculture projects *
122.26 Separate storm sewers *
122.27 Silvicultural activities *
122.28 General permits *
122.29 New sources and new discharges
SUBPART C - PERMIT CONDITIONS
122.41 Conditions applicable to all permits *
122.42 --' Additional conditions applicable to specified categories of NPDES permits *
122.43 Establishing permit conditions *
122.44 Establishing limitations, standards and other permit conditions *
122.45 Calculating NPDES permit conditions *
122.46 Duration of permits *
122.47 Schedules of compliance
122.48 Requirements for recording and reporting of monitoring results *
122.49 Considerations under Federal law
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122.50 Disposal of pollutants into wells, into publicly owned treatment works or by
land application *
SUBPART D TRANSFER, MODIFICATION, REVOCATION AND REISSUANCE,
AND TERMINATION OF PERMITS
122.61 Transfer of permits *
122.62 Modification or revocation and reissuance of permits *
122.63 Minor modifications of permits
122.64 Termination of permits *
* Applicable to State NPDES Programs (See 40 CFR 123.25).
Authority: The Clean Water Act, 33 U.S.C. part 1251 et. seq.
Appendix A -
Appendix B -
Appendix C -
Appendix D -
NPDES Primary Industry Categories
Criteria for Determining a Concentrated Animal Feeding Operation (40
CFR 122.230)
Criteria for Determining a Concentrated Aquatic Animal Production Facility
(40 CFR 122.24)
NPDES Permit Application Testing Requirements (40 CFR 122.21)
B-2
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APPENDIX CINDEX TO NPDES REGULATIONS
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161A/FS - 11/24/92 - 11:52 AM
APPENDIX CINDEX TO NPDES REGULATIONS
CLEAN WATER ACT
SECTION NUMBER
301 (b)
301 (h)
301 (k)
303(c)
304(e)
316(a)
40CFR
SECTION NUMBER
122.21(m)(l), 125 Subparts
AandD
125 Subpart G
125 Subpart J
125 Subpart C
131 Subparts A,B,and C
125 Subpart K
124.66, 125 Subpart H
SUBJECT A
Administrative Procedures Act
- Permit Continuation
Administrative Record
- Draft Permit
- Final Permit
Ami-Backsliding (Reissued Permits)
Application
- Completeness
Existing Facilities
- State Program
- Time to Apply
- Duty to Reapply
Aquaculture
Aquatic Animal Production Facilities
- Application
- Definition
Appendix A
Average Monthly
122.6
124.9
124.18
122.44(1), 122.62(a)(16)
122.21(e)
122.21(g)
124.3
122.21(c)
122.21(d)
122.2, 125.10
122.21(h)(2)
122.24
122
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- Non-POTW
- POTW
Average Weekly Limits (POTW)
SUBJECTS
BAT Compliance Deadline
Best Management Practices (BMP)
Best Professional Judgment (BPJ)
Boilerplate Permit Conditions
Bypass
122.45(d)(l)
122.45(d)(2)
122.45(d)(2)
122.44(10, 125.100-102
125.3
122.41-44
122.4 l(m)
SUBJECTC
Calculating NPDES Permit Conditions
Case-by-Case Limitations (See BPJ also)
Case-by-Case Permits (See BPJ also)
Coast Guard
Coastal Zone Management
Comments During Public Notice
Compliance Schedules
Computation of Time
Concentrated Animal Feeding Operations
Concentrated Aquatic Animal Production
Confidentiality of Information
Consolidation of Permit Processing
Continuation of Expiring Permits
Conventional Pollutants
122.45
122.44(a), 125.3
124.52
122.44(p)
122.49(d)
124.13
122.410X5), 122.47,
122.62(a)(13)
124.20
122.21(h)(l), 122.23
122.21 (h)(2), 122.24
122.7
124.4
122.6
401.16
SUBJECTD
Definitions and General Requirements
Denial of Permit
Design Row (POTWs)
Dilution Prohibition
Discharge Monitoring Report (DMR)
122.1
122.6(b)
122.45(b)
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161A/FS - 11/24/92 - 11:52 AM
Discharge of a Pollutant (definition)
Draft Permit
Duration of Permits
Duty to Comply
Duty to Mitigate
Duty to Provide Information
Duty to Reapply
122.2
124.6
122.46
122.41 (a)
122.41(d)
122.41(h)
122.41(b)
SUBJECTS
Effective Date
Endangered Species Act
Environmental Impact Statement
- Final
- New Source
- NEPA
Evidentiary Hearing Procedures
Ex Parte Communication
Exclusions
Existing Source Definition
Expiration Dates (Duration of Permits)
Extension of Public Comment Period
124.15
122.49(c)
124.61
122.29(c),
6
124.71-91
124.78
122.3
122.29(a)(3)
122.46,124.2
124.12(c)
SUBJECT F
Fact Sheets
Filter Backwash
Fish and Wildlife Coordination Act
Fundamentally Different Factors (PDF)
124.8, 124.56
125.3(g)
122.49(e)
, 122.44(d)(8),
125.30-32
SUBJECT G - H
General Permits
- Public Notice
- Special Procedures
122.28
124.58
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SUBJECT I-'L
Innovative Technology (See 301(k))
Inspection and Entry
Internal Waste Streams
Introduction of New Pollutants - POTW
Issuance and Effective Dates
122.45(h)
122.42(b)
124.15,124.20,124.60
SUBJECTM
Mass Limitation
Maximum Daily
Metals
Minor Modifications
Modifications
Monitoring
- Recording
- Recordkeeping
- Records
- Reports (DMRs)
Representative
122.45(f)
122.45(d)(l)
122.45(c)
122.63
122.62,124.5
122.48
122.48(p)
122.41 (j)(2)
122.41 (1)(4)
122.41(j)(D
SUBJECTN
NPDES (Definition)
National Environmental Policy Act
National Historic Preservation Act
Navigation
Need to Halt or Reduce Activity
- Not a Defense
Net/Gross
New Discharger (Definition)
New Source
- Application
- Criteria
122.2
122.49(g)
122.49(b)
122.44(q)
122.4 l(c)
122.45(g)
122.2
122.29
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- Definition
- Prohibited Discharges
- Public Notice
Non-Advisory Panel Procedures
Non-Continuous Discharges
Non-Compliance
- Anticipated
- Other
Notification Levels
122.2
122.4(i)
124.111-128
122.45(e)
122.42(a), 122.44(f)
SUBJECTO
Offshore Oil and Gas Facilities
On-Site Construction (New Source)
Operations and Maintenance
SUBJECT P-O
pH Limits with Continuous Monitoring
Planned Changes
Pollutant (Definition)
Pollutants in Intake Water (Net/Gross)
POTW (Definition)
Pretreatment
Primary Industry
Privately Owned Treatment Works
Prbduction-Based Limits
Prohibitions
Proper Operation and Maintenance
Property Rights
Public Hearings
Public Notice of Permits
- Contents
- Public Hearings
122.28(c)
122.29(c)(4)
122.41(e)
401.17
122.2
122.45(g)
122.2
122.44(j), 403
122 - Appendix A
122.44(m)
122.45(b)
122.4
122.41 (e)
122.41(g)
124.12
124.10
124.10(d), 124.57
124.10(b)(2), 124.10(d)(2)
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SUBJECTR'
Reapplication
Recordkeeping
Reopener Clause
Reopening of Public Comment Period
Request for Evidentiary Hearing
Response to Comments
Revocation and Reissuance
122.21(d)
22.21(p),
122.44(c)
124.14
124.74
124.17
122.62,124.5
SUBJECT S
Secondary Treatment Requirements
Secondary Treatment Variance (See 301(h) of the CWA)
Sewage Sludge
Signatory Requirements
122.27
Small Business Exemption
State Certification
Statement of Basis
Statutory Deadlines
- POTW
- Non-POTW
Statutory Variances and Extension
Stays of Contested Permit Conditions
Storm Water
- Application Deadline
- Group n Dischargers
- Group II Dischargers
133
122.44 (o), 503
122.22
122.21(g)(8)
124.53, 124.54, 124.55,
122.44(d)(3)
124.7
125.3(a)(l)
125.3(a)(2)
125.3(b)
124.16, 124.60
122.26
122.21(f)(9)
122.21(g)(10)
SUBJECTT
Technology Based Effluent Limits
Ten Year Protection Period
for New Sources and Dischargers
122.44(a)
122.29(d)
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Termination of Permit 122.64
Thermal Dischargers (See 316(a) of the CWA)
Toxic Pollutants 122.44(e)
Toxic Pollutants List 401.15
Transfer of Permit 122.41 (1)(3), 122.61
Twenty Four Hour Reporting 122.41(1)(6), 122.44(g)
SUBJECTU
Upset 122.41(n)
SUBJECTV
Variances
- Non-POTWs 122.21(1)
- POTWs 122.21(m)
- Appeals 124.64
- Decisions 124.62
- Expedited procedures 122.21(n)
- Procedures 124.63
SUBJECT W.X.Y.Z
Water Quality Standards 122.44(d)
Waters of the U.S. (Definition) 122.2
#
Wetlands (See "Waters of the U.S." Definition)
Wild and Scenic Rivers Act 122.49(a)
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APPENDIX DNPDES PERMIT APPLICATION TESTING REQUIREMENTS
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APPENDIX DNPDES PERMIT APPLICATION TESTING REQUIREMENTS
TABLE ITESTING REQUIREMENTS FOR ORGANIC Toxic POLLUTANTS BY
INDUSTRIAL CATEGORY FOR EXISTING DISCHARGES
Industrial category
Adhesives and
Sealants
Aluminum
Forming
Auto and Other
Laundries
Battery Manufacturing
Coal Mining
Coil Coating
Copper Forming
Electric 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
Nonferrous Metals
Manufacturing
Volatile
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
GC/MS
Acid
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
! Fraction1
Base/
neutral
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
Pesticide
2
2
2
2
2
2
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TABLE ITESTING REQUIREMENTS FOR ORGANIC Toxic POLLUTANTS BY
INDUSTRIAL CATEGORY FOR EXISTING DISCHARGES (CONTINUED)
Industrial category
Ore Mining
Organic Chemicals
Manufacturing
Paint and Ink
Formulation
Pesticides -
Petroleum Refining
Pharmaceutical
Preparations
Photographic
Equipment and
SuDDlies
Plastic and Synthetic
Materials
Manufacturing
Plastic Processing
Porcelain Enameling
Printing and
Publishing
Pulp and Paper Mills
Rubber Processing
Soap and Detergent
Manufacturing
Steam Electric Power
Plants
Textile Mills
Timber Products
Processing
GC/MS Fraction1
Volatile
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
Acid
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
Base/
neutral
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
Pesticide
,2
2
2
2
2
2
2
2
2
2
2
2
1 The toxic pollutants in each fraction are listed in Table
2 Testing required.
n.
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TABLE nORGANIC Toxic POLLUTANTS IN EACH OF FOUR FRACTIONS IN
ANALYSIS BY GAS CHROMATOGRAPHY/MASS SPECTROSCOPY (GS/MS)
Volatiles
IV acrolein
2V acrylonitrile
3V benzene
5V bromoform
6V carbon tetrachloride
7V chlorobenzene
8V chlorodibromomethane
9V chloroethane
10V 2-chlorbethylvinyl ether
1IV chloroform
12V dichlorobromomethane
14V 1,1-dichloroethane
15V 1,2-dichloroethane
16V 1,1-dichhloroethylene
17V 1,2-dichloropropane
18V 1,3-dichloropropylene
19V ethylbenzene
20V methyl bromide
21V methyl chloride
22V methylene chloride
23V 1,1,2,2-tetrachloroethane
24V tetrachloroethylene
25V toluene
26V 1,2-trans-dichloroethylene
27V 1,1,1-trichloroethane
28V 1,1,2-trichloroethane
29V trichloroethylene
31V vinyl chloride
Acid Compounds
1A 2-chlorophen ol
2A ^ 2,4-dichlorophenol
3A'' 2,4-dimethylphenol
4A 4,6-dinitro-o-cresol
5A 2,4-dinitrophenol
6A 2-nitrophenol
7A 4-nitrophenol
8A p-chloro-m-cresol
9A pentachlorophenol
10A phenol
11A 2,4,6-trichlorophenpl
D-3
-------
161A/Disk #1 - 11/24/92 - 11:53 AM
TABLE IIORGANIC Toxic POLLUTANTS IN EACH OF FOUR FRACTIONS IN
ANALYSIS BY GAS CHROMATOGRAPHY/MASS SPECTROSCOPY (GS/MS)
(CONTINUED)
Base/Neutral
IB acenaphthene
2B acenaphthylene
3B anthracene
4B benzidine
SB benzo(a)anthracene
6B benzo(a)pyrene
7B 3,4-benzofluoranthene
8B benzo(ghi)perylene
9B benzo(k)fluoranthene
10B bis(2-chloroethoxy)m ethane
11B bis(2-chloroethyl)ether
12B bis(2-chloroisopropyl)ether
13B bis(2-ethylhexyl)phthalate
14B 4-bromophenyl phenyl ether
15B butylbenzyl phthlate
16B 2-chloronaphthalene
17B 4-chlorophenyl phenyl ether
18B chrysene
19B dibenzo(a,h)anthracene
20B 1,2-dichlorobenzene
21B 1,3-dichlorobenzene
22B 1,4-dichlorobenzene
23B 3,3'-dichlorobenzidine
24B diethyl phthalate
25B dimethyl phthalate
26B di-n-butyl phthalate
27B 2,4-dinitrotoluene
28B 2,6-dinitrotoluene
29B di-n-octyl phthalate
30B 1,2-diphenylhydrazine (as azobenzene)
3IB fluroranthene
32B fluorene
33B hexachlorobenzene
34B hexachlorobutadiene
35B hexachlorocyclopentadiene
36B hexachloroethane
37B indeno(l,2,3-cd)pyrene
38B isophorone
39B napthalene
40B nitrobenzene
41B N-nitrosodimethylamine
42B N-nitrosodi-n-propylamine
43B N-nitrosodiphenylamine
D-4
-------
161A/Disk#l - 11/24/92 - 11:53 AM
TABLE IIORGANIC Toxic POLLUTANTS IN EACH OF FOUR FRACTIONS IN
ANALYSIS BY GAS CHROMATOGRAPHY/MASS SPECTROSCOPY (GS/MS)
(CONTINUED)
Base/Neutral (continued)
44B phenanthrene
45B pyrene
46B 1,2,4-trichlorobenzene
Pesticides
IP aldrin
2P alpha-BHC
3P beta-BHC
4P gamma-BHC
5P delta-BHC
6P chlordane
7P 4,4'-DDT
8P 4,4'-DDE
9P 4,4'-DDD
10P dieldrin
1 IP alpha-endosulfan
12P beta-endosulfan
13P endosulfan sulfate
14P endrin
15P endrin aldehyde
16P heptachlor
17P heptachlor epoxide
18P PCS-1242
19P PCB-1254
20P PCB-1221
21P PCB-1232
22P PCB-1248
23P PCB-1260
24P PCB-1016
25P toxaphene
D-5
-------
161A/Disk #1 - 11/24/92 11:53 AM
TABLE IIIOTHER Toxic POLLUTANTS (METALS AND CYANIDE) AND TOTAL
PHENOLS
Antimony, Total
Arsenic, Total
Beryllium, Total
Cadmium, Total
Chromium, Total
Copper, Total
Lead, Total
Mercury, Total
Nickel, Total
Selenium, Total
Silver, Total
Thallium, Total
Zinc, Total
Cyanide, Total
Phenols. Total
D-6
-------
161A/Disk #1 - 11/24/92 - 11:53 AM
TABLE IVCONVENTIONAL 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 Grease
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
D-7
-------
161 A/Disk #1 11/24/92 - 11:53 AM
TABLE VToxic POLLUTANTS AND HAZARDOUS SUBSTANCES REQUIRED TO BE
IDENTIFIED BY EXISTING DISCHARGERS IF EXPECTED TO BE PRESENT
Toxic Pollutants
Asbestos
Hazardous Substances
Acetaldebyde
Allyl alcohol
Allyl chloride
Amyl acetate
Aniline
Benzonitrile
Benzyl chloride
Butyl acetate
Butylamine
Captan
Carbaryl
Carbofuran
Carbon disulfide
Chlorpyrifos
Coumaphos
Cresol
Crotonaldebyde
Cychlobexane
2,4-D (2,4-Dichlorophenoxy acetic acid)
Diazinon
Dicamba
Dichlobenil
Dichlone
2-2 JDichloropropionic acid
Dicblorvos
Diethyl amine
Dimetbyl amine
Dinirobenzene
Diquat
Disulfoton
Diuron
Epichlorobydrin
Ethion
Ethylene diamine
Etbylene dibromide
Fonnaldebyde
Furfural
Guthion
Isoprene
Isopropanolamine Dodecylbenzene sulfonate
Kelthane
Kepone
Malathion
Mercaptodimethur
Metboxychlor
Methyl mercaptan
Methyl methacrylate
Methyl parathion
Mevinphos
Mexacarbate
Monoethyl amine
Monometbyl amine
Naled
Nanthenic acid
Nitrotoluene
Parathion
Pbenolsulfanate
Phosgene
Propargite
Propylene oxide
Pyrethrins
Quinoline
Resorcinol
Strontium
Strychnine
Styrene
2,4,5-T (2,4,5-Trichlorophenoxy acetic acid)
TDE (Tetrachlorodipbenylethane)
2,4,5-TP [2-(2,4,5-Trichlorophenoxy) propanoic acid]
Tricblorofan
Triethanolamine dodecylbenzenesulfonate
Triethylamine
Trimethylamine
Uranium
Vanadium
Vinyl acetate
Xylene
Xylenol
Zirconium
D-8
-------
161 A/Disk #1 - 11/24/92 - 11:53 AM
TABLE VTOXIC POLLUTANTS AND HAZARDOUS SUBSTANCES REQUIRED TO BE
IDENTIFIED BY EXISTING DISCHARGERS IF EXPECTED TO BE PRESENT
(CONTINUED)
[Note 1: The Environmental Protection Agency has suspended the requirements of §
122.21(g)(7)(ii)(A) 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 Protection Agency suspended until
further notice § 122.21(g)(7)(ii)(A) as it applies to coal mines.
b. At 46 FR 22585, Apr. 20, 1981, the Environmental Protection Agency suspended
until further notice § 122.21(g)(7)(ii)(A) 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 Greige Mills
Subcategory of the Textile Mills industry (Subpart CLow water use
processing of 40 CFR Part 410), and testing and reporting for the pesticide
fraction 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 industrial 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 § 122.2 l(g)(7)(ii)(A) 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/neutral 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 Formulation, 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 Q), Dissolving Kraft (Subpart F), and
Paperboard from Waste Paper (Subpart E); testing and reporting for the
volatile, base/neutral and pesticide fractions in the following subcategories:
BCT Bleached Kraft (Subpart H), Semi-Chemical (Subparts B and C), and
D-9
-------
161 A/Disk #1 - 11/24/92 - 11:53 AM
* 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 O), Market Bleached Kraft (Subpart G), 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.}41
For the duration of the suspensions, therefore, Table I effectively reads:
D-10
-------
161 A/Disk #1 - 11/24/92 - 11:53 AM
TABLE lTESTING REQUIREMENTS FOR ORGANIC Toxic POLLUTANTS BY
INDUSTRY CATEGORY
Industry Category
Adhesives and Sealants
Aluminum forming
Auto and other laundries
Battery Manufacturing
Coal Mining
Coil Coating
Copper forming
Electric and Electronic
Components
Electroplating
Explosives manufacturing...
Foundries
Gum and wood (all sub-
parts except D and F
Subpart D tall oil rosin
Subpart F rosin-based
derivatives
Inorganic chemicals manu-
facturing
Iron and steel manufactur-
ing
Leather tanning and finish-
in c
Mechanical products manu-
facturing
Nonferrous metals manu-
facturing
GC/MS Fraction2
Volatile
C1)
C1)
(>)
C1)
0)
(!)
(!)
C1)
(»)
(!)
(!)
(')
C1)
C1)
(»)
(')
(1)
Acid
C1)
C1)
C1)
C1)
(!)
(!)
(!)
0)
0)
C1)
C1)
C1)
C1)
(!)
(>)
(')
(1)
Base/
Neutral
C1)
(])
C1)
0)
C1)
(J)
C1)
0)
C1)
C1)
C1)
(!)
C1)
C1)
(')
C1)
(1)
Pesti-
cide
C1)
C1)
(M
D-ll
-------
161 A/Disk #1 - 11/24/92 - 11:53 AM
TABLE lTESTING REQUIREMENTS FOR ORGANIC TOXIC POLLUTANTS BY
INDUSTRY CATEGORY (CONTINUED)
Industry Category
Ore mining (applies to the
base and precious
metals/Subpart B)
Organic chemicals manu-
facturing
Paint and ink formulation
Pesticides
Petroleum refining
Pharmaceutical prepara-
tions
Photographic equipment
and supplies
Plastic and synthetic mate-
rials manufacturing
Plastic processing
Porcelain enameling
Printing and publishing
Pulp and paper board
mills see footnote3
Rubber processing
Soap and detergent manu-
facturing
Steam electric power
plants
Textile mills (Subpart C
Greige mills are exempt
from this table)
Timber products process-
ine
Volatile
C1)
(>)
(!)
C1)
(J)
(!)
(])
C1)
(!)
C1)
(!)
C1)
(!)
(')
GC/MS1
Acid
(!)
(!)
(')
C1)
(*)
(])
(!)
C1)
C1)
(')
(')
(!)
(h
Fraction2
Base/
Neutral
C1)
C1)
C1)
(!)
(!)
(')
C1)
(!)
(])
(J)
(M
Pesti-
cide
(!)
(!)
(])
(!)
fl}
1 Testing required.
2 The pollutants in each fraction are listed in Item V-C.
3- Pulp and Paperboard Mills.
Editorial Note: The words "This revision" refer to the document published at
48 FR 14153, Apr. 1,1983.
D-12
-------
161 A/Disk #1 - 11/24/92 - 11:53 AM
TABLE 1TESTING REQUIREMENTS FOR ORGANIC Toxic POLLUTANTS BY
INDUSTRY CATEGORY(CONTINUED)
Subpart3
A
B
c
D
E
F -.
G
H
I
J
K .x
L
M
N
O
P
o
R
s
T
U
VGA
2
2
2
2
(!)
(!)
(])
(])
(])
(])
(])
(*)
(])
(*)
C1)
C1)
(i)
2
(l)
C1)
C1)
GC/MS
Acid
(*)
C1)
C1)
(])
C1)
(!)
C1)
C1)
c1)
C1)
(*)
C1)
(!)
C1)
C1)
c1)
(1)
(1)
(1)
(!)
(!)
Fraction
Base/
Neutral
2
2
2
2
2
2
2
2
2
(!)
2
2
2
2
2
2
2
2
2
2
(!)
Pesti-
cides
(!)
2
2
2
C1)
2
2
2
2
2
2
2
2
2
2
2
(l)
2
(1)
C1)
2
1 Must test.
2 Do not test unless "reason to believe" it is discharged.
3 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]
D-13
-------
APPENDIX EPRIORITY POLLUTANTS
-------
APPENDIX EPRIORITY POLLUTANTS
Acrolein
Benzene
Carbon Tetrachloride
Chlorodibromomethane
2-Chloroethylvinyl Ether
Dichlorobromomethane
1,2-Dichloroethane
1,2-Dichlorpropane
Ethylbenzene
Methyl Chloride
1,1,2,2-Tetrachloroethane
Toluene
1,1,1 -Trichloroethane
Trichloroethylene
Chlorophenol
2,4-Dimethylphenol
2,4-Dinitrophenol
4-Nitrophenol
Pentachlorophenol
2,4,6-Trichlorophenol
Acenaphthene
Anthracene
Benzo(a)Anthracene
Benzo(b)Fluoranthene
Benzo(k)Fluoranthene
Bis(2-Chloroethyl)Ether
Bis(Chloromethyl)Ether
Bis(2-Ethylhexyl)Phthalate
Butyl Benzyl Phthalate
4-Chlorophenyl Phenyl Ether
Dibenzo(a,h)Anthracene
1,3-Dichlorobenzene
3,3-Dichlorobenzidine
Dimethyl Phthalate
2,4-Dinitrotoluene
Di-N-Octyl Phthalate
Fluoranthene
Fluorene
Hexachlorobutadiene
Hexachloroethane
Isophorone
Nitrobenzene
N-Nitrosodi-N-Propylamine
Phenanthrene
Volatile Compounds
Vinyl Chloride
Acrylonitrile
Bromoform
Chlorobenzene
Chloroethane
Chloroform
1,1 -Dichloroethane
1,1 -Dichloroethylene
1,3-Dichloropropylene
Methyl Bromide
Methylene Chloride
Tetrachloroethylene
1,2-Trans-Dichloroethylene
1,1,2-Trichloroethane
Acid Compunds
2,4-Dichlorophenol
4,6-Dinitro-O-Cresol
2-Nitrophenol
P-Chloro-M-Cresol
Phenol
Base/Neutral Compounds
Acenaphthylene
Benzidine
Benzo(a)Pyrene
Benzo(ghi)Perylene
Bis(2-Chloroethoxy)Methane
Bis(2-Chloroisopropyl)Ether
4-Bromophenyl Phenyl Ether
2-Chloronaphthalene
Chrysene
1,2-Dichlorobenzene
1,4-Dichlorobenzene
Diethyl Phthalate
Di-N-Butyl Phthalate
2,6-Dinitrotoluene
1,2-Diphenylhydrazine (as Azobenzene)
Hexachlorobenzene
Hexachlorocyclopentadiene
Indeno( 1,2,3-cd)Pyrene
Naphthalene
N-Nitrosodimethylamine
N-Nitrosodiphenylamine
Pyrene
1,2,4-Trichlorobenzne
E-l
-------
APPENDIX EPRIORITY POLLUTANTS (Continued)
Pesticides and PCBs
Aldrin Gamma-BHC
Alpha-BHC Delta-BHC
Beta-BHC Chlordane
4,4'-DDT 4,4'-DDE
4,4'-DDD Dieldrin
Alpha-Endosulfan Beta-Endosulfan
Endosulfan Sulfate Endrin
Endrin Aldehyde Heptachlor
Heptachlor Epoxide PCB-1242
PCB-1254 PCB-1221
PCB-1232 PCB-1248
PCB-1260 PCB-1016
Toxaphene
Metals and Cyanide
Antimony Arsenic
Beryllium Cadmium
Chromium Copper
Lead Mercury
Nickel Selenium
Silver Thallium
Zinc Cyanide
Miscellaneous
2,3,7,8-Tetrachlorodibenzo-P-Dioxin(TCDD)
Asbestos
E-2
-------
APPENDIX FSIC CODE AND CRF CROSS REFERENCE
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC COOES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
211
212
213
213
214
2U
219
241
241
251
252
253
254
259
259
271
272
273
279
291
291
721
721
921
1011
1021
1031
1041
1041
1044
1061
1061
1061
1061
1081
1094
1094
1099
1099
1099
1099
1099
1099
1221
1221
1221
1221
1222
1222
1222
1222
1231
1231
1231
1231
1241
1241
1311
1311
1311
1311
1311
1321
1381
1382
1389
1411
1422
211
212
213
213
214
214
219
241
241
251
252
253
254
259
259
271
272
279
279
291
291
721
721
921
1011
1021
1031
1041
1041
1044
1061
1061
1061
1061
1081
1094
1094
1051
1092
1099
1099
1099
1099
1211
1211
1211
1211
1211
1211
1211
1211
1111
1111
1111
1111
1112
1213
1311
1311
1311
1311
1311
1321
1381
1382
1389
1411
1422
BEEF CATTLE FEEDLOTS
BEEF CATTLE, EXCEPT FEEDLOTS
HOGS
HOGS
SHEEP AND GOATS
SHEEP AND GOATS
GENERAL LIVESTOCK. NEC
DAIRY FARMS
DAIRY FARMS
BROILER, FRYER AND ROASTER CHICKENS
CHICKEN EGGS
TURKEY AND TURKEY EGGS
POULTRY HATCHERIES
POULTRY AND EGGS, NEC
POULTRY AND EGGS, NEC
FUR-BEARING ANIMALS AND RABBITS
HORSES AND OTHER EQUINES
ANIMAL SPECIALTIES, NEC
ANIMAL SPECIALTIES, NEC
GENERAL FARMS, PRIMARILY LIVESTOCK
GENERAL FARMS, PRIMARILY LIVESTOCK
CROP PLANTING & PROTECTION
CROP PLANTING & PROTECTION
FISH HATCHERIES AND PRESERVES
IRON ORES
COPPER ORES
LEAD AND ZINC ORES
GOLD ORES
GOLD ORES
SILVER ORES
FERROALLOY ORES, EXCEPT VANADIUM
FERROALLOY ORES, EXCEPT VANADIUM
FERROALLOY ORES, EXCEPT VANADIUM
FERROALLOY ORES, EXCEPT VANADIUM
METAL MINING SERVICES
URANIUM-RADIUM-VANADIUM ORES
URANIUM-RADIUM-VANADIUM ORES
BAUXITE & OTHER ALUMINUM ORES
MERCURY ORES
METAL ORES, NEC
METAL ORES, NEC
METAL ORES, NEC
METAL ORES. NEC
BITUMINOUS COAL AND LIGNITE
BITUMINOUS COAL AND LIGNITE
BITUMINOUS COAL AND LIGNITE
BITUMINOUS COAL AND LIGNITE
BITUMINOUS COAL AND LIGNITE
BITUMINOUS COAL AND LIGNITE
BITUMINOUS COAL AND LIGNITE
BITUMINOUS COAL AND LIGNITE
ANTHRACITE MINING
ANTHRACITE MINING
ANTHRACITE MINING
ANTHRACITE MINING
ANTHRACITE MINING SERVICES
BITUMINOUS COAL AND LIGNITE MINING SERVICES
CRUDE PETROLEUM AND NATURAL GAS
CRUDE PETROLEUM AND NATURAL GAS
CRUDE PETROLEUM AND NATURAL GAS
CRUDE PETROLEUM AND NATURAL GAS
CRUDE PETROLEUM AND NATURAL GAS
NATURAL GAS LIQUIDS
DRILLING OIL AND GAS WELLS
OIL AND GAS FIELD EXPLORATION SERVICES
OIL AND GAS FIELD SERVICES, NEC
DIMENSION STONE
CRUSHED AND BROKEN LIMESTONE
CFR
NUMBER
412
412
412
412
412
412
412
412
CFR CFR
CODE DESCRIPTION
440
440
440
440
440
440
440
440
440
440
440
440
440
440
440
440
434
434
434
434
434
434
434
434
434
434
434
434
435
435
435
435
435
435
436
436
A
NR
A
NR
A
NR
NR
A
NR
A
A
A
NR
B
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
A
J
J
J
M
J
F
G
J
NR
NR
C
H
B
D
E
I
K
NR
B
C
D
E
B
C
D
E
B
C
D
E
NR
NR
A
C
D
E
F
NR
C
NR
NR
A
B
All Feedlots Except Ducks
Beef Cattle not in Feedlots
All Feedlots Except Ducks
Hogs not in Feedlots
All Feedlots except Ducks
Sheep and Goats not in Feedlots
General Livestock Farms
All Feedlots Except Ducks
DAIRY CATTLE NOT CONFINED
All Feedlots Except Ducks
All Feedlots Except Ducks
All Feedlots Except Ducks
Hatcheries Without Poultry Feeding
Ducks
Other Poultry Farms
Crop Dusting & Spraying
Crop Planting/Cultivation
Iron Ore
Cu, Pb, Zn, Ag, Au, Mo Ores
Cu, Pb, Zn, Ag, Au, Mo Ores
Cu, Pb, Zn, Ag, Au, Mo Ores
Gold Placer Mines
Cu, Pb, Zn, Ag, Au, Mo Ores
Tungsten Ore
Nickel Ores
Cu, Pb, Zn, Ag, Au, Mo Ores
Ferroalloy Ores, NEC
Explorat ion/DeveIopment
Uranium-Radium-Vanadium Ores
Vanadium Ore
Aluminum Ore
Mercury Ores
Titanium Ores
Antimony Ore
Platinum Ores
Metal Ore, NEC
Coal Preparation Plants
Acid or Ferruginous Mine Drainage
Alkaline Mine Drainage
Post Mining Areas
COAL PREPARATION PLANTS
ACID OR FERRUGINOUS MINE DRAINAGE
ALKALINE MINE DRAINAGE
POST MINING AREAS
Coal Preparation Plants
Acid or Ferruginous Mine Drainage
Alkaline Mine Drainage
Post Mining Areas
Offshore
Onshore
Coastal
Agricultural & Wildlife Water Use
Stripper
Onshore
Dimension Stone
Crushed Stone
F-l
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC COOES, NOTING ANY CHANGES
1972/
1977 W87
SIC SIC
CODE CODE 1987 SIC TITLE
1423
1429
1442
1446
1455
1455
1459
1459
1459
1459
1459
1459
1459
1459
1459
1474
1474
1474
1474
1474
1474
1475
1479
1479
1479
1479
1479
1479
1479
1481
1499
1499
1499
1499
1499
1499
1499
1499
1499
1499
1499
2011
2011
2011
2011
2013
2013
2013
2013
2013
2015
2015
2015
2015
2015
2015
2015
2015
2015
2021
2022
2023
2023
2023
2023
2024
2026
2026
1423
1429
1442
1446
1455
1455
1452
1453
1454
1459
1459
1459
1459
1459
1459
1474
1474
1474
1474
1474
1474
1475
1472
1473
1476
1477
1479
1479
1479
1481
1492
1496
1499
1499
1499
1499
1499
1499
1499
1499
1499
2011
2011
2011
2011
2013
2013
2013
2013
2013
2016
2016
2016
2016
2017
2017
2017
2017
2017
2021
2022
2023
2023
2023
2023
2024
2026
2026
CRUSHED AND BROKEN GRANITE
CRUSHED AND BROKEN STONE, NEC
CONSTRUCTION SAND AND GRAVEL
INDUSTRIAL SAND
KAOLIN AND BALL CLAY
KAOLIN AND BALL CLAY
BENTON1TE
FIRE CLAY
FULLER'S EARTH
CLAY, CERAMIC AND REFRACTORY MATERIALS, NEC
CLAY, CERAMIC AND REFRACTORY MATERIALS, NEC
CLAY, CERAMIC AND REFRACTORY MATERIALS, NEC
CLAY, CERAMIC AND REFRACTORY MATERIALS, NEC
CLAY, CERAMIC AND REFRACTORY MATERIALS, NEC
CLAY, CERAMIC AND REFRACTORY MATERIALS, NEC
POTASH, SODA AND BORATE MINERALS
POTASH, SODA AND BORATE MINERALS
POTASH, SODA AND BORATE MINERALS
POTASH, SODA AND BORATE MINERALS
POTASH. SODA AND BORATE MINERALS
POTASH, SODA AND BORATE MINERALS
PHOSPHATE ROCK
BARITE
FLUORSPAR
ROCK SALT
SULFUR
CHEMICAL AND FERTILIZER MINERAL MINING, NEC
CHEMICAL AND FERTILIZER MINERAL MINING, NEC
CHEMICAL AND FERTILIZER MINERAL MINING, NEC
NONMETALLIC MINERALS (EXCEPT FUELS) SERVICES
GYPSUM
TALC, SOAPSTONE AND PYROPHYLLITE
MISCELLANEOUS NONMETALLIC MINERALS, NEC
MISCELLANEOUS NONMETALLIC MINERALS, NEC
MISCELLANEOUS NONMETALLIC MINERALS, NEC
MISCELLANEOUS NONMETALLIC MINERALS, NEC
MISCELLANEOUS NONMETALLIC MINERALS, NEC
MISCELLANEOUS NONMETALLIC MINERALS, NEC
MISCELLANEOUS NONMETALLIC MINERALS, NEC
MISCELLANEOUS NONMETALLIC MINERALS, NEC
MISCELLANEOUS NONHETALLIC MINERALS, NEC
MEAT PACKING PLANTS
MEAT PACKING PLANTS
MEAT PACKING PLANTS
MEAT PACKING PLANTS
SAUSAGES AND OTHER PREPARED MEAT PRODUCTS
SAUSAGES ANt>'OTHER PREPARED MEAT PRODUCTS
SAUSAGES AND OTHER PREPARED MEAT PRODUCTS
SAUSAGES AND OTHER PREPARED MEAT PRODUCTS
SAUSAGES AND OTHER PREPARED MEAT PRODUCTS
POULTRY DRESSING PLANTS
POULTRY DRESSING PLANTS
POULTRY DRESSING PLANTS
POULTRY DRESSING PLANTS
POULTRY AND EGG PROCESSING
POULTRY AND EGG PROCESSING
POULTRY AND EGG PROCESSING
POULTRY AND EGG PROCESSING
POULTRY AND EGG PROCESSING
CREAMERY BUTTER
CHEESE, NATURAL AND PROCESSED
CONDENSED AND EVAPORATED MILK
CONDENSED AND EVAPORATED MILK
CONDENSED AND EVAPORATED MILK
CONDENSED AND EVAPORATED MILK
ICE CREAM AND FROZEN DESSERTS
FLUID MILK
FLUID MILK
CFR CFR CFR
NUMBER CODE DESCRIPTION
436 B Crushed Stone
436 B Crushed Stone
436 C CONSTRUCTION SAND AND GRAVEL
436 D Industrial Sand
436 AC Kaolin
436 AH Ball Clay
436 V Bentonite
436 AA Fire Clay
NR
436 AI FELDSPAR
436 AC KYANITE
436 AD SHALE AND COMMON CLAY
436 AE APL1TE
436 U MAGNESITE
NR OTHER CLAY,CERAMIC AND REFR MINERALS NR
436 L SALINES FROM BRINE LAKES
436 N POTASH
436 M BORAX
436 0 SODIUM SULFATE
NR OTHER POTASH,SODA AND BORATE MINERALS NR
436 P TRONA
436 R Phosphate Rock
436 J BARITE
436 K FLUORSPAR
436 0 ROCK SALT
436 S FRASCH SULFER
436 T MINERAL PIGMENTS
436 U LITHIUM
NR OTHER CHEMICAL/FERTILIZER MINERALS NR
NR
436 E GYPSUM
436 AJ TALC,STEATITE,SOAPSTONE AND PYROPHYLLITE
436 G ASBESTOS AND UOLLASTONITE
436 F ASPHALT 1C MINERAL
436 I MICA AND SERACITE
436 X DIATOMITE
436 Y JADE
436 AF TRIPOLI
436 AK GARNET
436 AL GRAPHITE
NR OTHER M1SC NONMETALLIC MINERALS NR
432 A SIMPLE SLAUGHTERHOUSE
432 B COMPLEX SLAUGHTERHOUSE
432 C LOW-PROCESSING PACKING HOUSE
432 D HIGH-PROCESSING PACKING HOUSE
432 E SMALL PROCESSOR
432 F MEAT CUTTER
432 G SAUSAGE AND LUNCHEON MEATS PROCESSOR
432 H HAM PROCESSOR
432 1 CANNED MEATS PROCESSOR
432 B COMPLEX SLAUGHTERHOUSE
432 A SIMPLE SLAUGHTERHOUSE
432 C LOU-PROCESS ING PACKING HOUSE
432 D HIGH-PROCESSING PACKING HOUSE
432 E SMALL PROCESSOR
432 F MEAT CUTTER
432 G SAUSAGE AND LUNCHEON MEATS PROCESSOR
432 H HAM PROCESSOR
432 I CANNED MEATS PROCESSOR
405 D BUTTER
405 F NATURAL AND PROCESSED CHEESE
405 1 CONDENSED MILK
405 J DRY MILK
405 K CONDENSED UHEY
405 L DRY UHEY
405 H ICE CREAM,FROZEN DESSERTS,NOVELTIES
405 B FLUID PRODUCTS
405 C CULTURED PRODUCTS
F-2
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
CFR
NUMBER
2026 2026 FLUID MILK 405
2026 2026 FLUID MILK 405
2032 2032 CANNED SPECIALTIES 407
2033 2033 CANNED FRUITS. VEGETABLES, PRESERVES, JAMS & JELL1 407
2033 2033 CANNED FRUITS, VEGETABLES, PRESERVES, JAMS & JELL1 407
2033 2033 CANNED FRUITS, VEGETABLES, PRESERVES, JAMS & JELL1 407
2033 2033 CANNED FRUITS, VEGETABLES. PRESERVES, JAMS & JELLI 407
2033 2033 CANNED FRUITS, VEGETABLES, PRESERVES, JAMS & JELLI 407
2033 2033 CANNED FRUITS, VEGETABLES, PRESERVES, JAMS & JELLI 407
2034 2034 DRIED & DEHYDRATED FRUITS, VEGETABLES & SOUP MIX 407
2034 2034 DRIED & DEHYDRATED FRUITS, VEGETABLES & SOUP MIX 407
2034 2034 DRIED & DEHYDRATED FRUITS, VEGETABLES & SOUP MIX 407
2035 2035 PICKLED FRUITS & VEG., VEG. SAUCES & SEASON.,SALAD 407
2035 2035 PICKLED FRUITS & VEG., VEG. SAUCES & SEASON.,SALAD 407
2035 2035 PICKLED FRUITS & VEG., VEG. SAUCES & SEASON.,SALAD 407
2037 2037 FROZEN FRUITS. FRUIT JUICES & VEGETABLES 407
2037 2037 FROZEN FRUITS, FRUIT JUICES & VEGETABLES 407
2037 2037 FROZEN FRUITS, FRUIT JUICES & VEGETABLES 407
2037 2037 FROZEN FRUITS, FRUIT JUICES & VEGETABLES 407
2037 2037 FROZEN FRUITS, FRUIT JUICES & VEGETABLES 407
2037 2037 FROZEN FRUITS, FRUIT JUICES & VEGETABLES 407
2038 2038 FROZEN SPECIALTIES 407
2041 2041 FLOUR AND OTHER GRAIN MILL PRODUCTS 406
2041 2041 FLOUR AND OTHER GRAIN MILL PRODUCTS 406
2041 2041 FLOUR AND OTHER GRAIN MILL PRODUCTS 406
2043 2043 CEREAL BREAKFAST FOODS 406
2043 2043 CEREAL BREAKFAST FOODS 406
2044 2044 RICE MILLING 406
2044 2044 RICE MILLING 406
2045 2045 BLENDED AND PREPARED FLOUR
2046 2046 WET CORN MILLING 406
2046 2046 WET CORN MILLING 406
2047 2047 DOG, CAT AND OTHER PET FOOD 406
2048 2047 DOG, CAT. AND OTHER PET FOOD 406
2048 2048 PREPARED FEEDS & FEED INGREDIENTS FOR ANIMALS, FOW 406
2051 2051 BREAD & OTHER BAKERY PRODUCTS, EXCEPT COOKIES &
2052 2052 COOKIES AND CRACKERS
2053 2038 FROZEN SPECIALTIES 407
2061 2061 CANE SUGAR, EXCEPT REFINING ONLY 409
2061 2061 CANE SUGAR, EXCEPT REFINING ONLY 409
2061 2061 CANE SUGAR, EXCEPT REFINING ONLY 409
2061 2061 CANE SUGAR, EXCEPT REFINING ONLY 409
2061 2061 CANE SUGAR, EXCEPT REFINING ONLY 409
2062 2062 CANE SUGAR REFINING 409
2062 2062 CANE SUGAR REFINING 409
2063 2063 BEET SUGAR 409
2064 2065 CANDY & OTHER CONFECTIONARY PRODUCTS
2066 2066 CHOCOLATE AND COCOA PRODUCTS
2066 2099 FOOD PREPARATIONS, NEC
2067 2067 CHEWING GUM
2068 2034 DRIED & DEHYDRATED FRUITS, VEGETABLES & SOUP MIX
2068 2065 CANDY & OTHER CONFECTIONARY PRODUCTS
2068 2099 FOOD PREPARATIONS, NEC
2074 2074 COTTONSEED OIL MILLS
2075 2075 SOYBEAN OIL MILLS
2076 2076 VEG. OIL MILLS, EXCEPT CORN, COTTONSEED & SOYBEAN
2077 2077 ANIMAL AND MARINE FATS AND OILS 408
2077 2077 ANIMAL AND MARINE FATS AND OILS
2079 2079 SHORTENING, TABLE OILS. MARGARINE & OTHER EDIBLE
2082 2082 MALT BEVERAGES
2083 2083 MALT
2084 2084 WINES, BRANDY AND BRANDY SPIRITS
2085 2085 DISTILLED, RECTIFIED AND BLENDED LIQUORS
2086 2086 BOTTLED & CANNED SOFT DRINKS & CARBONATED WATERS
2087 2087 FLAVORING EXTRACTS & FLAVORING SYRUPS, NEC
2091 2032 CANNED SPECIALTIES
2091 2091 CANNED AND CURED FISH AND SEAFOODS 408
2091 2091 CANNED AND CURED FISH AND SEAFOODS 408
CFR CFR
CODE DESCRIPTION
E
G
H
A
B
C
F
G
H
E
F
G
F
G
H
A
G
C
D
F
B
H
B
C
D
H
I
E
F
NR
A
J
G
G
G
NR
NR
H
D
E
F
G
H
B
C
A
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
0
NR
NR
NR
NR
NR
NR
NR
NR
M
R
COTTAGE CHEESE AND CULTURED CREAM CHEESE
FLUID MIX FOR ICE CREAM,OTHER DESSERTS
CANNED AND MISC. SPECIALTIES
APPLE JUICE
APPLE PRODUCTS
CITRUS PRODUCTS
CANNED AND PRESERVED FRUITS
CANNED AND PRESERVED VEGETABLES
CANNED AND PRESERVED SPECIALTIES
DEHYDRATED POTATO PRODUCTS
CANNED AND PRESERVED FRUITS
CANNED AND PRESERVED VEGETABLES
CANNED AND PRESERVED FRUITS
CANNED AND PRESERVED VEGETABLES
CANNED AND MISC SPECIALTIES
APPLE JUICES
CANNED AND PRESERVED VEGETABLES
CITRUS PRODUCTS
FROZEN POTATO PRODUCTS
CANNED AND PRESERVED FRUITS
APPLE PRODUCTS
CANNED AND MISCELLANEOUS SPECIALTIES
CORN DRY MILLING
NORMAL WHEAT FLOUR MILLING
BULGUR WHEAT FLOUR MILLING
HOT CEREAL
READY-TO-EAT CEREAL
NORMAL RICE MILLING
PARBOILED RICE PROCESSING
CORN WET MILLING
WHEAT STARCH AND GLUTEN
ANIMAL FEED
ANIMAL FEED
ANIMAL FEED
CANNED AND MISCELLANEOUS SPECIALTIES
LOUISIANA RAW CANE SUGAR PROCESSING
FLORIDA & TEXAS RAW CANESUGAR PROCESSING
H1LO-HANAKUA/HAWAI1 CANESUGAR PROCESSING
HAWAIIAN RAW CANE SUGAR PROCESSING
PUERTO R1CAN RAW CANE SUGAR PROCESSING
CRYSTALLINE CANE SUGAR REFINING
LIQUID CANE SUGAR REFINING
BEET SUGAR PROCESSING
FISH MEAL PROCESSING
BREADED SHRIMP PROC/CONTIGUOUS STATES
W COAST HAND-BUTCHERED SALMON PROCESSING
F-3
-------
APPENDIX F
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES, NOTING ANY CHANGES
1972/
1977 J987
SIC SIC
CODE CODE
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2095
2096
2097
2098
2099
2111
2121
2131
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2091
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2092
2095
2099
2097
2098
2099
2111
2121
2131
CFR
1987 SIC TITLE NUMBER
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408 .
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
CANNED AND CURED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
FRESH OR FROZEN PACKAGED FISH AND SEAFOODS 408
ROASTED COFFEE
FOOD PREPARATIONS. NEC
MANUFACTURED ICE
MACARONI, SPAGHETTI. VERMICELLI AND NOODLES
FOOD PREPARATIONS. NEC
CIGARETTES
CIGARS
TOBACCO (CHEWING AND SMOKING) AND SNUFF
CFR CFR
CODE DESCRIPTION
B
C
D
E
F
G
H
I
U
X
K
Y
N
Z
0
AA
T
AB
V
AC
L
S
U
J
p
AD
AE
AF
AC
A
Y
Z
C
AB
E
AC
G
AD
I
AE
K
AF
M
AG
0
P
S
U
H
J
X
D
F
U
B
L
N
R
T
V
NR
NR
NR
NR
NR
NR
NR
NR
CONVENTIONAL BLUE CRAB PROCESSING
MECHANIZED BLUE CRAB PROCESSING
NON-REMOTE ALASKAN CRAB MEAT PROCESSING
REMOTE ALASKAN CRAB MEAT PROCESSING
NON-REMOTE ALASKAN CRAB/SECTION PROCESS
REMOTE ALASKAN CRAB/SECTION PROCESSING
DUNG & TANNER CRAB PROCESS/CONTIG STATES
NON-REMOTE ALASKAN SHRIMP PROCESSING
HAND-SHUCKED CLAM PROCESSING
MECHANIZED CLAM PROCESSING
NORTHERN SHRIMP PROCESSING/CONT1G STATES
PAC COAST HAND-SHUCKED OYSTER PROCESSING
TUNA PROCESSING
AT/GLF COAST HAND-SHUCKED OYSTER PROCESS
ALASKAN MECHANIZED SALMON PROCESSING
STEAMED AND CANNED OYSTER PROCESSING
ALASKAN BOTTOM FISH PROCESSING
SARDINE PROCESSING
NON-ALASKAN MECH BOTTOM FISH PROCESSING
ALASKAN SCALLOP PROCESSING
SO NON-BREADED SHRIMP PROCESS/CNTG STS
WEST COAST MECHANIZED SALMON PROCESSING
NON-ALASKAN CONV BOTTOM FISH PROCESSING
REMOTE ALASKAN SHRIMP PROCESSING
ALASKAN HAND-BUTCHERED SALMON PROCESSING
NON-ALASKAN SCALLOP PROCESSING
ALASKAN HERRING FILLET PROCESSING
NON-ALASKAN HERRING FILLET PROCESSING
ABALONE PROCESSING
FARM RAISED CATFISH PROCESSING
PAC COAST HAND-SHUCKED OYSTER PROCESSING
AT/GLF CST HND-SHUCKED OYSTER PROCESSING
MECHANIZED BLUE CRAB PROCESSING
SARDINE PROCESSING
REMOTE ALASKAN CRAB MEAT PROCESSING
ALASKAN SCALLOP PROCESSING
REMOTE ALA WHOLE CRAB/SECTION PROCESSING
NON-ALASKAN SCALLOP PROCESSING
NON-REMOTE ALASKAN SHRIMP PROCESSING
ALASKAN HERRING FILLET PROCESSING
NORTHERN SHRIMP PROCESSING/CONTIG STATES
NON-ALASKAN HERRING FILLET PROCESSING
BREADED SHRIMP PROCESS!NG/CONTIG STATES
ABALONE PROCESSING
ALASKAN MECHANIZED SALMON PROCESSING
ALASKAN HAND-BUTCHERED SALMON PROCESSING
WEST COAST MECHANIZED SALMON PROCESSING
NON-ALASKAN CONV BOTTOM FISH PROCESSING
DUNG & TANNER CRAB PROCESS/CONTIG STATES
REMOTE ALASKAN SHRIMP PROCESSING
MECHANIZED CLAM PROCESSING
NON-REMOTE ALASKAN CRAB MEAT PROCESSING
NON-REMOTE WHOLE CRAB/SECTION PROCESSING
HAND-SHUCKED CLAM PROCESSING
CONVENTIONAL BLUE CRAB PROCESSING
S NON-BREAD SHRIMP PROCESS/CONTIG STATES
TUNA PROCESSING
U COAST HAND BUTCHERED SALMON PROCESSING
ALASKAN BOTTOM FISH PROCESSING
NON-ALASKAN MECH BOTTOM FISH PROCESSING
F-4
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
2141
2211
2211
2211
2221
2221
2221
2231
2231
2241
2241
2251
2251
2252
2252
2253
2253
2254
2254
2257
2257
2258
2258
2258
2258
2259
2259
2261
2262
2269
2269
2273
2273
2273
2273
2273
2273
2281
2281
2281
2282
2282
2282
2284
2284
2284
2284
2295
2296
2297
2298
2299
2299
2299
2299
2299
2311
2321
2322
2322
2323
2325
2325
2326
2329
2331
2335
2337
2141
2211
2211
2211
2221
2221
2221
2231
2231
2241
2241
2251
2251
2252
2252
2253
2253
2254
2254
2257
2257
2258
2258
2292
2292
2259
2259
2261
2262
2269
2269
2271
2271
2272
2272
2279
2279
2281
2281
2283
2282
2282
2283
2283
2283
2284
2284
2295
2296
2297
2298
2291
2293
2294
2299
2299
2311
2321
2321
2322
2323
2327
2328
2328
2329
2331
2335
2337
TOBACCO STEMMING AND REDRYING
BROAD WOVEN FABRIC MILLS. COTTON
BROAD WOVEN FABRIC MILLS, COTTON
BROAD WOVEN FABRIC MILLS. COTTON
BROAD WOVEN FABRIC MILLS, SYNTHETICS
BROAD WOVEN FABRIC MILLS, SYNTHETICS
BROAD WOVEN FABRIC MILLS, SYNTHETICS
BROAD WOVEN FABRIC MILLS, WOOL
BROAD WOVEN FABRIC MILLS, WOOL
NARROW FABRICS AND OTHER SMALLWARES MILLS
NARROW FABRICS AND OTHER SMALLWARES MILLS
WOMEN'S FULL LENGTH & KNEE LENGTH HOSIERY
WOMEN'S FULL LENGTH & KNEE LENGTH HOSIERY
HOSIERY, EXC WOMEN'S FULL LENGTH & KNEE LENGTH
HOSIERY, EXC WOMEN'S FULL LENGTH & KNEE LENGTH
KNIT OUTERWEAR MILLS
KNIT OUTERWEAR MILLS
KNIT UNDERWEAR MILLS
KNIT UNDERWEAR MILLS
CIRCULAR KNIT FABRIC MILLS
CIRCULAR KNIT FABRIC MILLS
WARP KNIT FABRIC MILLS
WARP KNIT FABRIC MILLS
LACE GOODS
LACE GOODS
KNITTING MILLS, NEC
KNITTING MILLS, NEC
FINISHERS OF BROAD WOVEN FABRICS OF COTTON
FINISHERS OF BROAD WOVEN FABRICS/MAN -MADE FIBER
FINISHERS OF TEXTILES, NEC
FINISHERS OF TEXTILES, NEC
WOVEN CARPETS AND RUGS
WOVEN CARPETS AND RUGS
TUFTED CARPETS AND RUGS
TUFTED CARPETS AND RUGS
CARPETS AND RUGS, NEC
CARPETS AND RUGS, NEC
YARN SPINNING MILLS:COTTON, MAN-MADE FIBER & SILK
YARN SPINNING MILLS:COTTON, MAN-MADE FIBER & SILK
YARN MILLS, WOOL, INCLUDING CARPET & RUG YARN
YARN TEXTURIZING, THROWING, TWISTING & WINDOW M.
YARN TEXTURIZING. THROWING, TWISTING & UINDOU M.
YARN MILLS, WOOL, INCLUDING CARPET AND RUG YARN
YARN MILLS, WOOL, INCLUDING CARPET & RUG YARN
YARN MILLS, WOOL, INCLUDING CARPET AND RUG YARN
THREAD MILLS
THREAD MILLS
COATED FABRICS, NOT RUBBERIZED
TIRE CORD AND FABRIC
NONWOVEN FABRICS
CORDAGE AND TWINE
FELT GOODS, EXC WOVEN FELTS AND HATS
PADDINGS AND UPHOLSTERY FILLING
PROCESSED WASTE AND RECOVERED FIBERS AND FLOCK
TEXTILE GOODS NEC
TEXTILE GOODS NEC
MEN'S, YOUTH'S, BOY'S SHIRTS (EXCEPT WORKSHIRTS)
MEN'S, YOUTH'S, BOY'S SHIRTS (EXCEPT WORKSHIRTS)
MEN'S. YOUTH'S, BOY'S SHIRTS (EXCEPT WORKSHIRTS)
MEN'S, YOUTH'S & BOY'S UNDERWEAR
MEN'S, YOUTH'S & BOY'S NECKWEAR
MEN'S, YOUTH'S & BOY'S SEPARATE TROUSERS
MEN'S. YOUTH'S & BOY'S WORK CLOTHING
MEN'S, YOUTH'S & BOY'S WORK CLOTHING
MEN'S, YOUTH'S & BOY'S CLOTHING, NEC
WOMEN'S. MISSES & JUNIORS' BLOUSES, WAISTS & SHIRT
WOMEN'S, MISSES' & JUNIORS' DRESSES
WOMEN'S. MISSES' & JUNIORS' SUITS, SHIRTS & COATS
CFR
NUMBER
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
410
CFR CFR
CODE DESCRIPTION
NR
C
c
D
D
C
C
B
C
C
c
E
NR
E
NR
E
NR
E
NR
E
NR
E
NR
C
E
E
NR
D
D
D
G
C
F
C
F
F
C
C
C
C
c
c
c
c
G
C
G
C
C
H
C
I
NR
C
A
C
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
LOU WATER USE PROCESSING
LOU WATER USE PROCESSING
WOVEN FABRIC FINISHING
WOVEN FABRIC FINISHING
LOW WATER USE PROCESSING
LOW WATER USE PROCESSING
WOOL FINISHING
LOU WATER USE PROCESSING
LOU WATER USE PROCESSING
LOU UATER USE PROCESSING
KNIT FABRIC FINISHING
NO FINISHING
KNIT FABRIC FINISHING
NO FINISHING
KNIT FABRIC FINISHING
NO FINISHING
KNIT FABRIC FINISHING
NO FINISHING
KNIT FABRIC FINISHING
NO FINISHING
KNIT FABRIC FINISHING
NO FINISHING
LOU UATER USE PROCESSING
KNIT FABRIC FINISHING
KNIT FABRIC FINISHING
NO FINISHING
WOVEN FABRIC FINISHING
WOVEN FABRIC FINISHING
WOVEN FABRIC FINISHING
STOCK & YARN FINISHING
LOU UATER USE PROCESSING
CARPET FINISHING
LOU UATER USE PROCESSING
CARPET FINISHING
CARPET FINISHING
LOU UATER USE PROCESSING
LOU UATER USE PROCESSING
LOU UATER USE PROCESSING
LOU UATER USE PROCESSING
LOU UATER USE PROCESSING
LOU UATER USE PROCESSING
LOU UATER USE PROCESSING
LOU UATER USE PROCESSING
STOCK AND YARN FINISHING
LOU UATER USE PROCESSING
STOCK AND YARN FINISHING
LOU UATER USE PROCESSING
LOU UATER USE PROCESSING
NONWOVEN MANUFACTURING
LOU UATER USE PROCESSING
FELTED FABRIC PROCESSING
PADDING AND UPHOLSTERY FILLING
LOU UATER USE PROCESSING
WOOL SCOURING
LOW WATER USE PROCESSING
F-5
-------
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES, NOTING ANY CHANGES
CFR CFR CFR
NUMBER CODE DESCRIPTION
2339
2341
2342
2353
2353
2361
2369
2369
2371
2381
2384
2385
2386
2387
2389
2391
2392
2393
2394
2395
2396
2397
2399
2411
2411
2411
2411
2421
2421
2421
2426
2426
2426
2426
2426
2429
2429
2429
2429
2431
2431
2431
2434
2434
2435
2435
2435
2435
2435
2436
2436
2436
2436
2436
2439
2441
2448
2449
2451
2452
2491
2491
2491
2491
2491
2491
2493
2493
2339
2341
2342
2351
2352
2361
2363
2369
2371
2381
2384
2385
2386
2387
2389
2391
2392
2393
2394
2395
2396
2397
2399
2411
2411
2411
2421
2421
2421
2421
2426
2426
2426
2426
2426
2429
2429
2429
2429
2431
2431
3442
2434
2434
2435
2435
2435
2435
2435
2436
2436
2436
2436
2436
2439
2441
2448
2449
2451
2452
2491
2491
2491
2491
2491
2491
2492
2499
WOMEN'S. MISSES' & JUNIORS' OUTERWEAR, NEC
WOMEN'S, MISSES'. CHILDREN'S & INFANTS' UNDERWEAR
BRASSIERS, GIRDLES 8 ALLIED GARMENTS
MILLINERY
HATS & COATS, EXCEPT MILLINERY
GIRL'S, CHILDREN'S 8 INFANT'S DRESSES, BLOUSES,
GIRL'S. CHILDREN'S & INFANT'S COATS & SUITS
GIRL'S. CHILDREN'S & INFANT'S OUTERWEAR, NEC
FUR GOODS
DRESS & WORK GLOVES, EXCEPT KNIT & ALL-LEATHER
ROBES & DRESSING GOWNS
RAINCOATS & OTHER WATERPROOF OUTER GARMENTS
LEATHER & SHEEP-LINED CLOTHING
APPAREL BELTS
APPAREL & ACCESSORIES, NEC
CURTAINS & DRAPERIES
HOUSE FURNISH INGS, EXCEPT CURTAINS & DRAPERIES
TEXTILE BAGS
CANVAS & RELATED PRODUCTS
PLEATING. DECORATIVE & NOVELTY STITCHING
AUTOMOTIVE TRIMMINGS, APPAREL FINDINGS
SCHIFFL1 MACHINE EMBROIDERIES
FABRICATED TEXTILE PRODUCTS. NEC
LOGGING CAMPS AND LOGGING CONTRACTORS
LOGGING CAMPS AND LOGGING CONTRACTORS
LOGGING CAMPS AND LOGGING CONTRACTORS
SAWMILLS & PLANING MILLS. GENERAL
SAWMILLS & PLANING MILLS, GENERAL
SAWMILLS & PLANING MILLS, GENERAL
SAWMILLS & PLANING MILLS, GENERAL
HARDWOOD DIMENSION & FLOORING MILLS
HARDWOOD DIMENSION & FLOORING MILLS
HARDWOOD DIMENSION & FLOORING MILLS
HARDWOOD DIMENSION & FLOORING MILLS
HARDWOOD DIMENSION & FLOORING MILLS
SPECIAL PRODUCT SAWMILLS NEC
SPECIAL PRODUCT SAWMILLS NEC
SPECIAL PRODUCT SAWMILLS NEC
SPECIAL PRODUCT SAWMILLS NEC
MILLWORK
MILLWORK
METAL DOORS. SASH AND TRIM
WOOD KITCHEN CABINETS
WOOD KITCHEN CABINETS
HARDWOOD VENEER AND PLYWOOD
HARDWOOD VENEER AND PLYWOOD
HARDWOOD VENEER AND PLYWOOD
HARDWOOD VENEER AND PLYWOOD
HARDWOOD VENEER AND PLYWOOD
SOFTWOOD VENEER AND PLYWOOD
SOFTWOOD VENEER AND PLYWOOD
SOFTWOOD VENEER AND PLYWOOD
SOFTWOOD VENEER AND PLYWOOD
SOFTWOOD VENEER AND PLYWOOD
STRUCTURAL WOOD MEMBERS. NEC
NAILED & LOCK CORNER WOOD BOXES & SHOOK
WOOD PALLETS AND SKIDS
WOOD CONTAINERS NEC
MOBILE HOMES
PREFABRICATED WOOD BUILDINGS AND COMPONENTS
WOOD PRESERVING
WOOD PRESERVING
WOOD PRESERVING
WOOD PRESERVING
WOOD PRESERVING
WOOD PRESERVING
PARTICLEBOARD
WOOD PRODUCTS NEC
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
429
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
I
U
NR
A
K
L
A
I
J
K
L
I
J
K
L
K
L
0
P
A
B
C
I
J
A
B
C
I
J
NR
NR
NR
K
NR
NR
A
J
C
H
I
F
M
NR
WET STORAGE
LOG WASHING
BARKING
SAWMILLS AND PLANING MILLS
FINISHING
BARKING
WET STORAGE
LOG WASHING
SAWMILLS AND PLANING MILLS
FINISHING
WET STORAGE
LOG WASHING
SAWMILLS AND PLANING MILLS
MILLWORK
SAWMILLS AND PLANING MILLS
MILLWORK
WOOD FURN & FIXTURE PROD W/0 WATER
WOOD FURN & FIXTURE PRODUCTION W/WATER
BARKING
VENEER
PLYWOOD
WET STORAGE
LOG WASHING
BARKING
VENEER
PLYWOOD
WET STORAGE
LOG WASHING
SAWMILLS & PLANING MILLS
BARKING
LOG WASHING
WOOD PRESERVING-STEAM
WOOD PRESERVING-BOULTONIZING
WET STORAGE
WOOD PRESERVING
PARTICLEBOARD
F-6
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC COOES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
2493
2499
2499
2499
2499
2499
2499
2499
2511
2511
2512
2512
2514
2514
2515
2517
2517
2519
2519
2521
2521
2522
2522
2522
2522
2531
2531
2541
2541
2542
2542
2542
2542
2591
2599
2599
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2661
2499
2499
2499
2499
2499
2499
2499
2511
2511
2512
2512
2514
2514
2515
2517
2517
2519
2519
2521
2521
2522
2522
2599
2599
2531
2531
2541
2541
2542
2542
2599
2599
2591
2599
2599
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
BUILDING PAPER & BU1LDINGBOARD MILLS
WOOD PRODUCTS, NEC
WOOD PRODUCTS. NEC
WOOD PRODUCTS. NEC
WOOD PRODUCTS, NEC
WOOD PRODUCTS. NEC
WOOD PRODUCTS, NEC
WOOD PRODUCTS, NEC
WOOD HOUSEHOLD FURNITURE, EXCEPT UPHOLSTERED
WOOD HOUSEHOLD FURNITURE, EXCEPT UPHOLSTERED
WOOD HOUSEHOLD FURNITURE, UPHOLSTERED
WOOD HOUSEHOLD FURNITURE, UPHOLSTERED
METAL HOUSEHOLD FURNITURE
METAL HOUSEHOLD FURNITURE
MATTRESSES AND BEDSPRINGS
WOOD TV, RADIO, PHONOGRAPH & SEWING MACHINE CABINE
WOOD TV, RADIO, PHONOGRAPH & SEWING MACHINE CABINE
HOUSEHOLD FURNITURE, NEC
HOUSEHOLD FURNITURE, NEC
WOOD OFFICE FURNITURE
WOOD OFFICE FURNITURE
METAL OFFICE FURNITURE
METAL OFFICE FURNITURE
FURNITURE AND FIXTURES, NEC
FURNITURE AND FIXTURES, NEC
PUBLIC BUILDING AND RELATED FURNITURE
PUBLIC BUILDING AND RELATED FURNITURE
WOOD PARTITIONS, SHELVING, LOCKERS & OFFICE & STOR
WOOD PARTITIONS, SHELVING, LOCKERS & OFFICE & STOR
METAL PARTITIONS, SHELVING, LOCKERS & OFFICE & STO
METAL PARTITIONS, SHELVING, LOCKERS & OFFICE & STO
FURNITURE AND FIXTURES, NEC
FURNITURE AND FIXTURES, NEC
DRAPERY HARDWARE & WINDOW BLINDS AND SHADES
FURNITURE AND FIXTURES, NEC
FURNITURE AND FIXTURES, NEC
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PULP MILLS
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
PAPER MILLS EXCEPT BUILDING PAPER
CFR
NUMBER
429
429
429
429
429
429
429
429
429
429
429
429
433
429
429
429
429
429
429
433
433
429
429
429
429
433
433
429
429
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
430
CFR CFR
CODE DESCRIPTION
NR
M
A
D
E
I
J
L
0
P
0
P
A
NR
NR
0
P
P
0
0
P
A
NR
A
NR
0
P
0
P
A
NR
A
PARTICLEBOARD
PARTICLEBOARD
BARKING
HARDBOARD - DRY PROCESS
HARDBOARD - WET PROCESS
WET STORAGE
LOG WASHING
FINISHING
WOOD FURN & FIXTURE
WOOD FURN & FIXTURE
WOOD FURN & FIXTURE
WOOD. FURN & FIXTURE
METAL FINISHING
NO ELECTROPLATING
WOOD FURN & FIXTURE
WOOD FURN & FIXTURE
WOOD FURN & FIXTURE
WOOD FURN & FIXTURE
WOOD FURN & FIXTURE
WOOD FURN & FIXTURE
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
WOOD FURN & FIXTURE
WOOD FURN & FIXTURE
WOOD FURN & FIXTURE
WOOD FURN & FIXTURE
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
PROD
PROD
PROD
PROD
PROD
PROD
PROD
PROD
PROD
PROD
PROD
PROD
PROD
PROD
W/0 WATER
W/ WATER
W/0 WATER
W/ WATER
W/0 WATER
W/ WATER
W/ WATER
W/0 WATER
W/0 WATER
W/ WATER
W/0 WATER
W/ WATER
W/0 WATER
W/0 WATER
NR
0 WOOD FURNITURE & FIXTURE PROD. W/0 WATER
P WOOD FURNITURE & FIXTURE PROD. W/ WATER
A UNBLEACHED KRAFT
B SEMI-CHEMICAL
J PAPER GRADE SULFITECBLOU PIT WASH)
D UNBL KRAFT-NTRL SULFITE-SEMI-CHEM
G MARKET BLEACHED KRAFT
H BOARD, COARSE & KRAFT BLEACHED KRAFT
I FINE BLEACHED KRAFT
F DISSOLVING KRAFT
K DISSOLVING SULFITE PULP
L GROUNDWOOD CHEMI-MECHANICAL
M GROUNDWOOD THERMO-MECHANICAL
N GROUNDWOOD COARSE, MOLDED & NEWS PAPERS
0 GROUNDUOOD FINE PAPERS
P SODA
U PAPER GRADE SULFITE (DRUM WASH)
V UNBLEACHED KRAFT & SEMI-CHEMICAL
A UNBLEACHED KRAFT
B SEMI-CHEMICAL
D UNBL KRAFT-NTRL SULFITE SEMI-CHEM
F DISSOLVING KRAFT
G MARKET BLEACHED KRAFT
H BOARD, COARSE & KRAFT BLEACHED KRAFT
I FINE BLEACHED KRAFT
J PAPER GRADE SULFITE(BLOW PIT WASH)
0 GROUNDWOOD FINE PAPERS
L GROUNDWOOD CHEMI-MECHANICAL
M GROUNDWOOD THERMO-MECHANICAL
N GROUNDWOOD COARSE, MOLDED & NEWSPAPERS
K DISSOLVING SUFITE PULP
P SODA
U PAPER GRADE SULFITE (DRUM WASH)
V UNBLEACHED KRAFT AND SEMI-CHEMICAL
F-7
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2611
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2631
2631
2631
2631
2631
2631
2631
2631
2652
2653
2655
2656
2657
2657
2671
2672
2673
2674
2675
2676
2677
2678
2679
2679
2711
2721
2731
2732
2741
2752
2754
2759
2759
2631
2631
2631
2631
2631
2631
2631
2631
2631
2631
2631
2631
2631
2631
2631
2631
2631
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2621
2661
2631
2631
2631
2631
2631
2631
2631
2631
2652
2653
2655
2654
2651
2654
2641
2641
2643
2643
2645
2647
2642
2648
2646
2649
2711
2721
2731
2732
2741
2752
2754
2751
2753
CFR
NUMBER
PAPERBOARD MILLS 430
PAPERBOARD HILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
PAPER MILLS EXCEPT BUILDING PAPER 430
BUILDING PAPER & BUILDINGBOARD MILLS 431
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
PAPERBOARD MILLS 430
SET-UP PAPERBOARD BOXES
CORRUGATED AND SOLID FIBER BOXES
FIBER CANS, TUBES, DRUMS AND SIMILAR PRODUCTS
SANITARY FOOD., CONTAINERS
FOLDING PAPERBOARD BOXES
SANITARY FOOD CONTAINERS
PAPER COATING AND GLAZING
PAPER COATING AND GLAZING
BAGS, EXCEPT TEXTILE BAGS
BAGS, EXCEPT TEXTILE BAGS
DIE-CUT PAPER, PAPERBOARD AND CARDBOARD
SANITARY PAPER PRODUCTS
ENVELOPES
STATIONERY, TABLETS AND RELATED PRODUCTS
PRESSED AND MOLDED PULP GOODS
CONVERTED PAPER AND PAPERBOARD PRODUCTS, NEC
NEWSPAPERS: PUBLISHING, PUBLISHING & PRINTING
PERIODICALS: PUBLISHING, PUBLISHING & PRINTING
BOOKS: PUBLISHING. PUBLISHING & PRINTING
BOOK PRINTING
MISCELLANEOUS PUBLISHING
COMMERCIAL PRINTING, LITHOGRAPHIC
COMMERCIAL PRINTING, GRAVURE
COMMERCIAL PRINTING, LETTERPRESS & SCREEN
ENGRAVING & PLATE PRINTING
F-8
CFR CFR
CODE DESCRIPTION
A
B
D
H
I
J
L
M
N
P
R
V
Y
0
U
X
0
A
B
D
U
V
I
X
L
Y
N
P
R
H
J
M
0
0
A
A
D
E
H
S
V
A
Z
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
UNBLEACHED KRAFT
SEMI-CHEMICAL
UNBLEACHED KRAFT-NTRL SULFIT£-SEMI-CHEM
BOARD, COARSE & TISSUE BLEACHED KRAFT
FINE BLEACHED KRAFT
PAPER GRADE SULFITE (BLOW PIT WASH)
GROUNDWOOD CHEM]-MECHANICAL
GROUNDWOOD THERMO-MECHANICAL
GROUNDWOOD COARSE, MOLDED & NEWSPAPERS
SODA
NONINTEGRATED FINE PAPERS
UNBLEACHED KRAFT & SEMI-CHEMICAL
NONINTEGRATED FILTER AND NONWOVEN PAPERS
GROUNDWOOO FINE PAPERS
PAPERGRADE SULFITE (DRUM WASH)
NONINTEGRATED LIGHTWEIGHT PAPERS
DEINK
UNBLEACHED KRAFT
SEMI-CHEMICAL
UNBLEACHED KRAFT-NTRL SULFITE-SEMI-CHEM
PAPERGRADE SULFITE (DRUM WASH)
UNBLEACHED KRAFT & SEMI-CHEMICAL
FINE BLEACHED KRAFT
NONINTEGRATED LIGHTWEIGHT PAPERS
GROUNDWOOD CHEMI-MECHANICAL
NONINTEGRATED FILTER AND NONWOVEN PAPERS
GROUNDWOOD COARSE, MOLDED & NEWSPAPERS
SODA
NONINTEGRATED FINE PAPERS
BOARD, COARSE & TISSUE BLEACHED KRAFT
PAPER GRADE SULFITE (BLOW PIT WASH)
GROUNDWOOD THERMO-MECHANICAL
GROUNDWOOD FINE PAPERS
DEINK
BUILDER'S PAPER AND ROOFING FELT
SEMI-CHEMICAL
UNBL KRAFT NTRL SULFITE SEMI-CHEM.
PAPERBOARD FROM WASTEPAPER
BOARD, COARSE TISSUE BLEACHED KRAFT
NONINTEGRATED TISSUE PAPERS
UNBLEACHED KRAFT AND SEMI-CHEMICAL
UNBLEACHED KRAFT
NONINTEGRATED PAPERBOARD
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
CONVERTED PAPER
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC COOES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
CFR
NUMBER
CFR CFR
CODE DESCRIPTION
2761
2771
2782
2789
2791
2796
2796
2796
2796
2796
2812
2812
2812
2812
2812
2812
2812
2813
2813
2813
2813
2813
2813
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2761
2771
2782
2789
2791
2753
2754
2793
2794
2795
2812
2812
2812
2812
2812
2812
2812
2813
2813
2813
2813
2813
2813
2816
2816
28:16
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2816
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
MANIFOLD BUSINESS FORMS
GREETING CARD PUBLISHING
BLANKBOOKS, LOOSELEAF BINDERS & DEVICES
BOOKBINDING & RELATED WORK
TYPESETTING
ENGRAVING & PLATE PRINTING
COMMERCIAL PRINTING. GRAVURE
PHOTOENGRAVING
ELECTROTYPING & STEREOTYPING
LITHOGRAPHIC PLATEMAKING & RELATED SERVICES
ALKALIES AND CHLORINE
ALKALIES AND CHLORINE
ALKALIES AND CHLORINE
ALKALIES AND CHLORINE
ALKALIES AND CHLORINE
ALKALIES AND CHLORINE
ALKALIES AND CHLORINE
INDUSTRIAL GASES
INDUSTRIAL GASES
INDUSTRIAL GASES
INDUSTRIAL GASES
INDUSTRIAL GASES
INDUSTRIAL GASES
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC PIGMENTS
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
F
F
F
N
0
NR
NR
AF
AO
AW
NR
NR
NR
V
V
AH
NR
BJ
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
BL
A
B
C
D
J
G
H
I
E
K
L
M
P
Q
R
AD
AE
T
AC
W
AI
Y
AJ
AA
CHLORINE & SODIUM OR POTASSIUM HYDR.
CHLORINE & SOD/POT HYDR.(MERCURY CELL)
CHLORINE & SOD/POT HYDR.(DIAPHRAGM CELL)
SODIUM BICARBONATE
SODIUM CARBONATE
POTASSIUM CARBONATE
NON-CONTACT COOLING WATER ONLY
CARBON DIOXIDE
HYDROGEN
OXYGEN & NITROGEN
GASES.IND COMPRESSED LIQUID/SOL ID,NEC
NITROUS OXIDE
NON-CONTACT COOLING WATER ONLY
TITANIUM DIOXIDE (SULFATE PROCESS)
TITANIUM DIOXIDE (CHLORIDE PROCESS)
CHROME PIGMENTS
BARYTES PIGMENTS
ZINC OXIDE
LEAD DIOXIDE, BROWN (Pb02)
LEAD OXIDE, RED (Pb304)
BARIUM SULFATE
WHITE LEAD PIGMENT (Pb(OH)2+PbCO}3
IRON COLORS
IRON OXIDE, BLACK
IRON OXIDE, MAGNETIC
IRON OXIDE, YELLOW
OCHERS
SATIN WHITE PIGMENT
NON-CONTACT COOLING WATER ONLY
ULTRAMARINE PIGMENT
UMBERS
WHITING
SIENNAS
CADMIUM PIGMENTS
ALUMINUM CHLORIDE
ALUMINUM SULFATE
CALCIUM CARBIDE
CALCIUM CHLORIDE
NITRIC ACID
HYDROCHLORIC ACID
HYDROFLUORIC ACID
HYDROGEN PEROXIDE
CALCIUM OXIDE
POTASSIUM METAL
POTASSIUM DICHROMATE
POTASSIUM SULFATE
SODIUM CHLORIDE
SODIUM DICHROMATE/SODIUM SULFATE
SODIUM METAL
CALCIUM CARBONATE
CALCIUM HYDROXIDE
SODIUM SULF1TE
CALCIUM MONOXIDE & BY-PRODUCT HYDROGEN
ALUMINUM FLUORIDE
CHROMIC ACID
AMMONIUM HYDROXIDE
COPPER SULFATE
BORAX
F-9
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES, NOTING ANY CHANGES
1972/
1977 .1987
SIC SIC
CODE CODE 1987 SIC TITLE
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
CFR
NUMBER
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
CFR CFR
CODE DESCRIPTION
415
419
415
421
421
421
422
422
422
422
AK
AC
AL
U
Z
AS
S
X
AM
AN
AO
AP
AQ
NR
AR
NR
AT
NR
AV
BN
AY
NR
BA
NR
BC
NR
BE
NR
BG
NR
BI
NR
BK
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
BO
NR
NR
NR
NR
NR
NR
NR
E
BM
A
NR
A
NR
0
NR
A
NR
B
NR
C
NR
D
CUPROUS OXIDE
BROMINE
FERRIC CHLORIDE
SULFUR 1C ACID
BARIUM CARBONATE
BORIC ACID
SODIUM SILICATE
AMMONIUM CHLORIDE
FERROUS SULFATE
FLUORINE
HYDROGEN
HYDROGEN CYANIDE
IODINE
SILVER OXIDE
LEAD MONOXIDE
SODA ALUM
MANGANESE SULFATE
SODIUM ANT I MOM IATE
NITRIC ACID (STRONG)
SODIUM CHLORATE
POTASSIUM IODIDE
SODIUM COMPOUNDS, INORGANIC
SILVER NITRATE
SODIUM CYANIDE
SODIUM FLUORIDE
STANNIC AND STANNOUS CHLORIDE
SODIUM HYDROSULFITE
STRONTIUM CARBONATE (PRECIPITATED/OXIDE)
SODIUM THIOSULFATE
STRONTIUM NITRATE
SULFUR DIOXIDE
SULFIDES & SULFITES
ZINC SULFATE
SULFOCYANIDES
ALUMINUM HYDROXIDE
SULFUR CHLORIDE
ALUMS
SULFUR HEXAFLUORIDE
AMMONIUM COMPOUNDS
THIOCYANATES, INORGANIC
AMMONIUM PERCHLORATE
TIN COMPOUNDS, INORGANIC
BARIUM COMPOUNDS (NOT PRODUCED AT MINES)
URANIUM SLAG, RADIOACTIVE
BORON COMPOUNDS (NOT PRODUCED AT MINES)
ZINC CHLORIDE
BRINE CHEMICALS
ZINC SULFIDE
CALCIUM HYPOCHLORITE
CALCIUM
CHLOROSULFONIC ACID
NON-CONTACT COOLING ONLY
CHROMIUM SULFATE
INTEGRATED REFINERIES (SULFUR RECOVERY)
COBALT SALTS (COBALT SULFATE)
BAUXITE REFINING
COPPER CHLORIDE
BAUXITE REFINING (ALUMINA)
FISSIONABLE MATERIALS PRODUCTION
BERYLIUM OXIDE
HYDRATED ALUMINUM SILICATE
PHOSPHORUS PRODUCTION
HYDROPHOSPHITES
PHOSPHORUS CONSUMING
INORGANIC ACIDS (EXC HN02 OR H2P04)
PHOSPHATE
ISOTOPES, RADIOACTIVE
OEFLUORINATED PHOSPHATE ROCK
F-10
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC COOES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
2819
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
INORGANIC
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
CHEMICALS
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
NEC
CFR
NUMBER
422
422
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
415
CFR CFR
CODE DESCRIPTION
NR LEAD SILICATE
E DEFLUORINATED PHOSPHORIC ACID
NR LUMINOUS COMPOUNDS (RADIUM)
F SODIUM PHOSPHATES
NR MANGANESE DIOXIDE (POWDER SYNTHETIC)
AU NICKEL SALTS (NICKEL CHLORIDE)
NR MERCURY OXIDE
AU NICKEL SALTS (NICKEL NITRATE)
NR NUCLEAR FUEL REACTOR CASES, INORGANIC
AU NICKEL SALTS (NICKEL FLUOBORATE)
NR OLEUM (FUMING SULFUR 1C ACID)
AU NICKEL SALTS (NICKEL CARBONATE)
NR PERCHLORIC ACID
AJ COPPER SALTS (COPPER CHLORIDE)
NR POTASH ALUM
AJ COPPER SALTS (COPPER IODIDE)
NR POTASSIUM ALUMINUM SULFATE
AJ COPPER SALTS (COPPER NITRATE)
NR POTASSIUM CYANIDE
AJ COPPER SALTS (COPPER CARBONATE)
NR POTASSIUM COMPOUNDS,INORGANIC
BL CADIUM SALTS (CADIUM CHLRORIDE)
NR POTASSIUM NITRATE & SULFATE
BL CADIUM SALTS (CADIUM NITRATE)
NR RADIUM LUMINOUS COMPOUNDS
BL CADIUM SALTS (CADIUM SULFATE)
NR REAGENT GRADE CHEM (1NORG REF FROM TECH)
BM COBALT SALTS (COBALT NITRATE)
NR SILICA AMORPHOUS
NR SILVER BROMIDE
BM COBALT SALTS (COBALT CHLORIDE)
NR COBALT 60 (RADIOACTIVE)
NR SILVER CYANIDE
NR COPPER IODIDE
AS LITHIUM CARBONATE
NR HEAVY WATER (DEUTERIUM OXIDE)
AX POTASSIUM CHLORIDE
NR HYDROGEN SULFIDE
BB SODIUM BISULFITE
NR INDIUM CHLORIDE
BF SODIUM SILICOFLUORIDE
NR IODIDES
BJ ZINC OXIDE
NR LEAD ARSENATE
NR ALUMINUM OXIDE
NR LITHIUM COMPOUNDS
NR AMMONIUM MOLYBDATE
NR MAGNESIUM COMPOUNDS (INORGANIC)
NR BLEACHING POWDER
NR MERCURY CHLORIDE
NR CALCIUM COMPOUNDS (INORGANIC)
NR NICKEL AMMONIUM SULFATE
NR CHROMIUM OXIDE
NR NUCLEAR FUEL SCRAP RE-PROCESSING
NR SILVER IODIDE
NR OXIDATION CATALYST FROM PORCELAIN
AZ POTASSIUM PERMANGANATE
NR PEROXIDES, INORGANIC
BH STANNIC OXIDE
NR POTASH MAGNESIA
NR AMMONIA ALUM
NR POTASSIUM BROMIDE
NR BOROS1L1CATE
NR POTASSIUM CHLORATE
NR SILVER CHLORIDE
NR POTASSIUM HYPOCHLORITE
BD SODIUM HYDROSULFIDE
NR AMMONIUM TH10SULFATE
F-ll
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES. NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE
2819
2819
2819
2819
2819
2819
2819
2819
2819
2821
2821
2821
2821
2821
2822
2822
2822
2822
2822
2823
2823
2823
2824
2824
2833
2833
2833
2833
2834
2834
2835
2835
2836
2836
2841
2841
2841
2841
2841
2841
2841
2841
2841
2841
2841
2841
2841
2841
2842
2842
2842
2842
2843
2843
2843
2843
2843
2843
2843
2844
2844
2851
2851
2861
2861
2861
2861
2861
2819
2819
2819
2819
2819
2819
2819
2819
2869
2821
2821
2821
2821
2821
2822
2822
2822
2822
2822
2823
2823
2823
2824
2824
2833
2833
2833
2833
2834
2834
2831
2831
2831
2831
2841
2841
2841
2841
2841
2841
2841
2841
2841
2841
2841
2841
2841
2841
2842
2842
2842
2842
2843
2843
2843
2843
2843
2843
2843
2844
2844
2851
2851
2861
2861
2861
2861
2861
1987 SIC TITLE
INORGANIC CHEHICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INORGANIC CHEMICALS NEC
INDUSTRIAL ORGANIC CHEMICALS NEC
PLASTIC MATERIALS, SYN RESINS & NONVUL ELASTOMERS
PLASTIC MATERIALS. SYN RESINS & NONVUL ELASTOMERS
PLASTIC MATERIALS, SYN RESINS & NONVUL ELASTOMERS
PLASTIC MATERIALS, SYN RESINS & NONVUL ELASTOMERS
PLASTIC MATERIALS, SYN RESINS & NONVUL ELASTOMERS
SYNTHETIC RUBBER (VULCANIZABLE ELASTOMERS)
SYNTHETIC RUBBER (VULCANIZABLE ELASTOMERS)
SYNTHETIC RUBBER (VULCANIZABLE ELASTOMERS)
SYNTHETIC RUBBER (VULCANIZABLE ELASTOMERS)
SYNTHETIC RUBBER (VULCANIZABLE ELASTOMERS)
CELLULOSIC MAN-MADE FIBERS
CELLULOSIC MAN-MADE FIBERS
CELLULOSIC MAN-MADE FIBERS
SYNTHETIC ORGANIC FIBERS, EXCEPT CELLULOSIC
SYNTHETIC ORGANIC FIBERS, EXCEPT CELLULOSIC
MEDICINAL CHEMICALS & BOTANICAL PRODUCTS
MEDICINAL CHEMICALS & BOTANICAL PRODUCTS
MEDICINAL CHEMICALS & BOTANICAL PRODUCTS
MEDICINAL CHEMICALS & BOTANICAL PRODUCTS
PHARMACEUTICAL PREPARATIONS
PHARMACEUTICAL PREPARATIONS
BIOLOGICAL PRODUCTS
BIOLOGICAL PRODUCTS
BIOLOGICAL PRODUCTS
BIOLOGICAL PRODUCTS
SOAP & OTHER DETERGENTS. EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS, EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS, EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS, EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS, EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS. EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS. EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS, EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS. EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS, EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS, EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS, EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS, EXC SPECIALTY CLEANERS
SOAP & OTHER DETERGENTS, EXC SPECIALTY CLEANERS
SPECIALTY CLEANING, POLISHING & SANITARY PREP.
SPECIALTY CLEANING, POLISHING & SANITARY PREP.
SPECIALTY CLEANING, POLISHING & SANITARY PREP.
SPECIALTY CLEANING. POLISHING & SANITARY PREP.
SURFACE ACTIVE AGENTS, FINISHING AGENTS, ETC.
SURFACE ACTIVE AGENTS, FINISHING AGENTS, ETC.
SURFACE ACTIVE AGENTS, FINISHING AGENTS, ETC.
SURFACE ACTIVE AGENTS, FINISHING AGENTS, ETC.
SURFACE ACTIVE AGENTS, FINISHING AGENTS, ETC.
SURFACE ACTIVE AGENTS, FINISHING AGENTS, ETC.
SURFACE ACTIVE AGENTS, FINISHING AGENTS, ETC.
PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS
PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS
PAINTS/VARNISHES/LACQUERS/ENAMELS & ALLIED PROD
PAINTS/VARNISHES/LACQUERS/ENAMELS & ALLIED PROD
GUM AND WOOD CHEMICALS
GUM AND WOOD CHEMICALS
GUM AND WOOD CHEMICALS
GUM AND WOOD CHEMICALS
GUM AND WOOD CHEMICALS
CFR
NUMBER
CFR CFR
CODE DESCRIPTION
415
414/416
414/416
414/416
414/416
414/416
428
428
428
416
416
416
439
439
439
439
439
439
439
439
417
417
417
417
417
417
417
417
417
417
417
417
417
417
417
417
417
417
417
417
417
417
446
454
454
454
454
NR
AU
NR
NR
NR
NR
NR
NR
NR
B
D
E
NR
C'
D
B
C
D
NR
NR
B
C
C
NR
A
B
C
NR
D
NR
A
B
A
B
A
B
C
D
P
E
G
H
0
F
0
R
S
NR
H
P
NR
NR
NR
I
J
K
L
M
N
H
NR
NR
A
A
B
NR
D
E
CERIUM SALTS
NICKEL SULFATE
ALUMINUM COMPOUNDS
RADIUM CHLORIDE
RARE EARTH METAL SALTS
SALTS OF RARE EARTH METALS
SILICA GEL
SILVER CARBONATE
RAYON FIBERS
THERMOPLASTIC RESINS
THERMOSETTING RESINS
NON-CONTACT COOLING WATER ONLY
OTHER FIBERS
THEROMOPLASTIC RESINS (SILICONES)
EMULSION CRUMB RUBBER
SOLUTION CRUMB RUBBER
LATEX RUBBER
NON-CONTACT COOLING WATER ONLY
NON-CONTACT COOLING WATER ONLY
RAYON FIBERS
OTHER FIBERS
OTHER FIBERS
NON-CONTACT COOLING WATER ONLY
FERMENTATION PRODUCTS
EXTRACTION PRODUCTS
CHEMICAL SYNTHESIS PRODUCTS
NON-CONTACT COOLING WATER ONLY
MIX!NG/COMPOUNDING-FORMULATION
NON-CONTACT COOLING WATER ONLY
FERMENTATION PRODUCTS
EXTRACTION PRODUCTS
FERMENTATION PRODUCTS
EXTRACTION PRODUCTS
SOAP MANUFACTURING BY BATCH KETTLE
FATTY ACID MANUFACTURING BY FATSPLITTING
SOAP MANUFAC BY FATTYACID NEUTRALIZATION
GLYCERINE CONCENTRATION
MANUFACTURING OF LIQUID DETERGENTS
GLYCERINE DISTILLATION
MANUFACTURING OF BAR SOAPS
MANUFACTURING OF LIQUID SOAPS
MANUFACTURING OF SPRAY DRIED DETERGENTS
MANUFACTURING OF SOAP FLAKES & POWDERS
MANUFACTURING OF DETERGENTS BY DRY BLEND
MANUFACTURING OF DRUM DRIED DETERGENTS
MANUFACTURING OF DETERGENT BARS & CAKES
NON-CONTACT COOLING WATER ONLY
MANUFACTURING OF LIQUID SOAPS
MANUFACTURING OF LIQUID DETERGENTS
OTHER PREPARATIONS, NEC
NON-CONTACT COOLING WATER ONLY
NON-CONTACT COOLING WATER ONLY
OLEUM SULFONATION & SULFATION
A1R-S03 SULFONATION & SULFATION
S03 SOLVENT & VACUUM SULFONATION
SULFAMIC ACID SULFATION
CHLOROSULFONIC ACID SULFATION
NEUTRAL SULFURIC ACID ESTERS & SULFONIC
MANUFACTURING OF LIQUID SOAPS
OTHER PREPARATIONS, NEC
OTHER PAINTS
OIL-BASE SOLVENT WASH PAINT
CHAR & CHARCOAL BRIQUETTES
GUM ROSIN & TURPENTINE
NON-CONTACT COOLING WATER ONLY
TALL OIL, ROSIN, PITCH. FATTY ACIDS
ESSENTIAL OILS
F-12
-------
APPENDIX f -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC COOES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
2861
2861
2865
2865
2865
2865
2869
2869
2869
2869
2869
2873
2873
2873
2873
2873
2874
2874
2875
2879
2891
2892
2892
2892
2893
2893
2895
2895
2895
2895
2899
2899
2899
2899
2899
2899
2899
2911
2911
2911
2911
2911
2911
2911
2951
2951
2951
2952
2952
2952
2992
2992
2992
2992
2999
3011
3011
3021
3021
3021
3021
3021
3021
3021
3052
3052
3052
3052
2861
2861
2865
2865
2865
2865
2869
2869
2869
2869
2869
2873
2873
2873
2873
2873
2874
2874
2875
2879
2891
2892
2892
2892
2893
2893
2895
2895
2895
2895
2899
2899
2899
2899
2899
2899
2899
2911
2911
2911
2911
2911
2911
2911
2951
2951
2951
2952
2952
2952
2992
2992
2992
2992
2999
3011
3011
3021
3021
3021
3021
3021
3021
3021
3041
3041
3041
3041
GUM AND WOOD CHEMICALS
GUM AND WOOD CHEMICALS
CYCLIC CRUDES INTERM., DYES & ORGANIC PIGMENTS
CYCLIC CRUDES INTERM., DYES & ORGANIC PIGMENTS
CYCLIC CRUDES INTERN., DYES & ORGANIC PIGMENTS
CYCLIC CRUDES INTERM., DYES & ORGANIC PIGMENTS
INDUSTRIAL ORGANIC CHEMICALS, NEC
INORGANIC CHEMICALS NEC
INDUSTRIAL ORGANIC CHEMICALS, NEC
INDUSTRIAL ORGANIC CHEMICALS, NEC
INORGANIC CHEMICALS NEC
NITROGEN FERTILIZERS
NITROGEN FERTILIZERS
NITROGEN FERTILIZERS
NITROGEN FERTILIZERS
NITROGEN FERTILIZERS
PHOSPHATIC FERTILIZERS
PHOSPHATIC FERTILIZERS
FERTILIZERS, MIXING ONLY
PESTICIDES & AGRICULTURAL CHEMICALS NEC
ADHESIVES AND SEALANTS
EXPLOSIVES
EXPLOSIVES
EXPLOSIVES
PRINTING INK
PRINTING INK
CARBON BLACK
CARBON BLACK
CARBON BLACK
CARBON BLACK
CHEMICALS AND CHEMICAL PREPARATIONS, NEC
CHEMICALS AND CHEMICAL PREPARATIONS, NEC
CHEMICALS AND CHEMICAL PREPARATIONS, NEC
CHEMICALS AND CHEMICAL PREPARATIONS, NEC
CHEMICALS AND CHEMICAL PREPARATIONS, NEC
CHEMICALS AND CHEMICAL PREPARATIONS, NEC
CHEMICALS AND CHEMICAL PREPARATIONS, NEC
PETROLEUM REFINING
PETROLEUM REFINING
PETROLEUM REFINING
PETROLEUM REFINING
PETROLEUM REFINING
PETROLEUM REFINING
PETROLEUM REFINING
PAVING MIXTURES AND BLOCKS
PAVING MIXTURES AND BLOCKS
PAVING MIXTURES AND BLOCKS
ASPHALT FELT AND COATINGS
ASPHALT FELT AND COATINGS
ASPHALT FELT AND COATINGS
LUBRICATING OILS AND GREASES
LUBRICATING OILS AND GREASES
LUBRICATING OILS AND GREASES
LUBRICATING OILS AND GREASES
PRODUCTS OF PETROLEUM AND COAL, NEC
TIRES AND INNER TUBES
TIRES AND INNER TUBES
RUBBER AND PLASTICS FOOTWEAR
RUBBER AND PLASTICS FOOTWEAR
RUBBER AND PLASTICS FOOTWEAR
RUBBER AND PLASTICS FOOTWEAR
RUBBER AND PLASTICS FOOTWEAR
RUBBER AND PLASTICS FOOTWEAR
RUBBER AND PLASTICS FOOTWEAR
RUBBER & PLASTICS HOSE AND BELTING
RUBBER & PLASTICS HOSE AND BELTING
RUBBER & PLASTICS HOSE AND BELTING
RUBBER & PLASTICS HOSE AND BELTING
CFR
NUMBER
454
454
414/416
414/416
414/416
414/416
455
414/416
414/416
455
418
418
418
418
418
418
418
455
457
457
447
458
458
458
417
424
454
457
454
419
419
419
419
419
443
443
443
443
443
428
428
428
428
428
463
463
428
428
428
CFR
CODE
F
C
F
NR
G
H
H
A
F
G
6
B
C
D
E
F
A
NR
G
C
NR
A
C
NR
A
NR
A
C
D
NR
B
F
D
C
NR
NR
E
A
B
C
D
E
NR
A
A
B
NR
C
D
NR
NR
NR
NR
NR
NR
A
NR
E
F
G
J
NR
A
B
E
F
G
NR
CFR
CODE DESCRIPTION
ROSIN BASED DERIVATIVES
WOOD ROSIN, TURPENTINE & PINE OIL
COMMODITY
NON-CONTACT COOLING WATER ONLY
BULK
SPECIALTY
SPECIALTY
ORGANIC PESTICIDE CHEMICALS MFG.
COMMODITY
BULK
METALLO-ORGANIC PESTICIDES
AMMONIA
UREA
AMMONIUM NITRATE
NITRIC ACID
AMMONIUM SULFATE PRODUCTION
PHOSPHATE
NON-CONTACT COOLING WATER ONLY
MIXED & BLEND FERTILIZER PRODUCTION
PESTICIDE CHEMICALS FORMULATING
ADHESIVES & SEALANTS
MANUFACTURE OF EXPLOSIVES
EXPLOSIVES LOAD, ASSEMBLE & PACK PLANTS
NON-CONTACT COOLING WATER ONLY
OIL-BASED SOLVENT WASH INK
OTHER INKS
CARBON BLACK FURNACE PROCESS
CARBON BLACK CHANNEL PROCESS
CARBON BLACK LAMP PROCESS
NON-CONTACT COOLING WATER ONLY
FATTY ACID MFG. BY FAT SPLITTING
ROSIN-BASED DERIVATIVES
TALL OIL ROSIN, PITCH & FATTY ACIDS
EXPLOSIVES LOAD, ASSEMBLE & PACK PLANTS
OTHER CHEMICAL PREPARATIONS NEC
NON-CONTACT COOLING WATER ONLY
ESSENTIAL OILS
TOPPING
CRACKING
PETROCHEMICAL
LUBE
INTEGRATED
NON-CONTACT COOLING WATER ONLY
ASPHALT EMULSION
ASPHALT EMULSION
ASPHALT CONCRETE
NON-CONTACT COOLING WATER ONLY
ASPHALT ROOFING
LINOLEUM & PRINTED ASPHALT FELT
NON-CONTACT COOLING WATER ONLY
LUBE OIL RE-REFINING
WASTE OIL RECYCLING
OTHER OILS & GREASES NEC
NON-CONTACT COOLING WATER ONLY
TIRE & INNER TUBE PLANTS
NON-CONTACT COOLING WATER ONLY
SM-SIZED GEN MOLDED,EXTR&FABR RUBBERPLNT
MD-SIZED GEN MOLDED,EXTR&FABR RUBBERPLNT
LG-S1ZED GEN MOLDED,EXTR&FABR RUBBERPLNT
LATEX-DIPPED,MOLDED,EXTRUDED GOODS
NON-CONTACT COOLING WATER ONLY
CONTACT COOLING &HEATING WATER(PLASTICS)
CLEANING (PLASTICS)
SM-SIZED GEN MOLDED, EXTR&FABR RUBBERPLT
MD-SIZED GEN MOLDED, EXTR&FABR RUBBERPLT
LG-SIZED GEN MOLDED, EXTR&FABR RUBBERPLT
NON-CONTACT COOLING WATER ONLY
F-13
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC COOES, NOTING ANY CHANGES
1972/
1977 .W87
SIC SIC
CODE CODE 1987 SIC TITLE
3052
3052
3053
3053
3053
3053
3053
3061
3061
3061
3069
3069
3069
3069
3069
3069
3069
3069
3069
3081
3081
3081
3081
3082
3082
3082
3082
3083
3083
3083
3083
3084
3084
3084
3084
3085
3085
3085
3085
3086
3086
3086
3086
3087
3087
3087
3087
3088
3088
3088
3088
3089
3089
3089
3089
3111
3111
3111
3111
3111
3111
3111
3111
3111
3111
3131
3142
3143
3041
3041
3293
3293
3293
3293
3293
3069
3069
3069
3031
3031
3031
3069
3069
3069
3555
3555
3555
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3079
3111
3111
3111
3111
3111
3111
3111
3111
3111
3111
3131
3142
3143
RUBBER & PLASTICS HOSE AND BELTING
RUBBER & PLASTICS HOSE AND BELTING
GASKETS, PACKING & SEALING DEVICES
GASKETS, PACKING & SEALING DEVICES
GASKETS. PACKING & SEALING DEVICES
GASKETS, PACKING & SEALING DEVICES
GASKETS, PACKING & SEALING DEVICES
FABRICATED RUBBER PRODUCTS NEC
FABRICATED RUBBER PRODUCTS, NEC
FABRICATED RUBBER PRODUCTS, NEC
RECLAIMED RUBBER
RECLAIMED RUBBER
RECLAIMED RUBBER
FABRICATED RUBBER PRODUCTS, NEC
FABRICATED RUBBER PRODUCTS, NEC
FABRICATED RUBBER PRODUCTS, NEC
PRINTING TRADES MACHINERY
PRINTING TRADES MACHINERY
PRINTING TRADES MACHINERY
MISCELLANEOUS PLASTICS PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
LEATHER TANNING AND FINISHING
LEATHER TANNING AND FINISHING
LEATHER TANNING AND FINISHING
LEATHER TANNING AND FINISHING
LEATHER TANNING AND FINISHING
LEATHER TANNING AND FINISHING
LEATHER TANNING AND FINISHING
LEATHER TANNING AND FINISHING
LEATHER TANNING AND FINISHING
LEATHER TANNING AND FINISHING
BOOT & SHOE CUT STOCK & FINDINGS
HOUSE SLIPPERS
MEN'S FOOTWEAR. EXCEPT ATHLETIC
CFR
NUMBER
463
463
427
428
428
428
428
428
428
428
428
428
428
428
428
428
428
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
463
425
425
425
425
425
425
425
425
425
CFR CFR
CODE DESCRIPTION
A
B
K
E
F
G
NR
E
F
G
H
1
NR
G
F
E
E
F
G
A
B
C
NR
B
NR
A
C
NR
c
A
B
C
NR
A
B
NR
C
B
NR
A
C
C
B
NR
A
A
C
B
NR
NR
A
B
C
A
I
NR
C
E
G
H
B
D
F
NR
NR
NR
CONTACT COOLING & HEATING WATER
CLEANING WATER
WET DUST COLLECTION (ASBESTOS)
SM-SIZE GEN MOLDED,EXTRSFABR RUBBERPLANT
MD-SIZE GEN MOLDED,EXTRSFABR RUBBERPLANT
LG-SIZE GEN MOLDED,EXTR&FABR RUBBERPLANT
NON-RUBBER PRODUCTS
SH-SIZED GEN MOLDED, EXTR&FABR RUBBERPLT
MD-SIZED GEN MOLDED, EXTR&FABR RUBBERPLT
LG-SIZED GEN MOLDED, EXTR&FABR RUBBERPLT
WET DIGESTION RECLAIM
PAN,DRY DIGESTION,& MECHANICAL RECLAIM
NON-CONTACT COOLING WATER ONLY
LG-SIZED GEN MOLDED, EXTR&FABR RUBBERPLT
MD-SIZED GEN MOLDED, EXTR&FABR RUBBERPLT
SM-SIZED GEN MOLDED, EXTR&FABR RUBBERPLT
SM-SIZED GEN MOLDED. EXTR&FABR RUBBERPLT
MD-SIZED GEN MOLDED, EXTR&FABR RUBBERPLT
LG-SIZED GEN MOLDED. EXTR&FABR RUBBERPLT
CONTACT COOLING & HEATING WATER
CLEANING WATER
FINISHING WATER
NON CONTACT COOLING WATER ONLY
CLEANING WATER
NON CONTACT COOLING WATER ONLY
CONTACT COOLING & HEATING WATER
FINISHING WATER
NON CONTACT COOLING WATER ONLY
CONTACT COOLING & HEATING WATER
CLEANING WATER
FINISHING WATER
CONTACT COOLING & HEATING WATER
CLEANING WATER
FINISHING WATER
NON CONTACT COOLING WATER
CONTACT COOLING & HEATING WATER
CLEANING WATER
NON CONTACT COOLING WATER ONLY
FINISHING WATER
CLEANING WATER
NON CONTACT COOLING WATER ONLY
CONTACT COOLING & HEATING WATER
FINISHING WATER
FINISHING WATER
CLEANING WATER
NON CONTACT COOLING WATER ONLY
CONTACT COOLING & HEATING WATER
CONTACT COOLING & HEATING WATER
FINISHING WATER
CLEANING WATER
NON CONTACT COOLING WATER ONLY
NON CONTACT COOLING WATER
CONTACT COOLING & HEATING WATER
CLEANING WATER
FINISHING WATER
HAIR PULP, CHROME TAN,RETAN-UET FINISH
RETAIN-WET FINISH - SPLITS
NON-CONTACT COOLING WATER ONLY
HAIR SAVE,NON-CHROME TAN.RETAN-WET FINIS
NO BEAHHOUSE
SHEARLING
PIGSKIN
HAIR SAVE, CHROME TAN,RETAN-UET FINISH
RETAN-WET FINISH SIDES
THROUGH-THE-BLUE
F-14
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
3144
3149
3151
3161
3171
3172
3199
3211
3211
3211
3211
3211
3211
3221
3229
3229
3229
3229
3229
3231
3231
3241
3241
3241
3251
3253
3255
3259
3261
3262
3263
3264
3264
3269
3271
3272
3273
3274
3274
3275
3281
3291
3292
3292
3292
3292
3292
3292
3292
3292
3292
3295
3295
3295
3295
3295
3295
3295
3296
3296
3299
3312
3312
3312
3312
3312
3312
3312
3144
3149
3151
3161
3171
3172
3199
3211
3211
3211
3211
3211
3211
3221
3229
3229
3229
3229
3229
3231
3231
3241
3241
3241
3251
3253
3255
3259
3261
3262
3263
3264
3679
3269
3271
3272
3273
3274
3274
3275
3281
3291
3292
3292
3292
3292
3292
3292
3292
3292
3292
3295
3295
3295
3295
3295
3295
3295
3296
3296
3299
3312
3312
3312
3312
3312
3312
3312
WOMEN'S FOOTWEAR, EXCEPT ATHLETIC
FOOTWEAR, EXCEPT RUBBER NEC
LEATHER GLOVES AND MITTENS
LUGGAGE
WOMEN'S HANDBAGS AND PURSES
PERSONAL LEATHER GOODS, EXCEPT WOMEN'S HANDBAGS
LEATHER GOODS NEC
FLAT GLASS
FLAT GLASS
FLAT GLASS
FLAT GLASS
FLAT GLASS
FLAT GLASS
GLASS CONTAINERS
PRESSED & BLOWN GLASS & GLASSWARE NEC
PRESSED & BLOWN GLASS & GLASSWARE NEC
PRESSED & BLOWN GLASS & GLASSWARE NEC
PRESSED & BLOWN GLASS & GLASSWARE NEC
PRESSED & BLOWN GLASS & GLASSWARE NEC
GLASS PRODUCTS MADE OF PURCHASED GLASS
GLASS PRODUCTS MADE OF PURCHASED GLASS
CEMENT, HYDRAULIC
CEMENT, HYDRAULIC
CEMENT, HYDRAULIC
BRICK AND STRUCTURAL CLAY TILE
CERAMIC WALL AND FLOOR TILE
CLAY REFRACTORIES
STRUCTURAL CLAY PRODUCTS NEC
VITREOUS CHINA PLUMBING FIXTURES, ETC.
VITREOUS CHINA TABLE fr KITCHEN ARTICLES
FINE EARTHENWARE
PORCELAIN ELECTRICAL SUPPLIES
ELECTRONIC COMPONENTS, NEC
POTTERY PRODUCTS, NEC
CONCRETE BLOCK & BRICK
CONCRETE PRODUCTS EXCEPT BLOCK & BRICK
READY-MIXED CONCRETE
LIME
LIME
GYPSUM PRODUCTS
CUT STONE & STONE PRODUCTS
ABRASIVE PRODUCTS
ASBESTOS PRODUCTS
ASBESTOS PRODUCTS
ASBESTOS PRODUCTS
ASBESTOS PRODUCTS
ASBESTOS PRODUCTS
ASBESTOS PRODUCTS
ASBESTOS PRODUCTS
ASBESTOS PRODUCTS
ASBESTOS PRODUCTS
MINERALS & EARTHS, GROUND OR OTHERWISE TREATED
MINERALS & EARTHS, GROUND OR OTHERWISE TREATED
MINERALS & EARTHS, GROUND OR OTHERWISE TREATED
MINERALS & EARTHS, GROUND OR OTHERWISE TREATED
MINERALS & EARTHS, GROUND OR OTHERWISE TREATED
MINERALS & EARTHS, GROUND OR OTHERWISE TREATED
MINERALS & EARTHS, GROUND OR OTHERWISE TREATED
MINERAL WOOL
MINERAL WOOL
NONMETALLIC MINERAL PRODUCTS, NEC
BLAST FURNACES, STEEL WORKS & ROLLING MILLS
STEEL WORKS & ROLLING MILLS
STEEL WORKS & ROLLING MILLS
STEEL WORKS & ROLLING MILLS
STEEL WORKS & ROLLING MILLS
BLAST FURNACES, STEEL WORKS & ROLLING MILLS
BLAST FURNACES, STEEL WORKS & ROLLING MILLS
BLAST FURNACES,
BLAST FURNACES,
BLAST FURNACES,
BLAST FURNACES,
CFR
NUMBER
426
426
426
426
426
426
426
426
426
426
426
426
426
426
411
411
411
415
436
427
427
427
427
427
427
427
427
427
436
436
436
436
436
436
426
420
420
420
420
420
420
420
CFR
CODE
NR
NR
NR
NR
NR
NR
NR
B
C
D
E
F
G
H
I
J
K
L
M
F
G
A
B
C
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
E
NR
NR
A
NR
A
B
I
F
G
H
E
J
K
J
W
X
AG
AJ
AL
NR
A
NR
NR
A
B
C
D
E
F
G
CFR
DESCRIPTION
SHEET GLASS MFC
ROLLED GLASS MFC
PLATE GLASS MFC
FLOAT GLASS MFC
AUTOMOTIVE GLASS TEMPERING
AUTOMOTIVE GLASS LAMINATING
GLASS CONTAINER MFC
MACHINE PRESSED & BLOWN GLASS MFC
GLASS TUBING (DANNER) MFC
TELEVISION PICTURE TUBE ENVELOPE MFC
INCANDESCENT LAMP ENVELOPE MFC
HAND PRESSED & BLOWN GLASS MFC
AUTOMOTIVE GLASS TEMPERING
AUTOMOTIVE GLASS LAMINATING
NONLEACH1NG
LEACHING
MATERIALS STORAGE PILES RUNOFF
CALCIUM OXIDE PRODUCTION
OTHER LIME PRODUCTION
DIMENSION STONE
ASBESTOS-CEMENT PIPE
ASBESTOS-CEMENT SHEET
SOLVENT RECOVERY
ASBESTOS ROOFING
ASBESTOS FLOOR TILE
COATING OR FINISHING ASBESTOS TEXTILES
ASBESTOS MILLBOARD
VAPOR ABSORPTION
WET DUST COLLECTION
BAR1TE
MAGNESITE
DIATOMITE
KAOLIN
TALC.STEATITE.SOAPSTONE & PYROPHYLLITE
GRAPHITE
OTHER MINERALS & EARTHS
INSULATION FIBERGLASS
OTHER MINERAL WOOLS
COKEMAKING
SINTERING
IRONMAKING
STEELMAK1NG
VACUUM DEGASSING
CONTINUOUS CASTING
HOT FORMING
F-15
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC COOES, NOTING ANY CHANGES
1972/
1977 -1987
SIC SIC
CODE CODE 1987 SIC TITLE
CFR
NUMBER
3312 3312 BLAST FURNACES. STEEL WORKS & ROLLING MILLS
3312 3312 BLAST FURNACES, STEEL WORKS & ROLLING MILLS 420
3312 3312 BLAST FURNACES. STEEL WORKS & ROLLING MILLS 420
3312 3312 BLAST FURNACES. STEEL WORKS & ROLLING MILLS 420
3312 3312 BLAST FURNACES, STEEL WORKS & ROLLING MILLS 420
3312 3312 BLAST FURNACES, STEEL WORKS 8 ROLLING MILLS 420
3313 3313 ELECTROMETALLURGICAL PRODUCTS 420
3313 3313 ELECTROMETALLURGICAL PRODUCTS 420
3313 3313 ELECTROMETALLURGICAL PRODUCTS
3313 3313 ELECTROMETALLURGICAL PRODUCTS 424
3313 3313 ELECTROMETALLURGICAL PRODUCTS 424
3313 3313 ELECTROMETALLURGICAL PRODUCTS 424
3313 3313 ELECTROMETALLURGICAL PRODUCTS 424
3313 3313 ELECTROMETALLURGICAL PRODUCTS 424
3313 3313 ELECTROMETALLURGICAL PRODUCTS 424
3313 3313 ELECTROMETALLURGICAL PRODUCTS 424
3315 3315 STEEL WIRE DRAWING & STEEL NAILS & SPIKES 420
3315 3315 STEEL WIRE DRAWING & STEEL NAILS & SPIKES 420
3315 3315 STEEL WIRE DRAWING & STEEL NAILS & SPIKES 420
3315 3315 STEEL WIRE DRAWING & STEEL NAILS & SPIKES 420
3316 3316 COLD ROLLED STEEL SHEET. STRIP & BARS 420
3316 3316 COLD ROLLED STEEL SHEET. STRIP & BARS 420
3317 3317 STEEL PIPE AND TUBES 420
3317 3317 STEEL PIPE AND TUBES 420
3317 3317 STEEL PIPE AND TUBES 420
3317 3317 STEEL PIPE AND TUBES 420
3317 3317 STEEL PIPE AND TUBES 420
3321 3321 GRAY IRON FOUNDRIES 464
3322 3322 MALLEABLE IRON FOUNDRIES 464
3324 3324 STEEL INVESTMENT FOUNDRIES 464
3325 3325 STEEL FOUNDRIES, NEC 464
3331 3331 PRIMARY SMELTING AND REFINING OF COPPER 421
3331 3331 PRIMARY SMELTING AND REFINING OF COPPER 421
3331 3331 PRIMARY SMELTING AND REFINING OF COPPER 421
3334 3334 PRIMARY PRODUCTION OF ALUMINUM 421
3334 3334 PRIMARY PRODUCTION OF ALUMINUM 421
3339 3332 PRIMARY SMELTING AND REFINING OF LEAD 421
3339 3332 PRIMARY SMELTING AND REFINING OF LEAD 421
3339 3333 PRIMARY SMELTING AND REFINING OF ZINC 421
3339 3333 PRIMARY SMELTING AND REFINING OF ZINC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 424
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 421
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
3339 3339 PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC 424
F-16
CFR CFR
CODE DESCRIPTION
NR NON-CONTACT COOLING WATER ONLY
H SALT BATH DESCALING
J COLD FORMING
K ALKALINE CLEANING
L HOT COATING
I ACID PICKLING
D STEELMAKING
F CONTINUOUS CASTING
NR NON-CONTACT COOLING WATER ONLY
A OPEN ELECTRIC FURNACES W/WET APC
B COVERED ELECTRIC FURNACES W/WET APC
G ELECTROLYTIC CHROMIUM
D COVERED CALCIUM CARBIDE FURNACES U/UAPC
E OTHER CALCIUM CARBIDE FURNACES
F ELECTROLYTIC MANGANESE PRODUCTS
C SLAG PROCESSING
H SALT BATH DESCALING
J COLD FORMING
K ALKALINE CLEANING
I ACID PICKLING
J COLD FORMING
I ACID PICKLING
H SALT BATH DESCALING
G HOT FORMING
I ACID PICKLING
J COLD FORMING
K ALKALINE CLEANING
C FERROUS CASTING
C FERROUS CASTING
C FERROUS CASTING
C FERROUS CASTING
D PRIMARY COPPER SMELTING
E PRIMARY ELECTROLYTIC COPPER REFINING
I METALLURGICAL ACID PLANTS
A BAUXITE REFINING
B PRIMARY ALUMINUM SMELTING
G PRIMARY LEAD
I METALLURGICAL ACID PLANTS
H PRIMARY ZINC
I METALLURGICAL ACID PLANTS
I METALLURGICAL ACID PLANTS(MOLYBDENUM)
J PRIMARY TUNGSTEN
K PRIMARY COLUMB1UM-TANTALUM
N PRIMARY ANTIMONY
0 PRIMARY BERYLLIUM
P PRIMARY BORON
0 PRIMARY CALCIUM & RUBIDIUM
R PRIMARY & SECONDARY GERMANIUM & GALLIUM
G ELECTROLYTIC CHROMIUM
W PRIMARY NICKEL & COBALT
NR PRIMARY ARSENIC
NR PRIMARY BARIUM
AC PRIMARY & SECONDARY TIN
NR PRIMARY BISMUTH
NR PRIMARY URANIUM
NR PRIMARY CALCIUM
NR PRIMARY PLATINUM GROUP
NR PRIMARY & SECONDARY INDIUM
NR PRIMARY SELENIUM
NR PRIMARY LITHIUM
AA PRIMARY RARE EARTH METALS
AG PRIMARY ZIRCONIUM & HAFNIUM
NR PRIMARY CADMIUM
NR PRIMARY TELLURIUM
AD PRIMARY & SECONDARY TITANIUM
NR PRIMARY MAGNESIUM
NR NON-CONTACT COOLING WATER ONLY
F ELECTROLYTIC MANGANESE PRODUCTS
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC COOES, NOTING ANY CHANGES
1972/
1977. 1987
SIC SIC
CODE CODE 1987 SIC TITLE
3339
3339
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3351
3351
3351
3353
3353
3353
3353
3354
3354
3354
3354
3355
3355
3355
3355
3355
3355
3356
3356
3356
3356
3356
3356
3356
3356
3356
3356
3357
3357
3357
3357
3357
3357
3357
3363
3364
3364
3365
3366
3369
3398
3399
3339
3339
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3341
3351
3351
3351
3353
3353
3353
3353
3354
3354
3354
3354
3355
3355
3355
3355
3355
3355
3356
3356
3356
3356
3356
3356
3356
3356
3356
3356
3357
3357
3357
3357
3357
3357
3357
3361
3362
3369
3361
3362
3369
3398
3399
PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
PRIMARY SMELT & REFIN OF NONFERROUS METALS NEC
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
SECONDARY SMELT & REFIN OF NONFERROUS METALS
ROLLING, DRAWING & EXTRUDING OF COPPER
ROLLING, DRAWING & EXTRUDING OF COPPER
ROLLING, DRAWING & EXTRUDING OF COPPER
ALUMINUM SHEET, PLATE AND FOIL
ALUMINUM SHEET, PLATE AND FOIL
ALUMINUM SHEET, PLATE AND FOIL
ALUMINUM SHEET, PLATE AND FOIL
ALUMINUM EXTRUDED PRODUCTS
ALUMINUM EXTRUDED PRODUCTS
ALUMINUM EXTRUDED PRODUCTS
ALUMINUM EXTRUDED PRODUCTS
ALUMINUM ROLLING & DRAWING NEC
ALUMINUM ROLLING & DRAWING NEC
ALUMINUM ROLLING & DRAWING NEC
ALUMINUM ROLLING & DRAWING NEC
ALUMINUM ROLLING & DRAWING NEC
ALUMINUM ROLLING & DRAWING NEC
ROLLING, DRAWING & EXTRUDING NONFERROUS METALS
ROLLING, DRAWING & EXTRUDING NONFERROUS METALS
ROLLING, DRAWING & EXTRUDING NONFERROUS METALS
ROLLING, DRAWING & EXTRUDING NONFERROUS METALS
ROLLING, DRAWING & EXTRUDING NONFERROUS METALS
ROLLING, DRAWING & EXTRUDING NONFERROUS METALS
ROLLING, DRAWING & EXTRUDING NONFERROUS METALS
ROLLING, DRAWING & EXTRUDING NONFERROUS METALS
ROLLING, DRAWING & EXTRUDING NONFERROUS METALS
ROLLING, DRAWING & EXTRUDING NONFERROUS METALS
DRAWING & INSULATING OF NONFERROUS WIRE
INSULATING OF NONFERROUS WIRE
INSULATING OF NONFERROUS WIRE
INSULATING OF
DRAWING &
DRAWING &
DRAWING &
DRAWING &
DRAWING &
NONFERROUS WIRE
INSULATING OF NONFERROUS WIRE
INSULATING OF NONFERROUS WIRE
DRAWING & INSULATING OF NONFERROUS WIRE
ALUMINUM FOUNDRIES (CASTING)
BRASS, BRONZE, COPPER, COPPER BASE ALLOY FOUNDRY
NONFERROUS FOUNDRIES (CASTINGS)NEC
ALUMINUM FOUNDRIES (CASTING)
BRASS. BRONZE, COPPER, COPPER BASE ALLOY FOUNDRY
NONFERROUS FOUNDRIES, NEC
METAL HEAT TREATING
PRIMARY METAL PRODUCTS, NEC
CFR
NUMBER
421
421
421
421
421
421
421
421
421
421
421
421
421
421
421
468
468
464
467
467
467
467
467
464
467
467
467
467
471
471
471
471
471
471
471
471
471
433
463
463
467
467
468
464
464
464
464
464
464
433
433
CFR CFR
CODE DESCRIPTION
U PRIMARY MOLYBDENUM & RHENIUM
Y PRIMARY PRECIOUS METALS & MERCURY
C SECONDARY ALUMINUM SMELTING
AB SECONDARY TANTALUM
AE SECONDARY TUNGSTEN & COBALT
L SECONDARY SILVER-PHOTOGRAPH 1C
AF SECONDARY URANIUM
M SECONDARY LEAD
NR SECONDARY BERYLLIUM
T SECONDARY MERCURY
NR SECONDARY BABBITT
X SECONDARY NICKEL
NR SECONDARY BORON
F SECONDARY COPPER
S SECONDARY INDIUM
V SECONDARY MOLYBDENUM & VANADIUM
Z SECONDARY PRECIOUS METALS
L SECONDARY SILVER-NON-PHOTOGRAPHIC
NR SECONDARY COLUMBIUM
NR SECONDARY MAGNESIUM
NR SECONDARY PLUTONIUM
NR SECONDARY TIN
NR SECONDARY TITANIUM
NR SECONDARY ZINC
NR NON-CONTACT COOLING WATER ONLY
NR SECONDARY CADMIUM
A COPPER FORMING
B BERYLLIUM COPPER ALLOY FORMING
NR NON-CONTACT COOLING WATER ONLY
A ALUMINUM CASTING
A ROLLING WITH NEAT OILS
B ROLLING WITH EMULSIONS
NR NON-CONTACT COOLING WATER ONLY
C EXTRUSION
E DRAWING WITH NEAT OILS
F DRAWING WITH EMULSIONS OR SOAPS
NR NON-CONTACT COOLING WATER ONLY
A ALUMINUM CASTING
A ROLLING WITH NEAT OILS
B ROLLING WITH EMULSIONS
E DRAWING WITH NEAT OILS
F DRAWING WITH EMULSIONS OR SOAPS
NR NON-CONTACT COOLING WATER ONLY
A BERYLLIUM FORMING
B LEAD/TIN/BISMUTH FORMING
D NICKEL-COBALT FORMING
E PRECIOUS METALS FORMING
F REFRACTORY METALS FORMING
G TITANIUM FORMING
H URANIUM FORMING
I ZINC FORMING
J ZIRCONIUM/HAFNIUM FORMING
NR NON-CONTACT COOLING WATER ONLY
A METAL FINISHING
A CONTACT COOLING&HEATING WATER(PLASTICS)
B CLEANING & FINISHING WATER (PLASTICS)
E DRAWING WITH NEAT OILS (ALUMINUM)
F DRAWING U/ EMULSIONS OR SOAPS (ALUMINUM)
A COPPER FORMING
NR NON-CONTACT COOLING WATER ONLY
A ALUMINUM CASTING
B COPPER CASTING
B COPPER CASTING
A ALUMINUM CASTING
B COPPER CASTING
D ZINC CASTING
A METAL FINISHING
A METAL FINISHING
F-17
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES. NOTING ANY CHANGES
1972/
1977 .1987
SIC SIC
CODE CODE 1987 SIC TITLE
3399
3399
3411
3412
3412
3412
3421
3421
3423
3423
3423
3425
3429
3429
3431
3432
3432
3432
3432
3432
3432
3432
3433
3433
3441
3442
3442
3443
3444
3446
3448
3449
3449
3449
3451
3451
3452
3452
3462
3462
3463
3463
3463
3463
3463
3463
3463
3463
3463
3463
3463
3463
3463
3463
3465
3465
3466
3466
3469
3471
3479
3479
3479
3479
3479
3479
3482
3482
3399
3399
3411
3412
3412
3412
3421
3421
3423
3423
3555
3425
3429
3429
3431
3079
3079
3079
3079
3432
3432
3432
3433
3433
3441
3442
3442
3443
3444
3446
3448
3444
3449
3469
3451
3451
3452
3452
3462
3462
3463
3463
3463
3463
3463
3463
3463
3463
3463
3463
3463
3463
3463
3463
3465
3465
3466
3466
3469
3471
3479
3479
3479
3479
3479
3479
3482
3482
PRIMARY METAL PRODUCTS, NEC
PRIMARY METAL PRODUCTS. NEC
METAL CANS
METAL BARRELS, DRUMS AND PAILS
METAL BARRELS, DRUMS AND PAILS
METAL BARRELS, DRUMS AND PAILS
CUTLERY
CUTLERY
HAND AND EDGE TOOLS. NEC
HAND AND EDGE TOOLS, NEC
PRINTING TRADES MACHINERY
HAND SAWS AND SAW BLADES
HARDWARE, NEC
HARDWARE, NEC
METAL SANITARY WARE
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
MISCELLANEOUS PLASTIC PRODUCTS
PLUMBING FITTINGS AND BRASS GOODS
PLUMBING FITTINGS AND BRASS GOODS
PLUMBING FITTINGS AND BRASS GOODS
HEATING EQUIPMENT, EXCEPT ELECTRIC
HEATING EQUIPMENT, EXCEPT ELECTRIC
FABRICATED STRUCTURAL METAL
METAL DOORS, SASH, AND TRIM
METAL DOORS, SASH, AND TRIM
FABRICATED PLATE WORK (BOILER SHOPS)
SHEET METAL WORK
ARCHITECTURAL METAL WORK
PREFABRICATED METAL BUILDINGS
SHEET METAL WORK
MISCELLANEOUS METAL WORK
METAL STAMPINGS, NEC
SCREW MACHINE PRODUCTS
SCREW MACHINE PRODUCTS
BOLTS, NUTS, RIVETS AND WASHERS
BOLTS, NUTS. RIVETS AND WASHERS
IRON AND STEEL FORCINGS
IRON AND STEEL FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
NONFERROUS FORCINGS
AUTOMOTIVE STAMPINGS
AUTOMOTIVE STAMPINGS
CROWNS AND CLOSURES
CROWNS AND CLOSURES
METAL STAMPINGS, NEC
PLATING AND POLISHING
METAL COATING AND ALLIED SERVICES
METAL COATING AND ALLIED SERVICES
METAL COATING AND ALLIED SERVICES
METAL COATING AND ALLIED SERVICES
METAL COATING AND ALLIED SERVICES
METAL COATING AND ALLIED SERVICES
SMALL ARMS AMMUNITION
SMALL ARMS AMMUNITION
CFR
NUMBER
471
465
433
433
433
433
433
433
466
463
463
463
433
468
433
433
CFR CFR
CODE DESCRIPTION
433
433
433
433
467
468
471
471
471
471
471
471
471
471
471
471
433
433
433
420
433
465
465
465
433
457
K
NR
D
A
NR
NR
A
NR
A
NR
A
A
A
NR
B
A
B
C
NR
NR
A
A
A
NR
NR
A
NR
NR
NR
NR
NR
NR
NR
NR
A
NR
A
NR
A
NR
A
D
A
A
B
C
D
E
J
G
H
I
F
NR
A
NR
A
NR
NR
A
L
A
NR
A
B
C
A
C
METAL POWDERS
OTHER PRODUCTS
CAN MAKING
METAL FINISHING
DRUM RECYCLING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
CAST IRON BASIS MATERIAL
CONTACT COOLING & HEATING WATER
CLEANING WATER
FINISHING WATER
NON CONTACT COOLING WATER ONLY
NO ELECTROPLATING
METAL FINISHING
COPPER FORMING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
FORGING (ALUMINUM)
COPPER FORMING
BERYLLIUM FORMING
LEAD/TIN/BISMUTH FORMING
MAGNESIUM FORMING
NICKEL-COBALT FORMING
PRECIOUS METALS FORMING
ZIRCONIUM/HAFNIUM FORMING
TITANIUM FORMING
URANIUM FORMING
ZINC FORMING
REFRACTORY METALS FORMING
NON-CONTACT COOLING WATER ONLY
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
HOT COATING
METAL FINISHING
NO ELECTROPLATING/COATING
STEEL BASIS MATERIAL COATING
GALVANIZED BASIS MATERIAL COATING
ALUMINUM BASIS MATERIAL COATING
METAL FINISHING
EXPLOSIVES LOAD, ASSEMBLE & PACK PLANTS
F-13
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
3482
3482
3482
3483
3483
3483
3484
3484
3489
3489
3491
3492
3492
3492
3492
3493
3493
3494
3494
3494
3495
3495
3496
3496
3497
3497
3497
3497
3497
3497
3497
3497
3497
3497
3497
3497
3498
3498
3499
3499
3511
3511
3519
3519
3523
3523
3523
3524
3524
3531
3531
3531
3532
3532
3533
3533
3534
3534
3535
3535
3536
3536
3536
3536
3537
3537
3537
3537
3482
3482
3482
3483
3483
3483
3484
3484
3489
3489
3494
3494
3494
3728
3728
3493
3493
3494
3494
3494
3495
3495
3496
3496
3497
3497
3497
3497
3497
3497
3497
3497
3497
3497
3497
3497
3498
3498
3499
3499
3511
3511
3519
3519
3523
3523
3555
3524
3524
3531
3531
3536
3532
3532
3533
3533
3534
3534
3535
3535
3536
3536
3536
3536
3536
3536
3537
3537
SHALL ARMS AMMUNITION
SMALL ARMS AMMUNITION
SMALL ARMS AMMUNITION
AMMUNITION, EXC. FOR SMALL ARMS, NEC
AMMUNITION, EXC. FOR SMALL ARMS, NEC
AMMUNITION, EXC. FOR SMALL ARMS, NEC
SMALL ARMS
SMALL ARMS
ORDNANCE AND ACCESSORIES, NEC
ORDNANCE AND ACCESSORIES, NEC
VALVES AND PIPE FITTINGS
VALVES AND PIPE FITTINGS
VALVES AND PIPE FITTINGS
AIRCRAFT EQUIPMENT. NEC
AIRCRAFT EQUIPMENT, NEC
STEEL SPRINGS, EXCEPT WIRE
STEEL SPRINGS, EXCEPT WIRE
VALVES AND PIPE FITTINGS
VALVES AND PIPE FITTINGS
VALVES AND PIPE FITTINGS
WIRE SPRINGS
WIRE SPRINGS
MISC. FABRICATED WIRE PRODUCTS
MISC. FABRICATED WIRE PRODUCTS
METAL FOIL AND LEAF
METAL FOIL AND LEAF
METAL FOIL AND LEAF
METAL FOIL AND LEAF
METAL FOIL AND LEAF
METAL FOIL AND LEAF
METAL FOIL AND LEAF
KETAL FOIL AND LEAF
METAL FOIL AND LEAF
METAL FOIL AND LEAF
METAL FOIL AND LEAF
METAL FOIL AND LEAF
FABRICATED PIPE AND FITTINGS
FABRICATED PIPE AND FITTINGS
FABRICATED METAL PRODUCTS, NEC
FABRICATED METAL PRODUCTS, NEC
TURBINES AND TURBINE GENERATOR SETS
TURBINES AND TURBINE GENERATOR SETS
INTERNAL COMBUSTION ENGINES, NEC
INTERNAL COMBUSTION ENGINES, NEC
FARM MACHINERY AND EQUIPMENT
FARM MACHINERY AND EQUIPMENT
PRINTING TRADES MACHINERY
LAWN AND GARDEN EQUIPMENT
LAWN AND GARDEN EQUIPMENT
CONSTRUCTION MACHINERY
CONSTRUCTION MACHINERY
HOISTS, CRANES AND MONORAILS
MINING MACHINERY
MINING MACHINERY
OIL FIELD MACHINERY
OIL FIELD MACHINERY
ELEVATORS AND MOVING STAIRWAYS
ELEVATORS AND MOVING STAIRWAYS
CONVEYORS AND CONVEYING EQUIPMENT
CONVEYORS AND CONVEYING EQUIPMENT
HOISTS, CRANES AND MONORAILS
HOISTS. CRANES AND MONORAILS
HOISTS, CRANES AND MONORAILS
HOISTS. CRANES AND MONORAILS
HOISTS, CRANES AND MONORAILS
HOISTS, CRANES AND MONORAILS
INDUSTRIAL TRUCKS AND TRACTORS
INDUSTRIAL TRUCKS AND TRACTORS
CFR
NUMBER
463
463
433
457
433
433
433
433
433
433
433
433
433
468
471
465
471
471
471
471
471
471
471
471
471
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
CFR CFR
CODE DESCRIPTION
NR
A
B
A
C
NR
A
NR
A
NR
A
A
NR
A
NR
A
NR
A
NR
NR
A
NR
A
NR
A
E
C
B
C
D
A
F
G
H
1
J
A
NR
A
NR
A
NR
A
NR
A
NR
NR
A
NR
A
NR
NR
A
NR
A
NR
A
NR
A
NR
A
A
NR
NR
NR
A
A
NR
NO ELECTROPLATING/EXPLOSIVES
CONTACT COOLING&HEAT1NG WATER(PLASTICS)
CLEANING WATER (PLASTICS)
METAL FINISHING
EXPLOSIVES LOAD, ASSEMBLE & PACK PLANTS
NO ELECTROPLATING/EXPLOSIVES
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
COPPER FORMING
PRECIOUS METALS FORMING
ALUMINUM BASIS MATERIAL COATING
LEAD/TIN/BISMUTH FORMING
MAGNESIUM FORMING
NICKEL-COBALT FORMING
BERYLLIUM FORMING
REFRACTORY METALS FORMING
TITANIUM FORMING
URANIUM FORMING
ZINC FORMING
ZIRCONIUM/HAFNIUM FORMING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
F-19
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AMD 1972 SIC CODES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
3541
3541
3542
3542
3543
3543
3544
3544
3545
3545
3546
3546
3547
3547
3548
3548
3548
3548
3549
3549
3552
3552
3553
3553
3554
3554
3555
3555
3559
3559
3559
3559
3559
3559
3561
3561
3562
3562
3563
3563
3564
3564
3565
3565
3565
3566
3566
3567
3567
3567
3567
3568
3568
3569
3569
3571
3571
3572
3572
3575
3575
3575
3577
3577
3578
3578
3579
3579
3541
3541
3542
3542
3565
3565
3544
3544
3545
3545
3546
3546
3547
3547
3549
3549
3623
3623
3549
3549
3552
3552
3553
3553
3554
3554
3555
3555
3549
3549
3559
3559
3636
3636
3561
3561
3562
3562
3563
3563
3564
3564
3551
3569
3569
3566
3566
3433
3433
3567
3567
3568
3568
3569
3569
3573
3573
3573
3573
3573
3573
3661
3573
3573
3574
3574
3572
3572
MACHINE TOOLS. METAL CUTTING TYPES
MACHINE TOOLS. METAL CUTTING TYPES
MACHINE TOOLS. METAL FORMING TYPES
MACHINE TOOLS. METAL FORMING TYPES
INDUSTRIAL PATTERNS
INDUSTRIAL PATTERNS
SPECIAL DIES. TOOLS, JIGS & FIXTURES
SPECIAL DIES, TOOLS. JIGS & FIXTURES
MACHINE TOOL ACCESSORIES
MACHINE TOOL ACCESSORIES
POWER DRIVEN HAND TOOLS
POWER DRIVEN HAND TOOLS
ROLLING MILL MACHINERY
ROLLING MILL MACHINERY
METALWORKING MACHINERY, NEC
METALWORKING MACHINERY, NEC
WELDING APPARATUS, ELECTRIC
WELDING APPARATUS
METALWORKING MACHINERY, NEC
METALWORKING MACHINERY, NEC
TEXTILE MACHINERY
TEXTILE MACHINERY
WOODWORKING MACHINERY
WOODWORKING MACHINERY
PAPER INDUSTRIES MACHINERY
PAPER INDUSTRIES MACHINERY
PRINTING TRADES MACHINERY
PRINTING TRADES MACHINERY
METALWORKING MACHINERY, NEC
METALWORKING MACHINERY, NEC
SPECIAL INDUSTRY MACHINERY, NEC
SPECIAL INDUSTRY MACHINERY, NEC
SEWING MACHINES
SEWING MACHINES
PUMPS AND PUMPING EQUIPMENT
PUMPS AND PUMPING EQUIPMENT
BALL AND ROLLER BEARINGS
BALL AND ROLLER BEARINGS
AIR AND GAS COMPRESSORS
AIR AND GAS COMPRESSORS
BLOWER AND FANS
BLOWER AND FANS
FOOD PRODUCTS MACHINERY
GENERAL INDUSTRIAL MACHINERY, NEC
GENERAL INDUSTRIAL MACHINERY, NEC
SPEED CHANGERS, DRIVES AND GEARS
SPEED CHANGERS. DRIVES AND GEARS
HEATING EQUIPMENT. EXCEPT ELECTRIC
HEATING EQUIPMENT, EXCEPT ELECTRIC
INDUSTRIAL FURNACES AND OVENS
INDUSTRIAL FURNACES AND OVENS
POWER TRANSMISSION EQUIPMENT. NEC
POWER TRANSMISSION EQUIPMENT, NEC
GENERAL INDUSTRIAL MACHINERY, NEC
GENERAL INDUSTRIAL MACHINERY, NEC
ELECTRONIC COMPUTING EQUIPMENT
ELECTRONIC COMPUTING EQUIPMENT
ELECTRONIC COMPUTING EQUIPMENT
ELECTRONIC COMPUTING EQUIPMENT
ELECTRONIC COMPUTING EQUIPMENT
ELECTRONIC COMPUTING EQUIPMENT
TELEPHONE AND TELEGRAPH APPARATUS
ELECTRONIC COMPUTING EQUIPMENT
ELECTRONIC COMPUTING EQUIPMENT
CALCULATING AND ACCOUNTING MACHINES
CALCULATING AND ACCOUNTING MACHINES
TYPEWRITERS
TYPEWRITERS
CFR
NUMBER
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
CFR
CODE
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
NR
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
NR
A
NR
A
NR
A
NR
A
NR
CFR
DESCRIPTION
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
F-20
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES, NOTING ANY CHANGES
1972/
1977. 1987
SIC SIC
CODE CODE 1987 SIC TITLE
3579
3579
3581
3581
3582
3582
3585
3585
3585
3586
3586
3589
3589
3592
3592
3593
3593
3593
3593
3594
3594
3594
3594
3594
3594
3594
3594
3596
3596
3599
3599
3612
3612
3612
3613
3613
3621
3621
3624
3625
3625
3625
3625
3625
3629
3629
3629
3631
3631
3631
3631
3632
3632
3632
3633
3633
3633
3634
3634
3635
3635
3639
3639
3639
3639
3641
3641
3641
3579
3579
3581
3581
3582
3582
3585
3585
3699
3586
3586
3589
3589
3592
3592
3599
3599
3728
3728
3561
3561
3566
3566
3569
3569
3728
3728
3576
3576
3599
3599
3612
3612
3612
3613
3613
3621
3621
3624
3613
3613
3622
3622
3679
3629
3629
3629
3631
3631
3631
3631
3632
3632
3632
3633
3633
3633
3634
3634
3635
3635
3636
3636
3639
3639
3641
3641
3699
OFFICE MACHINES, NEC
OFFICE MACHINES, NEC
AUTOMATIC MERCHANDISING MACHINES
AUTOMATIC MERCHANDISING MACHINES
COMMERCIAL LAUNDRY EQUIPMENT
COMMERCIAL LAUNDRY EQUIPMENT
REFRIGERATION AND HEATING EQUIPMENT
REFRIGERATION AND HEATING EQUIPMENT
ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES, NEC
MEASURING AND DISPENSING PUMPS
MEASURING AND DISPENSING PUMPS
SERVICE INDUSTRY MACHINERY, NEC
SERVICE INDUSTRY MACHINERY, NEC
CARBURETORS, PISTONS, RINGS, VALVES
CARBURETORS, PISTONS, RINGS, VALVES
MACHINERY. EXCEPT ELECTRICAL, NEC
MACHINERY, EXCEPT ELECTRICAL
AIRCRAFT EQUIPMENT, NEC
AIRCRAFT EQUIPMENT, NEC
PUMPS AND PUMPING EQUIPMENT
PUMPS AND PUMPING EQUIPMENT
SPEED CHANGERS, DRIVES AND GEARS
SPEED CHANGERS, DRIVES AND GEARS
GENERAL INDUSTRIAL MACHINERY, NEC
GENERAL INDUSTRIAL MACHINERY, NEC
AIRCRAFT EQUIPMENT, NEC
AIRCRAFT EQUIPMENT, NEC
SCALES AND BALANCES, EXC. LABORATORY
SCALES AND BALANCES, EXC. LABORATORY
MACHINERY, EXCEPT ELECTRICAL
MACHINERY, EXCEPT ELECTRICAL
TRANSFORMERS
TRANSFORMERS
TRANSFORMERS
SUITCHGEAR AND SWITCHBOARD APPARATUS
SUITCHGEAR AND SWITCHBOARD APPARATUS
MOTORS AND GENERATORS
MOTORS AND GENERATORS
CARBON AND GRAPHITE PRODUCTS
SUITCHGEAR AND SWITCHBOARD APPARATUS
SWITCHGEAR AND SWITCHBOARD APPARATUS
RELAYS AND INDUSTRIAL CONTROLS
RELAYS AND INDUSTRIAL CONTROLS
ELECTRONIC COMPONENTS, NEC
ELECTRICAL INDUSTRIAL APPARATUS, NEC
ELECTRICAL INDUSTRIAL APPARATUS, NEC
ELECTRICAL INDUSTRIAL APPARATUS, NEC
HOUSEHOLD COOKING EQUIPMENT
HOUSEHOLD COOKING EQUIPMENT
HOUSEHOLD COOKING EQUIPMENT
HOUSEHOLD COOKING EQUIPMENT
HOUSEHOLD REFRIGERATORS AND FREEZERS
HOUSEHOLD REFRIGERATORS AND FREEZERS
HOUSEHOLD REFRIGERATORS AND FREEZERS
HOUSEHOLD LAUNDRY EQUIPMENT
HOUSEHOLD LAUNDRY EQUIPMENT
HOUSEHOLD LAUNDRY EQUIPMENT
ELECTRIC HOUSEWARES AND FANS
ELECTRIC HOUSEWARES AND FANS
HOUSEHOLD VACUUM CLEANERS
HOUSEHOLD VACUUM CLEANERS
SEWING MACHINES
SEWING MACHINES
HOUSEHOLD APPLIANCES, NEC
HOUSEHOLD APPLIANCES, NEC
ELECTRIC LAMPS
ELECTRIC LAMPS
ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES, NEC
CFR
NUMBER
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
466
466
433
466
433
466
433
433
433
433
466
433
469
433
CFR CFR
CODE DESCRIPTION
A
NR
A
NR
A
NR
A
NR
A
A
NR
A
NR
A
NR
A
NR
NR
A
NR
A
A
NR
A
NR
NR
A
A
NR
NR
A
A
NR
NR
NR
A
A
NR
NR
A
NR
A
NR
NR
A
NR
NR
A
NR
A
C
A
NR
A
A
NR
A
A
NR
A
NR
A
NR
A
A
A
D
A
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
DRY TRANSFORMERS
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
CARBON & GRAPHITE PRODUCTS
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
FUEL CELLS
METAL FINISHING
NO ELECTROPLATING/PORCELAIN
STEEL BASIS MATERIAL (PORCELAIN)
ALUMINUM BASIS MATERIAL (PORCELAIN)
METAL FINISHING
NO ELECTROPLATING (PORCELAIN)
STEEL BASIS MATERIAL (PORCELAIN)
METAL FINISHING
NO ELECTROPLATING/PORCELAIN
STEEL BASIS MATERIAL (PORCELAIN)
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
STEEL BASIS MATERIAL (PORCELAIN)
METAL FINISHING
LUMINESCENT MATERIALS
METAL FINISHING
F-21
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC COOES, NOTING ANY CHANGES
1972/
1977
SIC
CODE
3643
3643
3643
3644
3644
3645
3645
3646
3646
3647
3647
3648
3648
3651
3651
3652
3661
3663
3669
3671
3671
3672
3674
3675
3676
3676
3677
3677
3678
3678
3679
3679
3691
3691
3691
3691
3691
3691
3691
3691
3691
3691
3692
3692
3692
3692
3692
3692
3692
3692
3692
3694
3694
3695
3695
3695
3699
3699
3711
3711
3713
3713
3714
3714
3715
3715
3721
3721
.1987
SIC
CODE
3643
3643
3643
3644
3644
3645
3645
3646
3646
3647
3647
3648
3648
3651
3651
3652
3661
3662
3662
3672
3679
3679
3674
3675
3676
3676
3677
3677
3678
3678
3679
3679
3691
3691
3691
3691
3691
3691
3691
3691
3691
3691
3692
3692
3692
3692
3692
3692
3692
3692
3692
3694
3694
3573
3573
3679
3662
3699
3711
3711
3713
3713
3714
3714
3715
3715
3721
3721
1987 SIC TITLE
CURRENT-CARRYING WIRING DEVICES
CURRENT-CARRYING WIRING DEVICES
CURRENT -CARRY ING WIRING DEVICES
NONCURRENT-CARRYING WIRING DEVICES
NONCURRENT- CARRY ING WIRING DEVICES
RESIDENTIAL LIGHTING FIXTURES
RESIDENTIAL LIGHTING FIXTURES
COMMERCIAL LIGHTING FIXTURES
COMMERCIAL LIGHTING FIXTURES
VEHICULAR LIGHTING EQUIPMENT
VEHICULAR LIGHTING EQUIPMENT
LIGHTING EQUIPMENT, NEC
LIGHTING EQUIPMENT, NEC
RADIO AND TV RECEIVING SETS
RADIO AND TV RECEIVING SETS
PHONOGRAPH RECORDS
TELEPHONE AND TELEGRAPH APPARATUS
RADIO AND TV COMMUNICATION EQUIPMENT
RADIO AND TV COMMUNICATION EQUIPMENT
ELECTRON TUBES
ELECTRONIC COMPONENTS, NEC
ELECTRONIC COMPONENTS, NEC
SEMICONDUCTORS AND RELATED DEVICES
ELECTRONIC CAPACITORS
RESISTORS FOR ELECTRONIC APPLICATIONS
RESISTORS FOR ELECTRONIC APPLICATIONS
ELECTRONIC COILS, TRANSFORMERS & OTHER INDUCTORS
ELECTRONIC COILS, TRANSFORMERS & OTHER INDUCTORS
CONNECTORS FOR ELECTRONIC APPLICATIONS
CONNECTORS FOR ELECTRONIC APPLICATIONS
ELECTRONIC COMPONENTS, NEC
ELECTRONIC COMPONENTS, NEC
STORAGE BATTERIES
STORAGE BATTERIES
STORAGE BATTERIES
STORAGE BATTERIES
STORAGE BATTERIES
STORAGE BATTERIES
STORAGE BATTERIES
STORAGE BATTERIES
STORAGE BATTERIES
STORAGE BATTERIES
PRIMARY BATTERIES, DRY & WET
PRIMARY BATTERIES. DRY & WET
PRIMARY BATTERIES. DRY & WET
PRIMARY BATTERIES. DRY & WET
PRIMARY BATTERIES, DRY & WET
PRIMARY BATTERIES. DRY & WET
PRIMARY BATTERIES, DRY & WET
PRIMARY BATTERIES, DRY & WET
PRIMARY BATTERIES, DRY & WET
ELECTRICAL EQUIP FOR INTERNAL COMBUSTION ENGINES
ELECTRICAL EQUIP FOR INTERNAL COMBUSTION ENGINES
ELECTRONIC COMPUTING EQUIPMENT
ELECTRONIC COMPUTING EQUIPMENT
ELECTRONIC COMPONENTS, NEC
RADIO AND TV COMMUNICATION EQUIPMENT
ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES, NEC
MOTOR VEHICLES & PASSENGER CAR BODIES
MOTOR VEHICLES & PASSENGER CAR BODIES
TRUCK & BUS BODIES
TRUCK & BUS BODIES
MOTOR VEHICLE PARTS & ACCESSORIES
MOTOR VEHICLE PARTS & ACCESSORIES
TRUCK TRAILERS
TRUCK TRAILERS
AIRCRAFT
AIRCRAFT
CFR
NUMBER
433
433
433
433
433
433
433
469
413
469
433
433
433
433
469
461
461
461
461
461
461
461
461
461
461
461
461
461
461
461
461
461
461
461
433
433
433
433
433
433
433
433
CFR
CODE
A
NR
NR
A
NR
A
NR
A
NR
A
NR
A
NR
A
NR
NR
NR
NR
NR
C
NR
H
A
A
A
NR
A
NR
A
NR
B
NR
A
B
C
D
E
0
G
0
0
F
A
B
C
E
F
0
0
0
G
A
NR
A
NR
NR
NR
A
A
NR
A
NR
NR
A
A
NR
A
NR
CFR
DESCRIPTION
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
CATHODE RAY TUBE
PRINTED CIRCUIT BOARDS
SEMI-CONDUCTORS
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
DRY TRANSFORMERS
METAL FINISHING
NO ELECTROPLATING
ELECTRONIC CRYSTALS
CADMIUM BATTERIES
CALCIUM BATTERIES
LEAD BATTERIES
LECLANCHE BATTERIES
LITHIUM BATTERIES
MERCURY (WESTON) CELLS
ZINC BATTERIES
MERCURY (RUBEN) BATTERIES
LEAD ACID RESERVE BATTERIES
MAGNESIUM BATTERIES
CADMIUM BATTERIES
CALCIUM BATTERIES
LEAD BATTERIES
LITHIUM BATTERIES
MAGNESIUM BATTERIES
MERCURY (RUBEN) BATTERIES
MERCURY (WESTON) CELLS
LEAD ACID RESERVE BATTERIES
ZINC BATTERIES
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
F-22
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
3724
3724
3728
3728
3731
3732
3732
3743
3743
3751
3751
3761
3761
3764
3764
3769
3769
3792
3792
3795
3795
3799
3799
3812
3812
3812
3821
3821
3822
3822
3823
3823
3824
3824
3825
3825
3826
3826
3826
3826
3826
3827
3827
3827
3827
3829
3829
3829
3829
3829
3829
3829
3841
3841
3842
3842
3843
3843
3844
3845
3851
3851
3861
3861
3861
3873
3873
3911
3724
3724
3728
3728
3731
3732
3732
3743
3743
3751
3751
3761
3761
3764
3764
3769
3769
3792
3792
3795
3795
3799
3799
3662
3811
3811
3811
3811
3822
3822
3823
3823
3824
3824
3825
3825
3811
3811
3811
3832
3832
3811
3811
3832
3832
3662
3811
3811
3829
3829
3832
3832
3841
3841
3842
3842
3843
3843
3693
3693
3851
3851
3861
3861
3861
3873
3873
3911
AIRCRAFT ENGINES & ENGINE PARTS
AIRCRAFT ENGINES & ENGINE PARTS
AIRCRAFT EQUIPMENT, NEC
AIRCRAFT EQUIPMENT, NEC
SHIP BUILDING AND REPAIRING
BOAT BUILDING AND REPAIRING
BOAT BUILDING AND REPAIRING
RAILROAD EQUIPMENT
RAILROAD EQUIPMENT
MOTORCYCLES, BICYCLES AND PARTS
MOTORCYCLES, BICYCLES AND PARTS
GUIDED MISSILES AND SPACE VEHICLES
GUIDED MISSILES AND SPACE VEHICLES
SPACE PROPULSION UNITS AND PARTS
SPACE PROPULSION UNITS AND PARTS
SPACE VEHICLE EQUIPMENT, NEC
SPACE VEHICLE EQUIPMENT, NEC
TRAVEL TRAILERS AND CAMPERS
TRAVEL TRAILERS AND CAMPERS
TANKS AND TANK COMPONENTS
TANKS AND TANK COMPONENTS
TRANSPORTATION EQUIPMENT, NEC
TRANSPORTATION EQUIPMENT, NEC
RADIO AND TV COMMUNICATION EQUIPMENT
ENGINEERING AND SCIENTIFIC INSTRUMENTS
ENGINEERING AND SCIENTIFIC INSTRUMENTS
ENGINEERING AND SCIENTIFIC INSTRUMENTS
ENGINEERING AND SCIENTIFIC INSTRUMENTS
ENVIRONMENTAL CONTROLS
ENVIRONMENTAL CONTROLS
PROCESS CONTROL INSTRUMENTS
PROCESS CONTROL INSTRUMENTS
FLUID METERS AND COUNTING DEVICES
FLUID METERS AND COUNTING DEVICES
INSTRUMENTS TO MEASURE ELECTRICITY
INSTRUMENTS TO MEASURE ELECTRICITY
ENGINEERING AND SCIENTIFIC INSTRUMENTS
ENGINEERING AND SCIENTIFIC INSTRUMENTS
ENGINEERING AND SCIENTIFIC INSTRUMENTS
OPTICAL INSTRUMENTS AND LENSES
OPTICAL INSTRUMENTS AND LENSES
ENGINEERING AND SCIENTIFIC INSTRUMENTS
ENGINEERING AND SCIENTIFIC INSTRUMENTS
OPTICAL INSTRUMENTS AND LENSES
OPTICAL INSTRUMENTS AND LENSES
RADIO AND TV COMMUNICATION EQUIPMENT
ENGINEERING AND SCIENTIFIC INSTRUMENTS
ENGINEERING AND SCIENTIFIC INSTRUMENTS
MEASURING & CONTROLLING DEVICES, NEC
MEASURING & CONTROLLING DEVICES, NEC
OPTICAL INSTRUMENTS AND LENSES
OPTICAL INSTRUMENTS AND LENSES
SURGICAL AND MEDICAL INSTRUMENTS
SURGICAL AND MEDICAL INSTRUMENTS
SURGICAL APPLIANCES AND SUPPLIES
SURGICAL APPLIANCES AND SUPPLIES
DENTAL EQUIPMENT AND SUPPLIES
DENTAL EQUIPMENT AND SUPPLIES
X-RAY APPARATUS AND TUBES
ELECTROMEDICAL EQUIPMENT
OPHTHALMIC GOODS
OPHTHALMIC GOODS
PHOTOGRAPHIC EQUIPMENT AND SUPPLIES
PHOTOGRAPHIC EQUIPMENT AND SUPPLIES
PHOTOGRAPHIC EQUIPMENT AND SUPPLIES
WATCHES, CLOCKS AND UATCHCASES
WATCHES, CLOCKS AND WATCHCASES
JEWELRY, PRECIOUS METAL
CFR
NUMBER
433
433
470
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
433
469
469
433
459
459
459
433
433
CFR CFR
CODE DESCRIPTION
A
NR
NR
A
1
NR
A
A
NR
A
NR
A
NR
'A
NR
A
NR
A
NR
A
NR
A
NR
NR
A
NR
NR
A
A
NR
A
NR
A
NR
A
NR
A
NR
A
A
NR
NR
A
A
NR
NR
A
NR
A
NR
A
NR
NR
A
NR
A
NR
A
C
C
NR
A
3
4
5
A
NR
A
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
SHIP BUILDING & REPAIRING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
ELECTRON TUBES
ELECTRON TUBES
NO ELECTROPLATING
METAL FINISHING
DIAZO, SOLVENT PROCESS
PHOTOGRAPHIC EQUIPMENT & SUPPLIES
THERMAL, SOLVENT PROCESS
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
F-23
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
3911 3911 JEWELRY, PRECIOUS METAL
39U 3914 SILVERWARE AND PLATED WARE
3914 3914 SILVERWARE AND PLATED WARE
3915 3915 JEWELERS' MATERIALS & LAPIDARY WORK
3915 3915 JEWELERS' MATERIALS & LAPIDARY WORK
3931 3931 MUSICAL INSTRUMENTS
3931 3931 MUSICAL INSTRUMENTS
3942 3942 DOLLS
3944 3944 GAMES, TOYS AND CHILDREN'S VEHICLES
3944 3944 GAMES, TOYS AND CHILDREN'S VEHICLES
3949 3949 SPORTING AND ATHLETIC GOODS. NEC
3949 3949 SPORTING AND ATHLETIC GOODS, NEC
3949 3949 SPORTING AND ATHLETIC GOODS. NEC
3951 3951 PENS AND MECHANICAL PENCILS
3951 3951 PENS AND MECHANICAL PENCILS
3952 3952 LEAD PENCILS AND ART GOODS
3953 3953 MARKING DEVICES
3955 3955 CARBON PAPER AND INKED RIBBONS
3961 3961 COSTUME JEWELRY
3961 3961 COSTUME JEWELRY
3965 3964 NEEDLES, PINS AND FASTENERS
3965 3964 NEEDLES, PINS AND FASTENERS
3991 3991 BROOMS AND BRUSHES
3991 3991 BROOMS AND BRUSHES
3993 3993 SIGNS AND ADVERTISING DISPLAYS
3993 3993 SIGNS AND ADVERTISING DISPLAYS
3993 3993 SIGNS AND ADVERTISING DISPLAYS
3995 3995 BURIAL CASKETS
3995 3995 BURIAL CASKETS
3996 3996 HARD SURFACE FLOOR COVERINGS
3996 3996 HARD SURFACE FLOOR COVERINGS
3999 3962 ARTIFICIAL FLOWERS
3999 3999 MANUFACTURING INDUSTRIES, NEC
3999 3999 MANUFACTURING INDUSTRIES, NEC
4173 4172 BUS TERMINAL AND SERVICE FACILITIES
4226 4226 SPECIAL WAREHOUSING & STORAGE, NEC
4231 4231 TRUCKING TERMINAL FACILITIES
4493 4469 WATER TRANSPORTATION SERVICES, NEC
4499 4469 WATER TRANSPROTATION SERVICES. NEC
4612 4612 CRUDE PETROLEUM PIPELINES
4911 4911 ELECTRICAL SERVICES
4911 4911 ELECTRICAL SERVICES
4931 4931 ELECTRIC AND OTHER SERVICES COMBINED
4931 4931 ELECTRIC AND OTHER SERVICES COMBINED
4941 4941 WATER SUPPLY
4952 4952 SEWERAGE SYSTEMS
4953 4953 REFUSE SYSTEMS
4953 4953 REFUSE SYSTEMS
4959 4469 WATER TRANSPORTATION SERVICES, NEC
4959 4959 SANITARY SERVICES, NEC
4961 4961 STEAM SUPPLY
5052 5052 COAL & OTHER MINERALS & ORES
5093 5093 SCRAP & WASTE MATERIALS
5143 5143 DAIRY PRODUCTS
5169 5161 CHEMICALS AND ALLIED PRODUCTS
5171 5171 PETROLEUM BULK STATIONS & TERMINALS
5191 5191 FARM SUPPLIES
5421 5423 MEAT AND FISH (SEAFOOD) MARKETS
5421 5423 MEAT AND FISH (SEAFOOD) MARKETS
5421 5423 MEAT AND FISH (SEAFOOD) MARKETS
5421 5423 MEAT AND FISH (SEAFOOD) MARKETS
7211 7211 POWER LAUNDRIES, FAMILY AND COMMERCIAL
7213 7213 LINEN SUPPLY
7215 7215 COIN-OPERATED LAUNDRIES & DRY CLEANING
7216 7216 DRY CLEANING PLANTS, EXCEPT RUG CLEANING
7217 7217 CARPET & UPHOLSTERY CLEANING
7218 7218 INDUSTRIAL LAUNDERERS
7219 7214 DIAPER SERVICE
CFR
NUMBER
471
433
433
433
433
433
433
433
433
433
433
433
433
443
433
CFR
CODE
D
A
NR
A
NR
NR
A
NR
A
NR
A
NR
A
NR
A
NR
NR
NR
NR
A
A
NR
A
NR
A
NR
NR
NR
A
NR
D
NR
A
NR
NR
NR
CFR
DESCRIPTION
PRECIOUS METAL FORMING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
METAL FINISHING
NO ELECTROPLATING
NO ELECTROPLATING
METAL FINISHING
LINOLEUM & PRINTED ASPHALT FELT
METAL FINISHING
423
423
423
423
405
432
432
432
444
444
444
444
444
444
444
NR
A
A
A
A
E
F
G
NR
3
9
1
2
4
8
5
HYDRO ELECTRIC PUR GEN.(U/ SAN. WST.)
STEAM ELECTRIC POWER GENERATING
HYDRO ELECTRIC PWR. GEN. (W/ SAN. UST.)
STEAM ELECTRIC POWER GENERATING
SOLID WASTE FACILITIES
HAZARDOUS WASTE TREATMENT FACILITIES
RECEIVING STATIONS
SMALL PROCESSOR
MEAT CUTTER
SAUSAGE AND LUNCHEON MEATS PROCESSOR
OTHER MARKETS WITHOUT PROCESSING
POWER LAUNDRIES
LINEN SUPPLY
COIN-OPERATED LAUNDRIES
DRY CLEANING PLANTS
CARPET & UPHOLSTERY CLEANING
INDUSTRIAL LAUNDRY
DIAPER SERVICE
F-24
-------
APPENDIX F -
SIC CODE TABLE CROSS-REFERENCE OF
1987 AND 1972 SIC CODES, NOTING ANY CHANGES
1972/
1977 1987
SIC SIC
CODE CODE 1987 SIC TITLE
LAUNDRY, GARMENT SERVICES, NEC
DISINFECTING & EXTERMINATING SERV.
PHOTOFINISH1NG LABORATORIES
CAR WASHES
REPAIR SHOPS, NEC
REPAIR SHOPS. NEC
SERV. ALLIED TO MOTION PICTURE PROD.
GEN. MEDICAL/SURGICAL HOSPITALS
SPECIALTY HOSPITALS
MEDICAL LABORATORIES
RESEARCH & DEVELOPMENT LABORATORIES
NONCOMMERCIAL RESEARCH ORGANIZATIONS
COMMERCIAL TESTING LABORATORIES
CFR
. NUMBER
444
459
444
433
459
CFR CFR
CODE DESCRIPTION
A
7
A
NR
A
NR
LAUNDRY, GARMENT SERVICES NEC
PHOTOGRAPHIC PROCESSING
CAR WASH
METAL FINISHING
NO ELECTROPLATING
PHOTOGRAPHIC PROCESSING
F-25
------- |