EPA MODEL
PRETREATMENT ORDINANCE
£
Office of Wastewater Management/
Permits Division
January 2007
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW
Washington, DC 20460
EPA 833-B-06-002
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Ordinance Key
Required Pretreatment Streamlining Rule changes are designated as a Required Streamlining Rule
Change in 10 point font bold italics.
[Informational notes are in brackets in 10 point bold font]
Optional requirements (not-required by 40 CFR Part 403) are labeled: "{optional}" in 10 point bold font.
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EPA MODEL PRETREATMENT ORDINANCE
INTRODUCTION
The United States Environmental Protection Agency (EPA), Office of Wastewater
Management, Water Permits Division has prepared this Model Pretreatment Ordinance. It is for
use by municipalities operating Publicly Owned Treatment Works (POTWs) that are required to
develop pretreatment programs to regulate industrial discharges to their systems. The model
ordinance should also be useful for communities with POTWs that are not required io implement
a pretreatment program in drafting local ordinances to control nondomestic dischargers within
their jurisdictions.
A municipality should not adopt the model ordinance verbatim. Instead, the model
ordinance should be used as a guide for adopting new or revised provisions of local law to
implement and enforce a pretreatment program that fulfills requirements set out in the Code of
Federal Regulations (CFR). The municipality must consider conditions at its POTW and consult
State law to determine what adjustments might need to be made to the model ordinance and what
provisions are authorized under State law. Many provisions in the model ordinance contain
blanks or brackets; these indicate that the provision must be adapted to the POTW's
circumstances. Also, bracketed notes in bold, 10 point print are provided for certain provisions,
explaining issues the municipality must consider when crafting local provisions.
Some provisions in the model ordinance are not strictly required by the General
Pretreatment Regulations (40 CFR Part 403); however, they have been included because they
may be useful in ensuring that the municipality has adequate legal authority to effectively
implement its local pretreatment program. In addition, the model ordinance includes additional,
other provisions that, while included in the "Pretreatment Streamlining Rule (October 14, 2005,
70 FR 60134) are not required elements of a local pretreatment program. These provisions are
designated as optional, and are indicated as such in the ordinance by "{optional}". Furthermore,
POTWs considering adopting the non-required provisions of the Pretreatment Streamlining Rule
should verify with their Approval Authority to determine whether these optional items are
available for implementation. Where a municipality either must adopt a provision similar to the
one in the model ordinance or develop its own means of accomplishing that section's objective,
the section is preceded by a bracketed note explaining the municipality's options. Other
provisions, such as the model ordinance's statement of purpose and effective date, are necessary
only to the extent that they are typical of any local ordinance.
POTWs should be aware that any change to their pretreatment ordinance is considered a
modification to their approved pretreatment program. All modifications to a POTW's approved
pretreatment program must be submitted to the Approval Authority in accordance with 40 CFR
403.18. It is EPA's expectation that States will review POTW ordinances to ensure that the
ordinances are consistent with State law. POTWs should request this review from their States.
EPA Regions and representatives of various States and municipalities provided valuable
comments in helping to prepare this document.
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This EPA Model Pretreatment Ordinance also is available on EPA's Web site at
http://www.epa.gov/npdes/pretreatment in Microsoft WORD7® format.
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EPA Model Pretreatment Ordinance
TABLE OF CONTENTS
Page
SECTION 1—GENERAL PROVISIONS 1
1.1 Purpose and Policy 1
1.2 Administration 2
1.3 Abbreviations 2
1.4 Definitions 2
SECTION 2—GENERAL SEWER USE REQUIREMENTS 9
2.1 Prohibited Discharge Standards 9
2.2 National Categorical Pretreatment Standards 11
2.3 State Pretreatment Standards 14
2.4 Local Limits 14
2.5 [City's] Right of Revision 16
2.6 Dilution 16
SECTION 3—PRETREATMENT OF WASTEWATER 16
3.1 Pretreatment Facilities 16
3.2 Additional Pretreatment Measures 16
3.3 Accidental Discharge/Slug Discharge Control Plans 17
3.4 Hauled Wastewater 17
SECTION 4—INDIVIDUAL WASTEWATER DISCHARGE PERMITS [and GENERAL
PERMITS {optional}] 18
4.1 Wastewater Analy sis 18
4.2 Individual Wastewater Discharge Permit [and General Permit {optional}]
Requirement 18
4.3 Individual Wastewater Discharge [and General {optional}] Permitting: Existing
Connections 19
4.4 Individual Wastewater Discharge [and General {optional}] Permitting: New
Connections 19
4.5 Individual Wastewater Discharge [and General {optional}] Permit Application
Contents 19
4.6 Wastewater Discharge Permitting: General Permits 21
4.7 Application Signatories and Certifications 22
4.8 Individual Wastewater Discharge [and General {optional}] Permit Decisions 22
SECTION 5—INDIVIDUAL WASTEWATER DISCHARGE [AND GENERAL {optional}]
PERMIT ISSUANCE 23
5.1 Individual Wastewater Discharge [and General {optional}] Permit Duration 23
5.2 Individual Wastewater Discharge Permit [and General Permit {optional}] Contents 23
5.3 Permit Issuance Process {optional} 25
5.4 Permit Modification 25
5.5 Individual Wastewater Discharge Permit [and General Permit {optional}] Transfer 27
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5.6 Individual Wastewater Discharge Permit [and General Permit {optional}]
Revocation 27
5.7 Individual Wastewater Discharge Permit [and General Permit {optional}]
Reissuance 28
5.8 Regulation of Waste Received from Other Jurisdictions 28
SECTION 6—REPORTING REQUIREMENTS 30
6.1 Baseline Monitoring Reports 30
6.2 Compliance Schedule Progress Reports 31
6.3 Reports on Compliance with Categorical Pretreatment Standard Deadline 32
6.4 Periodic Compliance Reports 32
6.5 Reports of Changed Conditions 35
6.6 Reports of Potential Problems 35
6.7 Reports from Unpermitted Users 36
6.8 Notice of Violation/Repeat Sampling and Reporting 36
6.9 Notification of the Discharge of Hazardous Waste 36
6.10 Analytical Requirements 37
6.11 Sample Collection 37
6.12 Date of Receipt of Reports 38
6.13 Recordkeeping 38
6.14 Certification Statements 39
SECTION 7—COMPLIANCE MONITORING 41
7.1 Right of Entry: Inspection and Sampling 41
SECTION 8—CONFIDENTIAL INFORMATION 42
SECTION 9—PUBLICATION OF USERS IN SIGNIFICANT NONCOMPLIANCE 42
SECTION 10—ADMINISTRATIVE ENFORCEMENT REMEDIES 43
10.1 Notifi cati on of Vi ol ati on 44
10.2 Consent Orders 44
10.3 Show Cause Hearing 44
10.4 Compliance Orders 44
10.5 Cease and Desist Orders 45
10.6 Administrative Fines 45
10.7 Emergency Suspensions 46
10.8 Termination of Discharge 46
SECTION 11—JUDICIAL ENFORCEMENT REMEDIES 47
11.1 Injunctive Relief 47
11.2 Civil Penalties 47
11.3 Criminal Prosecution 48
11.4 Remedies Nonexclusive 48
SECTION 12—SUPPLEMENTAL ENFORCEMENT ACTION 49
12.1 Penalties for Late Reports {Optional} 49
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EPA Model Pretreatment Ordinance
12.2 Performance Bonds {Optional} 49
12.3 Liability Insurance {Optional} 49
12.4 Payment of Outstanding Fees and Penalties {Optional} 49
12.5 Water Supply Severance {Optional} 49
12.6 Public Nuisances {Optional} 50
12.7 Informant Rewards {Optional} 50
12.8 Contractor Li sting {Optional} 50
SECTION 13—AFFIRMATIVE DEFENSES TO DISCHARGE VIOLATIONS 50
13.1 Upset 50
13.2 Prohibited Discharge Standards 51
13.3 Bypass 52
SECTION 14—WASTEWATER TREATMENT RATES - [RESERVED] 53
SECTION 15—MISCELLANEOUS PROVISIONS {Optional} 53
15.1 Pretreatment Charges and Fees {Optional} 53
15.2 Severability {Optional} 53
SECTION 16—EFFECTIVE DATE 54
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EPA Model Pretreatment Ordinance
EPA MODEL PRETREATMENT ORDINANCE
ORDINANCE NO. [ ]
SECTION 1—GENERAL PROVISIONS
1.1 Purpose and Policy
This ordinance sets forth uniform requirements for Users of the Publicly Owned Treatment
Works for the [City of ] and enables [the City] to comply with all applicable State and
Federal laws, including the Clean Water Act (33 United States Code [U.S.C.] section 1251 et
seq.) and the General Pretreatment Regulations (Title 40 of the Code of Federal Regulations
[CFR] Part 403). The objectives of this ordinance are:
A. To prevent the introduction of pollutants into the Publicly Owned Treatment Works
that will interfere with its operation;
B. To prevent the introduction of pollutants into the Publicly Owned Treatment Works
that will pass through the Publicly Owned Treatment Works, inadequately treated, into
receiving waters, or otherwise be incompatible with the Publicly Owned Treatment
Works;
C. To protect both Publicly Owned Treatment Works personnel who may be affected by
wastewater and sludge in the course of their employment and the general public;
D. To promote reuse and recycling of industrial wastewater and sludge from the Publicly
Owned Treatment Works;
E. {Optional} To provide for fees for the equitable distribution of the cost of operation,
maintenance, and improvement of the Publicly Owned Treatment Works; and
F. To enable [the City] to comply with its National Pollutant Discharge Elimination
System permit conditions, sludge use and disposal requirements, and any other Federal or
State laws to which the Publicly Owned Treatment Works is subject.
This ordinance shall apply to all Users of the Publicly Owned Treatment Works. The ordinance
authorizes the issuance of individual wastewater discharge permits [or general permit {optional}];
provides for monitoring, compliance, and enforcement activities; establishes administrative
review procedures; requires User reporting; [and provides for the setting of fees for the equitable
distribution of costs resulting from the program established herein. {Optional} [Note: Not all
programs distribute the cost of the program through fees (some come out of the general budget) so Section 15
may not be applicable to your municipality and indicates that it is optional to have pretreatment charges and
fees.1
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EPA Model Pretreatment Ordinance
1.2 Administration
Except as otherwise provided herein, [the Superintendent] shall administer, implement, and
enforce the provisions of this ordinance. Any powers granted to or duties imposed upon [the
Superintendent] may be delegated by [the Superintendent] to a duly authorized [City] employee.
1.3 Abbreviations
The following abbreviations, when used in this ordinance, shall have the designated meanings:
BOD - Biochemical Oxygen Demand
BMP - Best Management Practice
BMR - Baseline Monitoring Report
CFR - Code of Federal Regulations
CIU - Categorical Industrial User
COD - Chemical Oxygen Demand
EPA - U.S. Environmental Protection Agency
gpd - gallons per day
IU - Industrial User
mg/1 - milligrams per liter
NPDES - National Pollutant Discharge Elimination System
NSCIU - Non-Significant Categorical Industrial User
POTW - Publicly Owned Treatment Works
RCRA - Resource Conservation and Recovery Act
SIU - Significant Industrial User
SNC - Significant Noncompliance
TSS - Total Suspended Solids
U.S.C.-United States Code
1.4 Definitions
Unless a provision explicitly states otherwise, the following terms and phrases, as used in this
ordinance, shall have the meanings hereinafter designated.
[Note: Each of the terms and phrases defined below are used at least once in the ordinance. When the
municipality adopts its final version of the ordinance, it should delete from this Section all terms not used.]
A. Act or "the Act." The Federal Water Pollution Control Act, also known as the Clean
Water Act, as amended, 33 U.S.C. section 1251 et seq.
B. Approval Authority. [Note: Designate the State as the Approval Authority if the State has an
EPA-approved pretreatment program. Alternatively, designate the appropriate Regional
Administrator of EPA as the Approval Authority in a nonapproved State.]
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C. Authorized or Duly Authorized Representative of the User.
(1) If the User is a corporation:
(a) The president, secretary, treasurer, or a vice-president of the corporation in
charge of a principal business function, or any other person who performs similar
policy or decision-making functions for the corporation; or
(b) The manager of one or more manufacturing, production, or operating
facilities, provided the manager is authorized to make management decisions that
govern the operation of the regulated facility including having the explicit or
implicit duty of making major capital investment recommendations, and initiate
and direct other comprehensive measures to assure long-term environmental
compliance with environmental laws and regulations; can ensure that the
necessary systems are established or actions taken to gather complete and
accurate information for individual wastewater discharge permit [or general
permit {optional}] requirements; and where authority to sign documents has been
assigned or delegated to the manager in accordance with corporate procedures.
(2) If the User is a partnership or sole proprietorship: a general partner or
proprietor, respectively.
(3) If the User is a Federal, State, or local governmental facility: a director or
highest official appointed or designated to oversee the operation and performance
of the activities of the government facility, or their designee.
(4) The individuals described in paragraphs 1 through 3, above, may designate a
Duly Authorized Representative if the authorization is in writing, the
authorization specifies the individual or position responsible for the overall
operation of the facility from which the discharge originates or having overall
responsibility for environmental matters for the company, and the written
authorization is submitted to [the City].
D. Biochemical Oxygen Demand or BOD. The quantity of oxygen utilized in the
biochemical oxidation of organic matter under standard laboratory procedures for five (5)
days at 20 degrees centigrade, usually expressed as a concentration (e.g., mg/1).
E. Best Management Practices or BMPs means schedules of activities, prohibitions of
practices, maintenance procedures, and other management practices to implement the
prohibitions listed in Section 2.1 A and B [40 CFR 403.5(a)(l) and (b)]. BMPs include
treatment requirements, operating procedures, and practices to control plant site runoff,
spillage or leaks, sludge or waste disposal, or drainage from raw materials storage. [Note:
BMPs also include alternative means (i.e., management plans) of complying with, or in place of
certain established categorical Pretreatment Standards and effluent limits.]
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EPA Model Pretreatment Ordinance
F. Categorical Pretreatment Standard or Categorical Standard. Any regulation
containing pollutant discharge limits promulgated by EPA in accordance with sections
307(b) and (c) of the Act (33 U.S.C. section 1317) that apply to a specific category of
Users and that appear in 40 CFR Chapter I, Subchapter N, Parts 405-471.
G. Categorical Industrial User. An Industrial User subject to a categorical Pretreatment
Standard or categorical Standard.
H. [City]. [The City of ] or [the City Council of ].
I. Chemical Oxygen Demand or COD. A measure of the oxygen required to oxidize all
compounds, both organic and inorganic, in water.
J. Control Authority. The [City]
K. Daily Maximum. The arithmetic average of all effluent samples for a pollutant
collected during a calendar day.
L. Daily Maximum Limit. The maximum allowable discharge limit of a pollutant
during a calendar day. Where Daily Maximum Limits are expressed in units of mass, the
daily discharge is the total mass discharged over the course of the day. Where Daily
Maximum Limits are expressed in terms of a concentration, the daily discharge is the
arithmetic average measurement of the pollutant concentration derived from all
measurements taken that day.
M. Environmental Protection Agency or EPA. The U.S. Environmental Protection
Agency or, where appropriate, the Regional Water Management Division Director, the
Regional Administrator, or other duly authorized official of said agency.
K. Existing Source. Any source of discharge that is not a "New Source."
L. Grab Sample. A sample that is taken from a wastestream without regard to the
flow in the wastestream and over a period of time not to exceed fifteen (15) minutes.
M. Indirect Discharge or Discharge. The introduction of pollutants into the POTW from
any nondomestic source.
N. Instantaneous Limit. The maximum concentration of a pollutant allowed to be
discharged at any time, determined from the analysis of any discrete or composited
sample collected, independent of the industrial flow rate and the duration of the sampling
event. [Note: If the POTW would like the flexibility to measure compliance with either a single grab
sample or sample representative of the discharge day, the POTW should establish both Daily
Maximum and Instantaneous Limits.]
O. Interference. A discharge that, alone or in conjunction with a discharge or discharges
from other sources, inhibits or disrupts the POTW, its treatment processes or operations
or its sludge processes, use or disposal; and therefore, is a cause of a violation of [the
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EPA Model Pretreatment Ordinance
City's] NPDES permit or of the prevention of sewage sludge use or disposal in
compliance with any of the following statutory/regulatory provisions or permits issued
thereunder, or any more stringent State or local regulations: section 405 of the Act; the
Solid Waste Disposal Act, including Title II commonly referred to as the Resource
Conservation and Recovery Act (RCRA); any State regulations contained in any State
sludge management plan prepared pursuant to Subtitle D of the Solid Waste Disposal
Act; the Clean Air Act; the Toxic Substances Control Act; and the Marine Protection,
Research, and Sanctuaries Act.
P. Local Limit. Specific discharge limits developed and enforced by [the City] upon
industrial or commercial facilities to implement the general and specific discharge
prohibitions listed in 40 CFR 403.5(a)(l) and (b).
Q. Medical Waste. Isolation wastes, infectious agents, human blood and blood products,
pathological wastes, sharps, body parts, contaminated bedding, surgical wastes,
potentially contaminated laboratory wastes, and dialysis wastes.
R. Monthly Average. The sum of all "daily discharges" measured during a calendar
month divided by the number of "daily discharges" measured during that month.
S. Monthly Average Limit. The highest allowable average of "daily discharges" over a
calendar month, calculated as the sum of all "daily discharges" measured during a
calendar month divided by the number of "daily discharges" measured during that month.
T. New Source.
(1) Any building, structure, facility, or installation from which there is (or may
be) a discharge of pollutants, the construction of which commenced after the
publication of proposed Pretreatment Standards under section 307(c) of the Act
that will be applicable to such source if such Standards are thereafter promulgated
in accordance with that section, provided that:
(a) The building, structure, facility, or installation is constructed at a site at which
no other source is located; or
(b) The building, structure, facility, or installation totally replaces the process or
production equipment that causes the discharge of pollutants at an Existing
Source; or
(c) The production or wastewater generating processes of the building, structure,
facility, or installation are substantially independent of an Existing Source at the
same site. In determining whether these are substantially independent, factors
such as the extent to which the new facility is integrated with the existing plant,
and the extent to which the new facility is engaged in the same general type of
activity as the Existing Source, should be considered.
(2) Construction on a site at which an Existing Source is located results in a
modification rather than a New Source if the construction does not create a new
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building, structure, facility, or installation meeting the criteria of Section (l)(b) or
(c) above but otherwise alters, replaces, or adds to existing process or production
equipment.
(3) Construction of a New Source as defined under this paragraph has commenced
if the owner or operator has:
(a) Begun, or caused to begin, as part of a continuous onsite construction program
(i) any placement, assembly, or installation of facilities or equipment; or
(ii) significant site preparation work including clearing, excavation, or
removal of existing buildings, structures, or facilities which is necessary for
the placement, assembly, or installation of new source facilities or equipment;
or
(b) Entered into a binding contractual obligation for the purchase of facilities or
equipment which are intended to be used in its operation within a reasonable time.
Options to purchase or contracts which can be terminated or modified without
substantial loss, and contracts for feasibility, engineering, and design studies do
not constitute a contractual obligation under this paragraph.
U. Noncontact Cooling Water. Water used for cooling that does not come into direct
contact with any raw material, intermediate product, waste product, or finished product.
V. Pass Through. A discharge which exits the POTW into waters of the United States in
quantities or concentrations which, alone or in conjunction with a discharge or discharges
from other sources, is a cause of a violation of any requirement of [the City's] NPDES
permit, including an increase in the magnitude or duration of a violation.
W. Person. Any individual, partnership, copartnership, firm, company, corporation,
association, joint stock company, trust, estate, governmental entity, or any other legal
entity; or their legal representatives, agents, or assigns. This definition includes all
Federal, State, and local governmental entities.
X. pH. A measure of the acidity or alkalinity of a solution, expressed in standard units.
Y. Pollutant. Dredged spoil, solid waste, incinerator residue, filter backwash, sewage,
garbage, sewage sludge, munitions, Medical Wastes, chemical wastes, biological
materials, radioactive materials, heat, wrecked or discarded equipment, rock, sand, cellar
dirt, municipal, agricultural and industrial wastes, and certain characteristics of
wastewater (e.g., pH, temperature, TSS, turbidity, color, BOD, COD, toxicity, or odor).
Z. Pretreatment. The reduction of the amount of pollutants, the elimination of pollutants,
or the alteration of the nature of pollutant properties in wastewater prior to, or in lieu of,
introducing such pollutants into the POTW. This reduction or alteration can be obtained
by physical, chemical, or biological processes; by process changes; or by other means,
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except by diluting the concentration of the pollutants unless allowed by an applicable
Pretreatment Standard.
AA. Pretreatment Requirements. Any substantive or procedural requirement related to
pretreatment imposed on a User, other than a Pretreatment Standard.
BB. Pretreatment Standards or Standards. Pretreatment Standards shall mean prohibited
discharge standards, categorical Pretreatment Standards, and Local Limits.
CC. Prohibited Discharge Standards or Prohibited Discharges. Absolute prohibitions
against the discharge of certain substances; these prohibitions appear in Section 2.1 of
this ordinance.
DD. Publicly Owned Treatment Works or POTW. A treatment works, as defined by
section 212 of the Act (33 U.S.C. section 1292), which is owned by [the City]. This
definition includes any devices or systems used in the collection, storage, treatment,
recycling, and reclamation of sewage or industrial wastes of a liquid nature and any
conveyances, which convey wastewater to a treatment plant.
EE. Septic Tank Waste. Any sewage from holding tanks such as vessels, chemical
toilets, campers, trailers, and septic tanks.
FF. Sewage. Human excrement and gray water (household showers, dishwashing
operations, etc.).
GG. Significant Industrial User (SIU).
Except as provided in paragraphs (3) and (4) of this Section, a Significant
Industrial User is:
(1) An Industrial User subject to categorical Pretreatment Standards; or
(2) An Industrial User that:
(a) Discharges an average of twenty-five thousand (25,000) gpd or more of
process wastewater to the POTW (excluding sanitary, noncontact cooling and
boiler blowdown wastewater);
(b) Contributes a process wastestream which makes up five (5) percent or more of
the average dry weather hydraulic or organic capacity of the POTW treatment
plant; or
(c) Is designated as such by [the City] on the basis that it has a reasonable
potential for adversely affecting the POTW's operation or for violating any
Pretreatment Standard or Requirement.
{Optional} [Note: The following provision may be included in the local ordinances only if authorized under
State law. Criteria for reduced reporting must also include any criteria defined in applicable State
requirements.]
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(3) The [City] may determine that an Industrial User subject to categorical
Pretreatment Standards is a Non-Significant Categorical Industrial User rather
than a Significant Industrial User on a finding that the Industrial User never
discharges more than 100 gallons per day (gpd) of total categorical wastewater
(excluding sanitary, non-contact cooling and boiler blowdown wastewater, unless
specifically included in the Pretreatment Standard) and the following conditions
are met:
(a) The Industrial User, prior to [City's] finding, has consistently complied with
all applicable categorical Pretreatment Standards and Requirements;
(b) The Industrial User annually submits the certification statement required in
Section 6.14 B [see 40 CR403.12(q)], together with any additional information
necessary to support the certification statement; and
(c) The Industrial User never discharges any untreated concentrated wastewater.
(4) Upon a finding that a User meeting the criteria in Subsection (2) of this part
has no reasonable potential for adversely affecting the POTW's operation or for
violating any Pretreatment Standard or Requirement, [the City] may at any time,
on its own initiative or in response to a petition received from an Industrial User,
and in accordance with procedures in 40 CFR 403.8(f)(6), determine that such
User should not be considered a Significant Industrial User.
HH. Slug Load or Slug Discharge. Any discharge at a flow rate or concentration, which
could cause a violation of the prohibited discharge standards in Section 2.1 of this
ordinance. A Slug Discharge is any Discharge of a non-routine, episodic nature,
including but not limited to an accidental spill or a non-customary batch Discharge,
which has a reasonable potential to cause Interference or Pass Through, or in any other
way violate the POTW's regulations, Local Limits or Permit conditions.
II. Storm Water. Any flow occurring during or following any form of natural
precipitation, and resulting from such precipitation, including snowmelt.
JJ. [Superintendent]. The person designated by [the City] to supervise the operation of
the POTW, and who is charged with certain duties and responsibilities by this ordinance.
The term also means a Duly Authorized Representative of the [Superintendent].
KK. Total Suspended Solids or Suspended Solids. The total suspended matter that floats
on the surface of, or is suspended in, water, wastewater, or other liquid, and that is
removable by laboratory filtering.
LL. User or Industrial User. A source of indirect discharge.
MM. Wastewater. Liquid and water-carried industrial wastes and sewage from
residential dwellings, commercial buildings, industrial and manufacturing facilities, and
institutions, whether treated or untreated, which are contributed to the POTW.
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NN. Wastewater Treatment Plant or Treatment Plant. That portion of the POTW which
is designed to provide treatment of municipal sewage and industrial waste.
SECTION 2—GENERAL SEWER USE REQUIREMENTS
2.1 Prohibited Discharge Standards
A. General Prohibitions. No User shall introduce or cause to be introduced into the
POTW any pollutant or wastewater which causes Pass Through or Interference. These
general prohibitions apply to all Users of the POTW whether or not they are subject to
categorical Pretreatment Standards or any other National, State, or local Pretreatment
Standards or Requirements.
B. Specific Prohibitions. No User shall introduce or cause to be introduced into the
POTW the following pollutants, substances, or wastewater:
(1) Pollutants which create a fire or explosive hazard in the POTW, including,
but not limited to, wastestreams with a closed-cup flashpoint of less than 140
degrees F (60 degrees C) using the test methods specified in 40 CFR 261.21;
(2) Wastewater having a pH less than 5.0 [or more than ], or otherwise
causing corrosive structural damage to the POTW or equipment;
[Note: The municipality should be aware that the General Pretreatment Regulations at 40 CFR 403.5(b) do
not set an upper pH limit, although many municipalities find such a limit necessary or useful. If the
municipality wishes to set an upper pH limit, it should insert one in this Section. 40 CFR 261.22 established
that wastes discharged with a pH over 12.5 are considered corrosive hazardous wastes and therefore, the
POTW would need to comply with applicable requirements under the Resource Conservation and Recovery
Act and implementing regulations for Treatment, Storage, and Disposal facilities if such wastes are delivered
to the POTW by truck, rail, or dedicated pipe. Accordingly, if the POTW chooses to prohibit discharge of
characteristic hazardous wastes, the upper pH limit must be no greater than 12.5.]
(3) Solid or viscous substances in amounts which will cause obstruction of the
flow in the POTW resulting in Interference [but in no case solids greater
than inch(es) ( ") or centimeter(s) ( cm) in any
dimension];
(4) Pollutants, including oxygen-demanding pollutants (BOD, etc.), released in a
discharge at a flow rate and/or pollutant concentration which, either singly or by
interaction with other pollutants, will cause Interference with the POTW;
(5) Wastewater having a temperature greater than [ degrees F ( degrees
C)], or which will inhibit biological activity in the treatment plant resulting in
Interference, but in no case wastewater which causes the temperature at the
introduction into the treatment plant to exceed 104 degrees F (40 degrees C);
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(6) Petroleum oil, nonbiodegradable cutting oil, or products of mineral oil origin,
in amounts that will cause Interference or Pass Through;
(7) Pollutants which result in the presence of toxic gases, vapors, or fumes within
the POTW in a quantity that may cause acute worker health and safety problems;
(8) Trucked or hauled pollutants, except at discharge points designated by [the
Superintendent] in accordance with Section 3.4 of this ordinance;
{Note: Discharge prohibitions B.(l) through B.(8) are mandatory National Pretreatment Standards
and must be included in the ordinance; discharge prohibitions B.(9) through B.(18) below are
optional.}
(9) Noxious or malodorous liquids, gases, solids, or other wastewater which,
either singly or by interaction with other wastes, are sufficient to create a public
nuisance or a hazard to life, or to prevent entry into the sewers for maintenance or
repair; {optional}
(10) Wastewater which imparts color which cannot be removed by the treatment
process, such as, but not limited to, dye wastes and vegetable tanning solutions,
which consequently imparts color to the treatment plant's effluent, thereby
violating [the City's] NPDES permit; {optional}
(11) Wastewater containing any radioactive wastes or isotopes except in
compliance with applicable State or Federal regulations; {optional}
(12) Storm Water, surface water, ground water, artesian well water, roof runoff,
subsurface drainage, swimming pool drainage, condensate, deionized water,
Noncontact Cooling Water, and unpolluted wastewater, unless specifically
authorized by [the Superintendent]; {optional}
(13) Sludges, screenings, or other residues from the pretreatment of industrial
wastes; {optional}
(14) Medical Wastes, except as specifically authorized by [the Superintendent] in
an individual wastewater discharge permit [or a general permit {optional}];
{optional}
(15) Wastewater causing, alone or in conjunction with other sources, the
treatment plant's effluent to fail toxicity test; {optional}
(16) Detergents, surface-active agents, or other substances which that might cause
excessive foaming in the POTW; {optional}
(17) Fats, oils, or greases of animal or vegetable origin in concentrations greater
than [ ( ) mg/1]; [Note: Numeric limits for these pollutants may be placed in
Section 2.4] {optional}
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(18) Wastewater causing two readings on an explosion hazard meter at the point
of discharge into the POTW, or at any point in the POTW, of more than [
percent ( %)] or any single reading over [ percent ( %)] of the
Lower Explosive Limit of the meter, {optional}
Pollutants, substances, or wastewater prohibited by this Section shall not be processed or stored
in such a manner that they could be discharged to the POTW.
2.2 National Categorical Pretreatment Standards
Users must comply with the categorical Pretreatment Standards found at 40 CFR Chapter I,
SubchapterN, Parts 405-471.
[Note: State procedures for incorporation by reference must be followed. EPA regulations at 40 CFR 403.13
authorize a CIU to obtain a variance from a categorical Pretreatment Standard if the CIU can prove,
pursuant to the procedural and substantive provisions in 40 CFR 403.13, that factors relating to its discharge
are fundamentally different from the factors considered by EPA when developing the categorical
Pretreatment Standard. The POTW might need to include a provision authorizing it to incorporate or
recognize revised Standards if the User has obtained an FDF variance from EPA on the basis of 40 CFR
403.13. That CIU's Standards would be replaced by the revised FDF variance Standard.]
A. Where a categorical Pretreatment Standard is expressed only in terms of either the
mass or the concentration of a pollutant in wastewater, [the Superintendent] may impose
equivalent concentration or mass limits in accordance with Section 2.2E and 2.2F.
{Optional} [Note: See 40 CFR403.6(c)]
B. When the limits in a categorical Pretreatment Standard are expressed only in terms of
mass of pollutant per unit of production, the [Superintendent] may convert the limits to
equivalent limitations expressed either as mass of pollutant discharged per day or effluent
concentration for purposes of calculating effluent limitations applicable to individual
Industrial Users. {Optional} [Note: See 40 CFR 403.6(c)(2)]
C. When wastewater subject to a categorical Pretreatment Standard is mixed with
wastewater not regulated by the same Standard, [the Superintendent] shall impose an
alternate limit in accordance with 40 CFR 403.6(e).
{Optional} [Note: The following provision may be included in the local ordinance at the
municipality's discretion.]
D. A CIU may obtain a net/gross adjustment to a categorical Pretreatment Standard in
accordance with the following paragraphs of this Section. [Note: See 40 CFR 403.15]
(1) Categorical Pretreatment Standards may be adjusted to reflect the presence of
pollutants in the Industrial User's intake water in accordance with this Section.
Any Industrial User wishing to obtain credit for intake pollutants must make
application to the [City]. Upon request of the Industrial User, the applicable
Standard will be calculated on a "net" basis (i.e., adjusted to reflect credit for
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pollutants in the intake water) if the requirements of paragraph (2) of this Section
are met.
(2) Criteria.
a. Either (i) The applicable categorical Pretreatment Standards contained in 40
CFR subchapter N specifically provide that they shall be applied on a net
basis; or (ii) The Industrial User demonstrates that the control system it
proposes or uses to meet applicable categorical Pretreatment Standards would,
if properly installed and operated, meet the Standards in the absence of
pollutants in the intake waters.
b. Credit for generic pollutants such as biochemical oxygen demand (BOD),
total suspended solids (TSS), and oil and grease should not be granted unless
the Industrial User demonstrates that the constituents of the generic measure
in the User's effluent are substantially similar to the constituents of the
generic measure in the intake water or unless appropriate additional limits are
placed on process water pollutants either at the outfall or elsewhere.
c. Credit shall be granted only to the extent necessary to meet the applicable
categorical Pretreatment Standard(s), up to a maximum value equal to the
influent value. Additional monitoring may be necessary to determine
eligibility for credits and compliance with Standard(s) adjusted under this
Section.
d. Credit shall be granted only if the User demonstrates that the intake water is
drawn from the same body of water as that into which the POTW discharges.
The [City] may waive this requirement if it finds that no environmental
degradation will result.
{Optional} [Note: The following optional provision may be included in the local ordinances only if authorized
under State law.]
E. When a categorical Pretreatment Standard is expressed only in terms of pollutant
concentrations, an Industrial User may request that [the City] convert the limits to
equivalent mass limits. The determination to convert concentration limits to mass limits
is within the discretion of the [Superintendent]. [The City] may establish equivalent mass
limits only if the Industrial User meets all the conditions set forth in Sections 2.2E(l)(a)
through 2.2E(l)(e) below.
(1) To be eligible for equivalent mass limits, the Industrial User must:
a. Employ, or demonstrate that it will employ, water conservation methods and
technologies that substantially reduce water use during the term of its
individual wastewater discharge permit;
b. Currently use control and treatment technologies adequate to achieve
compliance with the applicable categorical Pretreatment Standard, and not
have used dilution as a substitute for treatment;
c. Provide sufficient information to establish the facility's actual average daily
flow rate for all wastestreams, based on data from a continuous effluent flow
monitoring device, as well as the facility's long-term average production rate.
Both the actual average daily flow rate and the long-term average production
rate must be representative of current operating conditions;
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d. Not have daily flow rates, production levels, or pollutant levels that vary so
significantly that equivalent mass limits are not appropriate to control the
Discharge; and
e. Have consistently complied with all applicable categorical Pretreatment
Standards during the period prior to the Industrial User's request for
equivalent mass limits.
(2) An Industrial User subject to equivalent mass limits must:
a. Maintain and effectively operate control and treatment technologies adequate
to achieve compliance with the equivalent mass limits;
b. Continue to record the facility's flow rates through the use of a continuous
effluent flow monitoring device;
c. Continue to record the facility's production rates and notify the
[Superintendent] whenever production rates are expected to vary by more than
20 percent from its baseline production rates determined in paragraph
2.2F(l)(c) of this Section. Upon notification of a revised production rate, the
[Superintendent] will reassess the equivalent mass limit and revise the limit as
necessary to reflect changed conditions at the facility; and
d. Continue to employ the same or comparable water conservation methods and
technologies as those implemented pursuant to paragraphs 2.2E(l)(a) of this
Section so long as it discharges under an equivalent mass limit.
(3) When developing equivalent mass limits, the [Superintendent]:
a. Will calculate the equivalent mass limit by multiplying the actual average
daily flow rate of the regulated process(es) of the Industrial User by the
concentration-based Daily Maximum and Monthly Average Standard for the
applicable categorical Pretreatment Standard and the appropriate unit
conversion factor;
b. Upon notification of a revised production rate, will reassess the equivalent
mass limit and recalculate the limit as necessary to reflect changed conditions
at the facility; and
c. May retain the same equivalent mass limit in subsequent individual
wastewater discharger permit terms if the Industrial User's actual average
daily flow rate was reduced solely as a result of the implementation of water
conservation methods and technologies, and the actual average daily flow
rates used in the original calculation of the equivalent mass limit were not
based on the use of dilution as a substitute for treatment pursuant to Section
2.6. The Industrial User must also be in compliance with Section 13.3
regarding the prohibition of bypass.]
{Optional} [Note: The following optional provisions (F-I) may be included in the local ordinances only if
authorized under State law.]
F. [The Superintendent] may convert the mass limits of the categorical Pretreatment
Standards of 40 CFR Parts 414, 419, and 455 to concentration limits for purposes of
calculating limitations applicable to individual Industrial Users. The conversion is at the
discretion of the [Superintendent].
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[Note: When converting such limits to concentration limits, the [Superintendent] will use the
concentrations listed in the applicable subparts of 40 CFR Parts 414,419, and 455 and document that
dilution is not being substituted for treatment as prohibited by Section 2.6 of this ordinance (see 40
CFR 403.6(d)). In addition, the [Superintendent] will document how the equivalent limits were
derived for any changes from concentration to mass limits, or vice versa, and make this information
publicly available (see 40 CFR 403.6(c)(7)).]
G. Once included in its permit, the Industrial User must comply with the equivalent
limitations developed in this Section (2.2) in lieu of the promulgated categorical
Standards from which the equivalent limitations were derived. [Note: See 40 CFR
403.6(c)(7)]
H. Many categorical Pretreatment Standards specify one limit for calculating maximum
daily discharge limitations and a second limit for calculating maximum Monthly
Average, or 4-day average, limitations. Where such Standards are being applied, the same
production or flow figure shall be used in calculating both the average and the maximum
equivalent limitation. [Note: See 40 CFR 403.6(c)(8)]
I. Any Industrial User operating under a permit incorporating equivalent mass or
concentration limits calculated from a production-based Standard shall notify the
[Superintendent] within two (2) business days after the User has a reasonable basis to
know that the production level will significantly change within the next calendar month.
Any User not notifying the [Superintendent] of such anticipated change will be required
to meet the mass or concentration limits in its permit that were based on the original
estimate of the long term average production rate. [Note: See 40 CFR 403.6(c)(9)]
2.3 State Pretreatment Standards
Users must comply with [State Pretreatment Standards] codified at [insert appropriate cite to
State statute or law].
2.4 Local Limits
[Note: Municipalities need to establish limits for some or all of the pollutants listed below, and might need to
set limits for pollutants not listed below. The municipality may also establish Best Management Practices
(BMPs) to control certain pollutants. The municipality will provide public notice and an opportunity to
respond to interested parties (40 CFR 403.5(c)(3)). This requirement applies whether Local Limits are set by
ordinance or on a case-by-case basis.]
A. The [Superintendent] is authorized to establish Local Limits pursuant to 40 CFR
403.5(c).
[Note: The municipality may set limits as instantaneous maximums or for other durations (e.g., Daily
Maximum or Monthly Average Limits). The municipality should define these durations in the definition
Section.]
B. The following pollutant limits are established to protect against Pass Through and
Interference. No person shall discharge wastewater containing in excess of the following
[insert the duration, for example Daily Maximum Limit].
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[Note: The approach of charging only for the "excess" loading presumes the standard sewer charges already
provide appropriate payment for concentrations up to domestic strength. Many POTWs establish surcharges
for conventional pollutants amenable to treatment, such as BOD5 and TSS. Ordinances should clearly
distinguish between surcharges and Local Limits. Surcharges are additional charges to recover the cost to
treat wastewater that are typically assessed when discharge concentrations are above defined values, typically
above domestic wastewater. Enforceable Local Limits for conventional pollutants are established where
there is potential for these pollutants to be discharged to the POTW in quantities or concentrations that could
exceed the POTWs plant capacity. When Ills discharge in excess of a Local Limit, they are subject to
enforcement actions.]
[ ] mg/1 ammonia
[ ] mg/1 arsenic
[ ] mg/1 BOD5
[ ] mg/1 cadmium
[ ] mg/1 chromium
[ ] mg/1 copper
[ ] mg/1 cyanide
[ ] mg/1 lead
[ ] mg/1 mercury
[ ] mg/1 molybdenum
[ ] mg/1 nitrogen (total)
[ ] mg/1 nickel
[ ] mg/1 oil and/or grease [Note: Oil and/or grease limits should be defined as a
polar, nonpolar, or total oil and grease limits.]
[ ] mg/1 selenium
[ ] mg/1 silver
[ ] mg/1 total phenols
[ ] mg/1 total suspended solids
[ ] mg/1 zinc
The above limits apply at the point where the wastewater is discharged to the POTW. All
concentrations for metallic substances are for total metal unless indicated otherwise. [The
Superintendent] may impose mass limitations in addition to the concentration-based limitations
above.
[Note: For additional information on Local Limits, refer to Local Limits Development Guidance, EPA Office
of Wastewater Management, July 2004, EPA (833-R-04-002A). Available via the Web at
http://www.epa.gov/npdes/pubs/final local limits guidance.pdf and
http://www.epa.gov/npdes/pubs/final local limits appendices.pdfl
{Optional} [Note: The following optional provision may be included in the local ordinances only if authorized
under State law.]
C. [The Superintendent] may develop Best Management Practices (BMPs), by ordinance
or in individual wastewater discharge permits [or general permits {optional}], to
implement Local Limits and the requirements of Section 2.1.
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2.5 [City's] Right of Revision
The [City] reserves the right to establish, by ordinance or in individual wastewater discharge
permits [or in general permits {optional}], more stringent Standards or Requirements on
discharges to the POTW consistent with the purpose of this ordinance.
2.6 Dilution
No User shall ever increase the use of process water, or in any way attempt to dilute a discharge,
as a partial or complete substitute for adequate treatment to achieve compliance with a discharge
limitation unless expressly authorized by an applicable Pretreatment Standard or Requirement.
[The Superintendent] may impose mass limitations on Users who are using dilution to meet
applicable Pretreatment Standards or Requirements, or in other cases when the imposition of
mass limitations is appropriate.
SECTION 3—PRETREATMENT OF WASTEWATER
3.1 Pretreatment Facilities
Users shall provide wastewater treatment as necessary to comply with this ordinance and shall
achieve compliance with all categorical Pretreatment Standards, Local Limits, and the
prohibitions set out in Section 2.1 of this ordinance within the time limitations specified by EPA,
the State, or [the Superintendent], whichever is more stringent. Any facilities necessary for
compliance shall be provided, operated, and maintained at the User's expense. Detailed plans
describing such facilities and operating procedures shall be submitted to [the Superintendent] for
review, and shall be acceptable to [the Superintendent] before such facilities are constructed.
The review of such plans and operating procedures shall in no way relieve the User from the
responsibility of modifying such facilities as necessary to produce a discharge acceptable to [the
City] under the provisions of this ordinance.
3.2 Additi onal Pretreatment Measure s
{Optional}[Note: The following provisions are optional. The municipality may include provisions authorizing
it to do the following.]
A. Whenever deemed necessary, [the Superintendent] may require Users to restrict their
discharge during peak flow periods, designate that certain wastewater be discharged only
into specific sewers, relocate and/or consolidate points of discharge, separate sewage
wastestreams from industrial wastestreams, and such other conditions as may be
necessary to protect the POTW and determine the User's compliance with the
requirements of this ordinance.
B. [The Superintendent] may require any person discharging into the POTW to install
and maintain, on their property and at their expense, a suitable storage and flow-control
facility to ensure equalization of flow. An individual wastewater discharge permit [or a
general permit {optional}] may be issued solely for flow equalization.
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[Note: The City should modify this Section to conform to design, maintenance, inspection and BMP
requirements for oil and grease control.]
C. Grease, oil, and sand interceptors shall be provided when, in the opinion of [the
Superintendent], they are necessary for the proper handling of wastewater containing
excessive amounts of grease and oil, or sand; except that such interceptors shall not be
required for residential users. All interception units shall be of a type and capacity
approved by [the Superintendent], [shall comply with [the City's Oil and Grease
Management ordinance (if applicable, cite), and] shall be so located to be easily
accessible for cleaning and inspection. Such interceptors shall be inspected, cleaned, and
repaired [in accordance with [the City's Oil and Grease Management ordinance (if
applicable, cite)] by the User at their expense.
D. Users with the potential to discharge flammable substances may be required to install
and maintain an approved combustible gas detection meter.
3.3 Accidental Discharge/Slug Discharge Control Plans
[The Superintendent] shall evaluate whether each SIU needs an accidental discharge/slug
discharge control plan or other action to control Slug Discharges. [The Superintendent] may
require any User to develop, submit for approval, and implement such a plan or take such other
action that may be necessary to control Slug Discharges. Alternatively, [the Superintendent]
may develop such a plan for any User. An accidental discharge/slug discharge control plan shall
address, at a minimum, the following:
A. Description of discharge practices, including nonroutine batch discharges;
B. Description of stored chemicals;
C. Procedures for immediately notifying [the Superintendent] of any accidental or Slug
Discharge, as required by Section 6.6 of this ordinance; and
D. Procedures to prevent adverse impact from any accidental or Slug Discharge. Such
procedures include, but are not limited to, inspection and maintenance of storage areas,
handling and transfer of materials, loading and unloading operations, control of plant site
runoff, worker training, building of containment structures or equipment, measures for
containing toxic organic pollutants, including solvents, and/or measures and equipment
for emergency response.
3.4 Hauled Wastewater
[Note: The municipality will ensure that hauled industrial waste is adequately regulated and should take
measures to ensure that haulers of septic tank waste are not introducing industrial waste to the POTW. The
following is one possible means of regulating hauled waste.]
A. Septic tank waste may be introduced into the POTW only at locations designated by
[the Superintendent], and at such times as are established by [the Superintendent]. Such
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waste shall not violate Section 2 of this ordinance or any other requirements established
by [the City]. [The Superintendent] may require septic tank waste haulers to obtain
individual wastewater discharge permits [or general permits {optional}].
B. [The Superintendent] may require haulers of industrial waste to obtain individual
wastewater discharge permits [or general permits {optional}]. [The Superintendent] may
require generators of hauled industrial waste to obtain individual wastewater discharge
permits [or general permits {optional}]. [The Superintendent] also may prohibit the
disposal of hauled industrial waste. The discharge of hauled industrial waste is subject to
all other requirements of this ordinance.
C. Industrial waste haulers may discharge loads only at locations designated by [the
Superintendent]. No load may be discharged without prior consent of [the
Superintendent]. [The Superintendent] may collect samples of each hauled load to ensure
compliance with applicable Standards. [The Superintendent] may require the industrial
waste hauler to provide a waste analysis of any load prior to discharge.
D. Industrial waste haulers must provide a waste-tracking form for every load. This
form shall include, at a minimum, the name and address of the industrial waste hauler,
permit number, truck identification, names and addresses of sources of waste, and
volume and characteristics of waste. The form shall identify the type of industry, known
or suspected waste constituents, and whether any wastes are RCRA hazardous wastes.
SECTION 4—INDIVIDUAL WASTEWATER DISCHARGE PERMITS [and GENERAL
PERMITS {optional}]
[Note: The municipality must control SIUs through individual wastewater discharge [or general {optional}]
permits. Where provided by State law, the Control Authority may establish the authority to use a general
permit where certain conditions listed in Section 4.6 (40 CFR 403.8(f)(l)(iii)) are met]
4.1 Wastewater Analysis
When requested by [the Superintendent], a User must submit information on the nature and
characteristics of its wastewater within [ ( )] days of the request. [The Superintendent] is
authorized to prepare a form for this purpose and may periodically require Users to update this
information.
4.2 Individual Wastewater Discharge Permit [and General Permit {optional}] Requirement
A. No Significant Industrial User shall discharge wastewater into the POTW without
first obtaining an individual wastewater discharge permit [or a general permit {optional}]
from [the Superintendent], except that a Significant Industrial User that has filed a timely
application pursuant to Section 4.3 of this ordinance may continue to discharge for the
time period specified therein.
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B. [The Superintendent] may require other Users to obtain individual wastewater
discharge permits [or general permits {optional}] as necessary to carry out the purposes of
this ordinance.
C. Any violation of the terms and conditions of an individual wastewater discharge
permit [or a general permit {optional}] shall be deemed a violation of this ordinance and
subjects the wastewater discharge permittee to the sanctions set out in Sections 10
through 12 of this ordinance. Obtaining an individual wastewater discharge permit [or a
general permit {optional}] does not relieve a permittee of its obligation to comply with all
Federal and State Pretreatment Standards or Requirements or with any other requirements
of Federal, State, and local law.
4.3 Individual Wastewater Discharge [and General {optional}] Permitting: Existing Connections
Any User required to obtain an individual wastewater discharge permit [or a general permit
{optional}] who was discharging wastewater into the POTW prior to the effective date of this
ordinance and who wishes to continue such discharges in the future, shall, within [
( )] days after said date, apply to [the Superintendent] for an individual wastewater discharge
permit [or a general permit {optional}] in accordance with Section 4.5 of this ordinance, and shall
not cause or allow discharges to the POTW to continue after [ ( )] days of the
effective date of this ordinance except in accordance with an individual wastewater discharge
permit [or a general permit {optional}] issued by [the Superintendent].
4.4 Individual Wastewater Discharge [and General {optional}] Permitting: New Connections
Any User required to obtain an individual wastewater discharge permit [or a general permit
{optional}] who proposes to begin or recommence discharging into the POTW must obtain such
permit prior to the beginning or recommencing of such discharge. An application for this
individual wastewater discharge permit [or general permit {optional}], in accordance with Section
4.5 of this ordinance, must be filed at least [ ( )] days prior to the date upon which
any discharge will begin or recommence.
4.5 Individual Wastewater Discharge [and General {optional}] Permit Application Contents
[Note: This Section lists the information Ills must provide in their application for an individual wastewater
discharge permit or general permit (control mechanism). Permits may be individual wastewater discharge
permits or general permits (See Section 4.6) if allowed by the POTW (Control Authority). POTWs might
want to modify the type of information required in permit applications on the basis of the size and type of IU
and the type of permit (individual wastewater discharge permit vs. general permit.) The list of information to
be submitted in a permit application has been expanded in this version of the model ordinance to include the
new general permit application requirements (40 CFR 403.8(f)(l)(iii)(A)(2)) and to capture the baseline
monitoring report (BMR) information which was previously in Section 6.1B (40 CFR 403.12(b)(l)-(7)). The
BMR Section (6. IB) currently refers back to this (Section 4.5) regarding information that must be submitted
in the BMR]
A. All Users required to obtain an individual wastewater discharge permit [or a general
permit {optional}] must submit a permit application. Users that are eligible may request a
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general permit under Section 4.6. [The Superintendent] may require Users to submit all
or some of the following information as part of a permit application:
(1) Identifying Information.
a. The name and address of the facility, including the name of the operator and
owner.
b. Contact information, description of activities, facilities, and plant production
processes on the premises;
(2) Environmental Permits. A list of any environmental control permits held by
or for the facility.
(3) Description of Operations.
a. A brief description of the nature, average rate of production (including each
product produced by type, amount, processes, and rate of production), and
standard industrial classifications of the operation(s) carried out by such User.
This description should include a schematic process diagram, which indicates
points of discharge to the POTW from the regulated processes.
b. Types of wastes generated, and a list of all raw materials and chemicals used
or stored at the facility which are, or could accidentally or intentionally be,
discharged to the POTW;
c. Number and type of employees, hours of operation, and proposed or actual
hours of operation;
d. Type and amount of raw materials processed (average and maximum per day);
e. Site plans, floor plans, mechanical and plumbing plans, and details to show all
sewers, floor drains, and appurtenances by size, location, and elevation, and
all points of discharge;
(4) Time and duration of discharges;
(5) The location for monitoring all wastes covered by the permit;
(6) Flow Measurement. Information showing the measured average daily and
maximum daily flow, in gallons per day, to the POTW from regulated process
streams and other streams, as necessary, to allow use of the combined
wastestream formula set out in Section 2.2C (40 CFR 403.6(e)).
(7) Measurement of Pollutants.
a. The categorical Pretreatment Standards applicable to each regulated process
and any new categorically regulated processes for Existing Sources.
b. The results of sampling and analysis identifying the nature and concentration,
and/or mass, where required by the Standard or by [the Superintendent], of
regulated pollutants in the discharge from each regulated process.
c. Instantaneous, Daily Maximum, and long-term average concentrations, or
mass, where required, shall be reported.
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d. The sample shall be representative of daily operations and shall be analyzed in
accordance with procedures set out in Section 6.10 of this ordinance. Where
the Standard requires compliance with a BMP or pollution prevention
alternative, the User shall submit documentation as required by the
[Superintendent] or the applicable Standards to determine compliance with the
Standard.
e. Sampling must be performed in accordance with procedures set out in Section
6.11 of this ordinance.
(8) Any requests for a monitoring waiver (or a renewal of an approved monitoring
waiver) for a pollutant neither present nor expected to be present in the discharge
based on Section 6.4 B [40 CFR 403.12(e)(2)]. {Optional} [Note: This provision is
required only if the municipality has incorporated Section 6.4B into its ordinance.].
(9) Any request to be covered by a general permit based on Section 4.6. {Optional}
[Note: This provision is only required if the municipality has incorporated Section 4.6 into
its ordinance.]
(10) Any other information as may be deemed necessary by [the Superintendent]
to evaluate the permit application.
B. Incomplete or inaccurate applications will not be processed and will be returned to
the User for revision.
4.6 Wastewater Discharge Permitting: General Permits {Optional}
[Note: The option to issue general permits in lieu of individual permits is available only if
authorized under State law. In such cases, State law may include additional general permit
requirements. See 40 CFR403.8(f)(l)(iii)(A)]
A. At the discretion of the [Superintendent], the [Superintendent] may use general
permits to control SIU discharges to the POTW if the following conditions are met. All
facilities to be covered by a general permit must:
(1) Involve the same or substantially similar types of operations;
(2) Discharge the same types of wastes;
(3) Require the same effluent limitations;
(4) Require the same or similar monitoring; and
(5) In the opinion of the [Superintendent], are more appropriately controlled
under a general permit than under individual wastewater discharge permits.
B. To be covered by the general permit, the SIU must file a written request for coverage
that identifies its contact information, production processes, the types of wastes
generated, the location for monitoring all wastes covered by the general permit, any
requests in accordance with Section 6.4 B for a monitoring waiver for a pollutant neither
present nor expected to be present in the Discharge, and any other information the POTW
deems appropriate. A monitoring waiver for a pollutant neither present nor expected to be
present in the discharge is not effective in the general permit until after the
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[Superintendent] has provided written notice to the SIU that such a waiver request has
been granted in accordance with Section 6.4B.
C. The [Superintendent] will retain a copy of the general permit, documentation to
support the POTW's determination that a specific SIU meets the criteria in Section
4.6A(1) to (5) and applicable State regulations, and a copy of the User's written request
for coverage for three (3) years after the expiration of the general permit. [Note: See 40
CFR 403.8(f)(l)(iii)(A)(l) through (5).]
D. The [Superintendent] may not control an SIU through a general permit where the
facility is subject to production-based categorical Pretreatment Standards or categorical
Pretreatment Standards expressed as mass of pollutant discharged per day or for lUs
whose limits are based on the Combined Wastestream Formula (Section 2.2C) or
Net/Gross calculations (Section 2.2 D). [Note: See 40 CFR 403.6(e) and 40 CFR 403.15]
4.7 Application Signatories and Certifications
A. All wastewater discharge permit applications, User reports and certification
statements must be signed by an Authorized Representative of the User and contain the
certification statement in Section 6.14 A. [Note: Definition of Authorized Representative has
been revised, see definition at Section 1.4 C]
B. If the designation of an Authorized Representative is no longer accurate because a
different individual or position has responsibility for the overall operation of the facility
or overall responsibility for environmental matters for the company, a new written
authorization satisfying the requirements of this Section must be submitted to [the
Superintendent] prior to or together with any reports to be signed by an Authorized
Representative.
{Optional} [Note: The following optional provision is required if the municipality has incorporated Section
1.4GG(3) into its ordinance].
C. A facility determined to be a Non-Significant Categorical Industrial User by [the
Superintendent] pursuant to 1.4 GG(3) must annually submit the signed certification
statement in Section 6.14 B. [Note: See 40 CFR 403.3(v)(2)]
4.8 Individual Wastewater Discharge [and General {optional}] Permit Decisions
[The Superintendent] will evaluate the data furnished by the User and may require additional
information. Within [ ( )] days of receipt of a complete permit application, [the
Superintendent] will determine whether to issue an individual wastewater discharge permit [or a
general permit {optional}]. [The Superintendent] may deny any application for an individual
wastewater discharge permit [or a general permit {optional}].
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SECTION 5—INDIVIDUAL WASTEWATER DISCHARGE [AND GENERAL {optional}]
PERMIT ISSUANCE
5.1 Individual Wastewater Discharge [and General {optional}] Permit Duration
An individual wastewater discharge permit [or a general permit {optional}] shall be issued for a
specified time period, not to exceed five (5) years from the effective date of the permit. An
individual wastewater discharge permit [or a general permit {optional}] may be issued for a period
less than five (5) years, at the discretion of [the Superintendent]. Each individual wastewater
discharge permit [or a general permit {optional}] will indicate a specific date upon which it will
expire.
5.2 Individual Wastewater Discharge Permit [and General Permit {optional}] Contents
An individual wastewater discharge permit [or a general permit {optional}] shall include such
conditions as are deemed reasonably necessary by [the Superintendent] to prevent Pass Through
or Interference, protect the quality of the water body receiving the treatment plant's effluent,
protect worker health and safety, facilitate sludge management and disposal, and protect against
damage to the POTW.
A. Individual wastewater discharge permits [and general permits {optional}]) must
contain:
(1) A statement that indicates the wastewater discharge permit issuance date,
expiration date and effective date; [Note: See Section 5.1.]
(2) A statement that the wastewater discharge permit is nontransferable without
prior notification to [the City] in accordance with Section 5.5 of this ordinance,
and provisions for furnishing the new owner or operator with a copy of the
existing wastewater discharge permit;
(3) Effluent limits, including Best Management Practices, based on applicable
Pretreatment Standards; [Note: Required Streamlining Rule Change]
(4) Self monitoring, sampling, reporting, notification, and record-keeping
requirements. These requirements shall include an identification of pollutants (or
best management practice) to be monitored, sampling location, sampling
frequency, and sample type based on Federal, State, and local law.
(5) The process for seeking a waiver from monitoring for a pollutant neither
present nor expected to be present in the Discharge in accordance with Section
6.4 B. {Optional} [Note: This provision is required only if the municipality has
incorporated Section 6.4B into its ordinance. Section 4.5A (8) includes an instruction to the
permittees to include requests for a new (or renewal of an existing) monitoring waiver for a
pollutant neither present nor expected to be present in the discharge. See 40CFR
403.12(e)(2).]
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(6) A statement of applicable civil and criminal penalties for violation of
Pretreatment Standards and Requirements, and any applicable compliance
schedule. Such schedule may not extend the time for compliance beyond that
required by applicable Federal, State, or local law.
(7) Requirements to control Slug Discharge, if determined by the
[Superintendent] to be necessary .[Note: Required Streamlining Rule Change]
(8) Any grant of the monitoring waiver by the [Superintendent] (Section 6.4 B)
must be included as a condition in the User's permit [or other control
mechanism]. {Optional} [Note: This provision is required only if the municipality has
incorporated Section 6.4B into its ordinance.]
B. Individual wastewater discharge permits [or general permits {optional}] may contain,
but need not be limited to, the following conditions:
(1) Limits on the average and/or maximum rate of discharge, time of discharge,
and/or requirements for flow regulation and equalization;
(2) Requirements for the installation of pretreatment technology, pollution
control, or construction of appropriate containment devices, designed to reduce,
eliminate, or prevent the introduction of pollutants into the treatment works;
(3) Requirements for the development and implementation of spill control plans
or other special conditions including management practices necessary to
adequately prevent accidental, unanticipated, or nonroutine discharges;
(4) Development and implementation of waste minimization plans to reduce the
amount of pollutants discharged to the POTW;
(5) The unit charge or schedule of User charges and fees for the management of
the wastewater discharged to the POTW;
(6) Requirements for installation and maintenance of inspection and sampling
facilities and equipment, including flow measurement devices;
(7) A statement that compliance with the individual wastewater discharge permit
[or the general permit {optional}] does not relieve the permittee of responsibility
for compliance with all applicable Federal and State Pretreatment Standards,
including those which become effective during the term of the individual
wastewater discharge permit [or the general permit {optional}]; and
(8) Other conditions as deemed appropriate by [the Superintendent] to ensure
compliance with this ordinance, and State and Federal laws, rules, and
regulations.
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5.3 Permit Issuance Process {optional}
A. Public Notification. The [Superintendent] will publish [in an official government
publication and/or newspaper(s) of general circulation that provides meaningful public
notice with the jurisdiction(s) served by the POTW, or on a Web page], a notice to issue a
pretreatment permit, at least [ ( ) fill in number] days prior to issuance. The
notice will indicate a location where the draft permit may be reviewed and an address
where written comments may be submitted.
B. Permit Appeals. [The Superintendent] shall provide public notice of the issuance of
an individual wastewater discharge permit [or a general permit {optional}]. Any person,
including the User, may petition [the Superintendent] to reconsider the terms of an
individual wastewater discharge permit [or a general permit {optional}] within [
( ) fill in number] days of notice of its issuance.
(1) Failure to submit a timely petition for review shall be deemed to be a waiver
of the administrative appeal.
(2) In its petition, the appealing party must indicate the individual wastewater
discharge permit [or a general permit {optional}] provisions objected to, the
reasons for this objection, and the alternative condition, if any, it seeks to place in
the individual wastewater discharge permit [or a general permit {optional}].
(3) The effectiveness of the individual wastewater discharge permit [or a general
permit {optional}] shall not be stayed pending the appeal.
(4) If [the Superintendent] fails to act within [ ( )] days, a request for
reconsideration shall be deemed to be denied. Decisions not to reconsider an
individual wastewater discharge permit [or a general permit {optional}], not to
issue an individual wastewater discharge permit [or a general permit {optional}], or
not to modify an individual wastewater discharge permit [or a general permit
{optional}] shall be considered final administrative actions for purposes of judicial
review.
(5) Aggrieved parties seeking judicial review of the final administrative
individual wastewater discharge permit [or general permit {optional}] decision
must do so by filing a complaint with the [insert name of appropriate Court] for
[proper jurisdiction] within [insert appropriate State Statute of Limitations].
5.4 Permit Modification
A. [The Superintendent] may modify an individual wastewater discharge permit for good
cause, including, but not limited to, the following reasons:
(1) To incorporate any new or revised Federal, State, or local Pretreatment
Standards or Requirements;
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(2) To address significant alterations or additions to the User's operation,
processes, or wastewater volume or character since the time of the individual
wastewater discharge permit issuance;
(3) A change in the POTW that requires either a temporary or permanent
reduction or elimination of the authorized discharge;
(4) Information indicating that the permitted discharge poses a threat to [the
City's] POTW, [City] personnel, or the receiving waters; [Note: The Control
Authority should consider threats to the POTW's beneficial sludge use.]
(5) Violation of any terms or conditions of the individual wastewater discharge
permit;
(6) Misrepresentations or failure to fully disclose all relevant facts in the wastewater
discharge permit application or in any required reporting;
(7) Revision of or a grant of variance from categorical Pretreatment Standards
pursuant to 40 CFR 403.13;
(8) To correct typographical or other errors in the individual wastewater discharge
permit; or
(9) To reflect a transfer of the facility ownership or operation to a new owner or
operator where requested in accordance with Section 5.5.
{Optional} [Note: The following provision is optional. The municipality may include a provision authorizing
it to do the following.]
B. [The Superintendent] may modify a general permit for good cause, including, but not
limited to, the following reasons:
(1) To incorporate any new or revised Federal, State, or local Pretreatment
Standards or Requirements;
(2) A change in the POTW that requires either a temporary or permanent
reduction or elimination of the authorized discharge;
(3) To correct typographical or other errors in the individual wastewater discharge
permit; or
(4) To reflect a transfer of the facility ownership or operation to a new owner or
operator where requested in accordance with Section 5.5.
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5.5 Individual Wastewater Discharge Permit [and General Permit {optional}] Transfer
Individual wastewater discharge permits [or coverage under general permits {optional}] may be
transferred to a new owner or operator only if the permittee gives at least [ ( )] days
advance notice to [the Superintendent] and [the Superintendent] approves the individual
wastewater discharge permit [or the general permit coverage {optional}] transfer. The notice to
[the Superintendent] must include a written certification by the new owner or operator which:
A. States that the new owner and/or operator has no immediate intent to change the
facility's operations and processes;
B. Identifies the specific date on which the transfer is to occur; and
C. Acknowledges full responsibility for complying with the existing individual
wastewater discharge permit [or general permit {optional}].
Failure to provide advance notice of a transfer renders the individual wastewater discharge
permit [or coverage under the general permit {optional}] void as of the date of facility transfer.
5.6 Individual Wastewater Discharge Permit [and General Permit {optional}] Revocation
[The Superintendent] may revoke an individual wastewater discharge permit [or coverage under
a general permit {optional}] for good cause, including, but not limited to, the following reasons:
A. Failure to notify [the Superintendent] of significant changes to the wastewater prior to
the changed discharge;
B. Failure to provide prior notification to [the Superintendent] of changed conditions
pursuant to Section 6.5 of this ordinance;
C. Misrepresentation or failure to fully disclose all relevant facts in the wastewater
discharge permit application;
D. Falsifying self-monitoring reports and certification statements;
E. Tampering with monitoring equipment;
F. Refusing to allow [the Superintendent] timely access to the facility premises and
records;
G. Failure to meet effluent limitations;
H. Failure to pay fines;
I. Failure to pay sewer charges;
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J. Failure to meet compliance schedules;
K. Failure to complete a wastewater survey or the wastewater discharge permit
application;
L. Failure to provide advance notice of the transfer of business ownership of a permitted
facility; or
M. Violation of any Pretreatment Standard or Requirement, or any terms of the
wastewater discharge permit [or the general permit {optional}] or this ordinance.
Individual wastewater discharge permits [or coverage under general permits {optional}] shall be
voidable upon cessation of operations or transfer of business ownership. All individual
wastewater discharge permits [or general permits {optional}] issued to a User are void upon the
issuance of a new individual wastewater discharge permit [or a general permit {optional}] to that
User.
5.7 Individual Wastewater Discharge Permit [and General Permit {optional}] Reissuance
A User with an expiring individual wastewater discharge permit [or general permit {optional}]
shall apply for individual wastewater discharge permit [or general permit {optional}] reissuance
by submitting a complete permit application, in accordance with Section 4.5 of this ordinance, a
minimum of [ ( )] days prior to the expiration of the User's existing individual
wastewater discharge permit [or general permit {optional}].
5.8 Regulation of Waste Received from Other Jurisdictions
[Note: The municipality must ensure that discharges received from entities outside its jurisdictional
boundaries are regulated to the same extent as are discharges from within its jurisdictional boundaries. How
a municipality regulates such discharges largely will be determined by what is allowed under its State law.
The municipality must determine the extent of its authority under State law to regulate Users located outside
its jurisdictional boundaries. If the municipality does not have the legal authority to issue enforceable
permits directly to extrajurisdictional dischargers and cannot obtain this authority under State law, it should
strongly consider entering into an agreement with the municipality in which the dischargers are located. The
agreement would require that the contributing municipality either regulate the dischargers within its
jurisdiction directly or allow the municipality (in which the POTW is located) to regulate such dischargers.
Following is one possible means of regulating dischargers located outside the municipality's jurisdictional
boundaries.]
A. If another municipality, or User located within another municipality, contributes
wastewater to the POTW, [the Superintendent] shall enter into an intermunicipal
agreement with the contributing municipality.
B. Prior to entering into an agreement required by paragraph A, above, [the
Superintendent] shall request the following information from the contributing
municipality:
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(1) A description of the quality and volume of wastewater discharged to the
POTW by the contributing municipality;
(2) An inventory of all Users located within the contributing municipality that are
discharging to the POTW; and
(3) Such other information as [the Superintendent] may deem necessary.
C. An intermunicipal agreement, as required by paragraph A, above, shall contain the
following conditions:
(1) A requirement for the contributing municipality to adopt a sewer use
ordinance which is at least as stringent as this ordinance and Local Limits,
including required Baseline Monitoring Reports (BMRs) which are at least as
stringent as those set out in Section 2.4 of this ordinance. The requirement shall
specify that such ordinance and limits must be revised as necessary to reflect
changes made to [the City's] ordinance or Local Limits;
(2) A requirement for the contributing municipality to submit a revised User
inventory on at least an annual basis;
(3) A provision specifying which pretreatment implementation activities,
including individual wastewater discharge permit [or general permit {optional}]
issuance, inspection and sampling, and enforcement, will be conducted by the
contributing municipality; which of these activities will be conducted by [the
Superintendent]; and which of these activities will be conducted jointly by the
contributing municipality and [the Superintendent];
(4) A requirement for the contributing municipality to provide [the
Superintendent] with access to all information that the contributing municipality
obtains as part of its pretreatment activities;
(5) Limits on the nature, quality, and volume of the contributing municipality's
wastewater at the point where it discharges to the POTW;
(6) Requirements for monitoring the contributing municipality's discharge;
(7) A provision ensuring [the Superintendent] access to the facilities of Users
located within the contributing municipality's jurisdictional boundaries for the
purpose of inspection, sampling, and any other duties deemed necessary by [the
Superintendent]; and
(8) A provision specifying remedies available for breach of the terms of the
intermunicipal agreement.
[Note: Where the contributing municipality has primary responsibility for permitting, compliance
monitoring, or enforcement, the intermunicipal agreement should specify that the municipality (in which the
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POTW is located) has the right to take action to enforce the terms of the contributing municipality's
ordinance or to impose and enforce Pretreatment Standards and Requirements directly against dischargers
in the event the contributing jurisdiction is unable or unwilling to take such action.]
SECTION 6—REPORTING REQUIREMENTS
6.1 Baseline Monitoring Reports
[Note: Users that become subject to new or revised categorical Pretreatment Standards are required to
comply with the following reporting requirements even if they have been designated as Non-Significant
Categorical Industrial Users]
A. Within either one hundred eighty (180) days after the effective date of a categorical
Pretreatment Standard, or the final administrative decision on a category determination
under 40 CFR 403.6(a)(4), whichever is later, existing Categorical Industrial Users
currently discharging to or scheduled to discharge to the POTW shall submit to [the
Superintendent] a report which contains the information listed in paragraph B, below. At
least ninety (90) days prior to commencement of their discharge, New Sources, and
sources that become Categorical Industrial Users subsequent to the promulgation of an
applicable categorical Standard, shall submit to [the Superintendent] a report which
contains the information listed in paragraph B, below. A New Source shall report the
method of pretreatment it intends to use to meet applicable categorical Standards. A New
Source also shall give estimates of its anticipated flow and quantity of pollutants to be
discharged.
B. Users described above shall submit the information set forth below.
(1) All information required in Section 4.5A (1) (a), Section 4.5A (2), Section
4.5A (3) (a), and Section 4.5A (6). [Note: See 40 CFR 403.12(b)(l)-(7)]
(2) Measurement of pollutants.
a. The User shall provide the information required in Section 4.5 A (7) (a)
through (d).
b. The User shall take a minimum of one representative sample to compile that
data necessary to comply with the requirements of this paragraph.
c. Samples should be taken immediately downstream from pretreatment facilities
if such exist or immediately downstream from the regulated process if no
pretreatment exists. If other wastewaters are mixed with the regulated
wastewater prior to pretreatment the User should measure the flows and
concentrations necessary to allow use of the combined wastestream formula in
40 CFR 403.6(e) to evaluate compliance with the Pretreatment Standards.
Where an alternate concentration or mass limit has been calculated in
accordance with 40 CFR 403.6(e) this adjusted limit along with supporting
data shall be submitted to the Control Authority;
d. Sampling and analysis shall be performed in accordance with Section 6.10;
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e. The [Superintendent] may allow the submission of a baseline report which
utilizes only historical data so long as the data provides information sufficient
to determine the need for industrial pretreatment measures;
f The baseline report shall indicate the time, date and place of sampling and
methods of analysis, and shall certify that such sampling and analysis is
representative of normal work cycles and expected pollutant Discharges to the
POTW.
(3) Compliance Certification. A statement, reviewed by the User's Authorized
Representative as defined in Section 1.4 C and certified by a qualified
professional, indicating whether Pretreatment Standards are being met on a
consistent basis, and, if not, whether additional operation and maintenance
(O&M) and/or additional pretreatment is required to meet the Pretreatment
Standards and Requirements.
(4) Compliance Schedule. If additional pretreatment and/or O&M will be
required to meet the Pretreatment Standards, the shortest schedule by which the
User will provide such additional pretreatment and/or O&M must be provided.
The completion date in this schedule shall not be later than the compliance date
established for the applicable Pretreatment Standard. A compliance schedule
pursuant to this Section must meet the requirements set out in Section 6.2 of this
ordinance.
(5) Signature and Report Certification. All baseline monitoring reports must be
certified in accordance with Section 6.14 A of this ordinance and signed by an
Authorized Representative as defined in Section 1.4C.
6.2 Compliance Schedule Progress Reports
The following conditions shall apply to the compliance schedule required by Section
6.1(B)(4) of this ordinance:
A. The schedule shall contain progress increments in the form of dates for the
commencement and completion of major events leading to the construction and operation
of additional pretreatment required for the User to meet the applicable Pretreatment
Standards (such events include, but are not limited to, hiring an engineer, completing
preliminary and final plans, executing contracts for major components, commencing and
completing construction, and beginning and conducting routine operation);
B. No increment referred to above shall exceed nine (9) months;
C. The User shall submit a progress report to [the Superintendent] no later than fourteen
(14) days following each date in the schedule and the final date of compliance including,
as a minimum, whether or not it complied with the increment of progress, the reason for
any delay, and, if appropriate, the steps being taken by the User to return to the
established schedule; and
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D. In no event shall more than nine (9) months elapse between such progress reports to
[the Superintendent].
6.3 Reports on Compliance with Categorical Pretreatment Standard Deadline
Within ninety (90) days following the date for final compliance with applicable categorical
Pretreatment Standards, or in the case of a New Source following commencement of the
introduction of wastewater into the POTW, any User subject to such Pretreatment Standards and
Requirements shall submit to [the Superintendent] a report containing the information described
in Section 4.5A(6) and (7) and 6.1(B)(2) of this ordinance. For Users subject to equivalent mass
or concentration limits established in accordance with the procedures in Section 2.2 [Note: See 40
CFR403.6(c)], this report shall contain a reasonable measure of the User's long-term production
rate. For all other Users subject to categorical Pretreatment Standards expressed in terms of
allowable pollutant discharge per unit of production (or other measure of operation), this report
shall include the User's actual production during the appropriate sampling period. All
compliance reports must be signed and certified in accordance with Section 6.14 A of this
ordinance. All sampling will be done in conformance with Section 6.11.
6.4 Periodic Compliance Reports
[Note: All SIUs are required to submit periodic compliance reports even if they have been
designated a Non-Significant Categorical Industrial User under the provisions of Section 6.4 C.]
A. Except as specified in Section 6.4.C, all [Significant Industrial] Users must, at a
frequency determined by [the Superintendent] submit no less than twice per year (June
and December [or on dates specified]) reports indicating the nature, concentration of
pollutants in the discharge which are limited by Pretreatment Standards and the measured
or estimated average and maximum daily flows for the reporting period. In cases where
the Pretreatment Standard requires compliance with a Best Management Practice (BMP)
or pollution prevention alternative, the User must submit documentation required by [the
Superintendent] or the Pretreatment Standard necessary to determine the compliance
Status of the User [Note: Required Streamlining Rule Change].
{Optional} [Note: The following optional provision may be included in the local ordinances only if
authorized under State law. Criteria for monitoring waivers must also include any criteria defined in
applicable State law requirements.]
B. The [City] may authorize an Industrial User subject to a categorical Pretreatment
Standard to forego sampling of a pollutant regulated by a categorical Pretreatment
Standard if the Industrial User has demonstrated through sampling and other technical
factors that the pollutant is neither present nor expected to be present in the Discharge, or
is present only at background levels from intake water and without any increase in the
pollutant due to activities of the Industrial User, [see 40 CFR 403.12(e)(2)] This
authorization is subject to the following conditions:
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(1) The waiver may be authorized where a pollutant is determined to be present
solely due to sanitary wastewater discharged from the facility provided that the
sanitary wastewater is not regulated by an applicable categorical Standard and
otherwise includes no process wastewater.
(2) The monitoring waiver is valid only for the duration of the effective period of
the individual wastewater discharge permit, but in no case longer than 5 years.
The User must submit a new request for the waiver before the waiver can be
granted for each subsequent individual wastewater discharge permit. See Section
4.5A(8).
(3) In making a demonstration that a pollutant is not present, the Industrial User
must provide data from at least one sampling of the facility's process wastewater
prior to any treatment present at the facility that is representative of all wastewater
from all processes.
(4) The request for a monitoring waiver must be signed in accordance with
Section 1.4C, and include the certification statement in 6.14 A (40 CFR
403.6(a)(2)(ii)).
(5) Non-detectable sample results may be used only as a demonstration that a
pollutant is not present if the EPA approved method from 40 CFR Part 136 with
the lowest minimum detection level for that pollutant was used in the analysis.
(6) Any grant of the monitoring waiver by the [Superintendent] must be included
as a condition in the User's permit. The reasons supporting the waiver and any
information submitted by the User in its request for the waiver must be
maintained by the [Superintendent] for 3 years after expiration of the waiver.
(7) Upon approval of the monitoring waiver and revision of the User's permit by
the [Superintendent], the Industrial User must certify on each report with the
statement in Section 6.14 C below, that there has been no increase in the pollutant
in its wastestream due to activities of the Industrial User.
(8) In the event that a waived pollutant is found to be present or is expected to be
present because of changes that occur in the User's operations, the User must
immediately: Comply with the monitoring requirements of Section 6.4 A, or other
more frequent monitoring requirements imposed by the [Superintendent], and
notify the [Superintendent].
(9) This provision does not supersede certification processes and requirements
established in categorical Pretreatment Standards, except as otherwise specified in
the categorical Pretreatment Standard.
[{Optional} Note: The following optional provision may be included in the local ordinances only if authorized
under State law. Criteria for reduced reporting must also include any criteria defined in applicable State
law.]
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C. The [City] may reduce the requirement for periodic compliance reports [see Section
6.4 A (40 CFR 403.12(e)(l))] to a requirement to report no less frequently than once a
year, unless required more frequently in the Pretreatment Standard or by the [EPA/State],
where the Industrial User's total categorical wastewater flow does not exceed any of the
following:
(1) [insert POTW's value for 0.01 percent of the POTW's design dry-weather
hydraulic capacity of the POTW], or five thousand (5,000) gallons per day,
whichever is smaller, as measured by a continuous effluent flow monitoring
device unless the Industrial User discharges in batches]
(2) [insert POTW's value for 0.01 percent of the design dry-weather organic
treatment capacity of the POTW]; and
(3) [Insert POTW's value for 0.01 percent of the maximum allowable headworks
loading for any pollutant regulated by the applicable categorical Pretreatment
Standard for which approved Local Limits were developed in accordance with
Section 2.4 of this ordinance.] [Note: For example, if the POTW's maximum allowable
headworks loading for copper is 5 pounds, then 0.01 percent would be 0.0005 pounds; the
POTW would need to do this calculation for each pollutant for which it has approved Local
Limits.]
Reduced reporting is not available to Industrial Users that have in the last two (2) years
been in Significant Noncompliance, as defined in Section 9 of this ordinance. In
addition, reduced reporting is not available to an Industrial User with daily flow rates,
production levels, or pollutant levels that vary so significantly that, in the opinion of the
[Superintendent], decreasing the reporting requirement for this Industrial User would
result in data that are not representative of conditions occurring during the reporting
period.
D. All periodic compliance reports must be signed and certified in accordance with
Section 6.14 A of this ordinance.
E. All wastewater samples must be representative of the User's discharge. Wastewater
monitoring and flow measurement facilities shall be properly operated, kept clean, and
maintained in good working order at all times. The failure of a User to keep its
monitoring facility in good working order shall not be grounds for the User to claim that
sample results are unrepresentative of its discharge. [Note: This paragraph supports the
Required Streamlining Rule Changes.]
F. If a User subject to the reporting requirement in this section monitors any regulated
pollutant at the appropriate sampling location more frequently than required by [the
Superintendent], using the procedures prescribed in Section 6.11 of this ordinance, the
results of this monitoring shall be included in the report. [Note: See 40 CFR 403.12(g)(6)]
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{Optional} [Note: The following optional provision may be included in the local ordinances only where the
POTW has been authorized by EPA to accept electronic reports from its Ills and State law authorizes it]
G. Users that send electronic (digital) documents to [the City] to satisfy the requirements
of this Section must: [specify POTW requirements for IU submittal of electronic reports
here. [Note: POTWs that choose to receive electronic documents must satisfy the requirements of
40 CFR Part 3—(Electronic reporting)]
6.5 Reports of Changed Conditions
Each User must notify [the Superintendent] of any significant changes to the User's operations or
system which might alter the nature, quality, or volume of its wastewater at least [
( )] days before the change.
A. [The Superintendent] may require the User to submit such information as may be
deemed necessary to evaluate the changed condition, including the submission of a
wastewater discharge permit application under Section 4.5 of this ordinance.
B. [The Superintendent] may issue an individual wastewater discharge permit [or a
general permit {optional}] under Section 5.7 of this ordinance or modify an existing
wastewater discharge permit [or a general permit {optional}] under Section 5.4 of this
ordinance in response to changed conditions or anticipated changed conditions.
6.6 Reports of Potential Problems
A. In the case of any discharge, including, but not limited to, accidental discharges,
discharges of a nonroutine, episodic nature, a noncustomary batch discharge, a Slug
Discharge or Slug Load, that might cause potential problems for the POTW, the User
shall immediately telephone and notify [the Superintendent] of the incident. This
notification shall include the location of the discharge, type of waste, concentration and
volume, if known, and corrective actions taken by the User.
B. Within five (5) days following such discharge, the User shall, unless waived by [the
Superintendent], submit a detailed written report describing the cause(s) of the discharge
and the measures to be taken by the User to prevent similar future occurrences. Such
notification shall not relieve the User of any expense, loss, damage, or other liability
which might be incurred as a result of damage to the POTW, natural resources, or any
other damage to person or property; nor shall such notification relieve the User of any
fines, penalties, or other liability which may be imposed pursuant to this ordinance.
{Optional} [Note: This report is not required under the General Pretreatment Regulations and,
therefore, is optional.]
C. A notice shall be permanently posted on the User's bulletin board or other prominent
place advising employees who to call in the event of a discharge described in paragraph
A, above. Employers shall ensure that all employees, who could cause such a discharge
to occur, are advised of the emergency notification procedure.
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D. Significant Industrial Users are required to notify the [Superintendent] immediately of
any changes at its facility affecting the potential for a Slug Discharge. [Note: Required
Streamlining Rule Change]
6.7 Reports from Unpermitted Users
All Users not required to obtain an individual wastewater discharge permit [or general permit
{optional}] shall provide appropriate reports to [the Superintendent] as [the Superintendent] may
require.
6.8 Notice of Violation/Repeat Sampling and Reporting
If sampling performed by a User indicates a violation, the User must notify [the Superintendent]
within twenty-four (24) hours of becoming aware of the violation. The User shall also repeat the
sampling and analysis and submit the results of the repeat analysis to [the Superintendent] within
thirty (30) days after becoming aware of the violation. Resampling by the Industrial User is not
required if [the City] performs sampling at the User's facility at least once a month, or if [the
City] performs sampling at the User between the time when the initial sampling was conducted
and the time when the User or [the City] receives the results of this sampling, or if [the City] has
performed the sampling and analysis in lieu of the Industrial User.
.[Note: Required Streamlining Rule Change needed if POTWperforms sampling in lieu of the Industrial Users.
If the City performed the sampling and analysis in lieu of the Industrial User, the City will perform the
repeat sampling and analysis unless it notifies the User of the violation and requires the User to perform the
repeat sampling and analysis. See 40 CFR 403.12(g) (2).]
6.9 Notification of the Discharge of Hazardous Waste
[Note: The municipality may choose to prohibit the discharge of hazardous wastes.]
A. Any User who commences the discharge of hazardous waste shall notify the POTW,
the EPA Regional Waste Management Division Director, and State hazardous waste
authorities, in writing, of any discharge into the POTW of a substance which, if otherwise
disposed of, would be a hazardous waste under 40 CFR Part 261. Such notification must
include the name of the hazardous waste as set forth in 40 CFR Part 261, the EPA
hazardous waste number, and the type of discharge (continuous, batch, or other). If the
User discharges more than one hundred (100) kilograms of such waste per calendar
month to the POTW, the notification also shall contain the following information to the
extent such information is known and readily available to the User: an identification of
the hazardous constituents contained in the wastes, an estimation of the mass and
concentration of such constituents in the wastestream discharged during that calendar
month, and an estimation of the mass of constituents in the wastestream expected to be
discharged during the following twelve (12) months. All notifications must take place no
later than one hundred and eighty (180) days after the discharge commences. Any
notification under this paragraph need be submitted only once for each hazardous waste
discharged. However, notifications of changed conditions must be submitted under
Section 6.5 of this ordinance. The notification requirement in this Section does not apply
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to pollutants already reported by Users subject to categorical Pretreatment Standards
under the self-monitoring requirements of Sections 6.1, 6.3, and 6.4 of this ordinance.
B. Dischargers are exempt from the requirements of paragraph A, above, during a
calendar month in which they discharge no more than fifteen (15) kilograms of
hazardous wastes, unless the wastes are acute hazardous wastes as specified in 40 CFR
261.30(d) and 261.33(e). Discharge of more than fifteen (15) kilograms of nonacute
hazardous wastes in a calendar month, or of any quantity of acute hazardous wastes as
specified in 40 CFR 261.30(d) and 261.33(e), requires a one-time notification.
Subsequent months during which the User discharges more than such quantities of any
hazardous waste do not require additional notification.
C. In the case of any new regulations under section 3001 of RCRA identifying additional
characteristics of hazardous waste or listing any additional substance as a hazardous
waste, the User must notify [the Superintendent], the EPA Regional Waste Management
Waste Division Director, and State hazardous waste authorities of the discharge of such
substance within ninety (90) days of the effective date of such regulations.
D. In the case of any notification made under this Section, the User shall certify that it
has a program in place to reduce the volume and toxicity of hazardous wastes generated
to the degree it has determined to be economically practical.
E. This provision does not create a right to discharge any substance not otherwise
permitted to be discharged by this ordinance, a permit issued thereunder, or any
applicable Federal or State law.
6.10 Analytical Requirements
All pollutant analyses, including sampling techniques, to be submitted as part of a wastewater
discharge permit application or report shall be performed in accordance with the techniques
prescribed in 40 CFR Part 136 and amendments thereto, unless otherwise specified in an
applicable categorical Pretreatment Standard. If 40 CFR Part 136 does not contain sampling or
analytical techniques for the pollutant in question, or where the EPA determines that the Part 136
sampling and analytical techniques are inappropriate for the pollutant in question, sampling and
analyses shall be performed by using validated analytical methods or any other applicable
sampling and analytical procedures, including procedures suggested by the [Superintendent] or
other parties approved by EPA.
6.11 Sample Collection
Samples collected to satisfy reporting requirements must be based on data obtained through
appropriate sampling and analysis performed during the period covered by the report, based on
data that is representative of conditions occurring during the reporting period. [Note: The Control
Authority is require to indicate the frequency of monitoring necessary to assess and assure compliance by the
User with applicable Pretreatment Standards and Requirements.]
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[Note: In the Streamlining Rule changes, Paragraphs A and B below have been deleted from 40 CFR
403.12(b)(5) and added to 403.12(g)(3). The original paragraphs relate to Categorical Industrial User
monitoring reports only while the relocated paragraphs apply to all SIU monitoring.]
A. Except as indicated in Section B and C below, the User must collect wastewater
samples using 24-hour flow-proportional composite sampling techniques, unless
time-proportional composite sampling or grab sampling is authorized by [the
Superintendent]. Where time-proportional composite sampling or grab sampling is
authorized by [the City], the samples must be representative of the discharge. Using
protocols (including appropriate preservation) specified in 40 CFR Part 136 and
appropriate EPA guidance, multiple grab samples collected during a 24-hour period may
be composited prior to the analysis as follows: for cyanide, total phenols, and sulfides the
samples may be composited in the laboratory or in the field; for volatile organics and oil
and grease, the samples may be composited in the laboratory. Composite samples for
other parameters unaffected by the compositing procedures as documented in approved
EPA methodologies may be authorized by [the City], as appropriate. In addition, grab
samples may be required to show compliance with Instantaneous Limits. [Note: Required
Streamlining Rule Change. See 40 CFR 403.12(g)(3)]
B. Samples for oil and grease, temperature, pH, cyanide, total phenols, sulfides, and
volatile organic compounds must be obtained using grab collection techniques.
C. For sampling required in support of baseline monitoring and 90-day compliance
reports required in Section 6.1 and 6.3 [40 CFR 403.12(b) and (d)], a minimum of four
(4) grab samples must be used for pH, cyanide, total phenols, oil and grease, sulfide and
volatile organic compounds for facilities for which historical sampling data do not exist;
for facilities for which historical sampling data are available, [the Superintendent] may
authorize a lower minimum. For the reports required by paragraphs Section 6.4 (40 CFR
403.12(e) and 403.12(h)), the Industrial User is required to collect the number of grab
samples necessary to assess and assure compliance by with applicable Pretreatment
Standards and Requirements. [Note: Required Streamlining Rule Change, see 40 CFR
403.12(g)(4).]
6.12 Date of Receipt of Reports
Written reports will be deemed to have been submitted on the date postmarked. For reports,
which are not mailed, postage prepaid, into a mail facility serviced by the United States Postal
Service, the date of receipt of the report shall govern.
6.13 Recordkeeping
Users subject to the reporting requirements of this ordinance shall retain, and make available for
inspection and copying, all records of information obtained pursuant to any monitoring activities
required by this ordinance, any additional records of information obtained pursuant to
monitoring activities undertaken by the User independent of such requirements, and
documentation associated with Best Management Practices established under Section 2.4 C.
Records shall include the date, exact place, method, and time of sampling, and the name of the
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person(s) taking the samples; the dates analyses were performed; who performed the analyses;
the analytical techniques or methods used; and the results of such analyses. These records shall
remain available for a period of at least three (3) years. This period shall be automatically
extended for the duration of any litigation concerning the User or [the City], or where the User
has been specifically notified of a longer retention period by [the Superintendent]. [Note: The
recordkeeping requirements for BMPs are a Required Streamlining Rule Change.]
6.14 Certification Statements
[Note: This Section has been modified to consolidate the certification statements previously listed elsewhere.
Section 4.7A&C—Certification of all wastewater discharge permit applications, and User reports and annual
certification of NSCIUs, Section 6.4B(4)—"initial" certification for pollutants not present, Section 6.4B (7)—
Certification of periodic reports of pollutants not present, Section 6.4D—Certification of all periodic
compliance reports.]
[Note: 40 CFR 403.12 (1) requires that the certification which follows be provided for IU Baseline Monitoring
Reports (BMRs) (403.12(b), IU Reports on Compliance with Categorical Pretreatment Standards Deadline
(90-day compliance report) (403.12(d), CIU Periodic Reports on Continued Compliance (403.12(e)) and the
initial request from CIUs to forego Monitoring for Pollutants Not Present. In addition to CIUs, the model
ordinance requires this certification statement for all wastewater discharge permit applications and User
reports. Furthermore, the POTW should require this certification statement for all noncategorical SIU
compliance reports.]
A. Certification of Permit Applications, User Reports and Initial Monitoring Waiver—
The following certification statement is required to be signed and submitted by Users
submitting permit applications in accordance with Section 4.7; Users submitting baseline
monitoring reports under Section 6.1 B (5) [Note: See 40 CFR 403.12 (1)]; Users submitting
reports on compliance with the categorical Pretreatment Standard deadlines under Section
6.3 [Note: See 40 CFR403.12(d)]; Users submitting periodic compliance reports required by
Section 6.4 A-D [Note: See 40 CFR 403.12(e) and (h)], and Users submitting an initial request
to forego sampling of a pollutant on the basis of Section 6.4B(4)[Note: See 40 CFR
403.12(e)(2)(iii)]. The following certification statement must be signed by an Authorized
Representative as defined in Section 1.4 C:
I certify under penalty of law that this document and all attachments were
prepared under my direction or supervision in accordance with a system designed
to assure that qualified personnel properly gather and evaluate the information
submitted. Based on my inquiry of the person or persons who manage the system,
or those persons directly responsible for gathering the information, the
information submitted is, to the best of my knowledge and belief, true, accurate,
and complete. I am aware that there are significant penalties for submitting false
information, including the possibility of fine and imprisonment for knowing
violations.
{Optional} [Note: The following optional provision is required if the municipality has incorporated Section
1.4 GG(3) into its ordinance].
B. Annual Certification for Non-Significant Categorical Industrial Users—A facility
determined to be a Non-Significant Categorical Industrial User by [the Superintendent]
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pursuant to 1.4 GG(3) and 4.7 C [Note: See 40 CFR 403.3(v)(2)] must annually submit the
following certification statement signed in accordance with the signatory requirements in
1.4 C [Note: See 40 CFR 403.120(1)]. This certification must accompany an alternative report
required by [the Superintendent]:
Based on my inquiry of the person or persons directly responsible for
managing compliance with the categorical Pretreatment Standards under
40 CFR , I certify that, to the best of my knowledge and belief that
during the period from , to ,
[months, days, year]:
(a) The facility described as
[facility name] met the definition of a Non-Significant Categorical
Industrial User as described in 1.4 GG (3); [Note: See 40 CFR 403.3(v)(2)]
(b) The facility complied with all applicable Pretreatment Standards and
requirements during this reporting period; and (c) the facility never
discharged more than 100 gallons of total categorical wastewater on any
given day during this reporting period.
This compliance certification is based on the following information.
{Optional} [Note: The following optional provision is required if the municipality has incorporated Section
6.4 B into its ordinance].
C. Certification of Pollutants Not Present
Users that have an approved monitoring waiver based on Section 6.4 B must certify on
each report with the following statement that there has been no increase in the pollutant
in its wastestream due to activities of the User. [Note: See 40 CFR 403.12(e)(2)(v)]
Based on my inquiry of the person or persons directly responsible for managing
compliance with the Pretreatment Standard for 40 CFR [specify
applicable National Pretreatment Standard part(s)], I certify that, to the best of my
knowledge and belief, there has been no increase in the level of [list
pollutant(s)] in the wastewaters due to the activities at the facility since filing of
the last periodic report under Section 6.4. A.
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SECTION 7—COMPLIANCE MONITORING
7.1 Right of Entry: Inspection and Sampling
[The Superintendent] shall have the right to enter the premises of any User to determine whether
the User is complying with all requirements of this ordinance and any individual wastewater
discharge permit [or general permit {optional}] or order issued hereunder. Users shall allow [the
Superintendent] ready access to all parts of the premises for the purposes of inspection,
sampling, records examination and copying, and the performance of any additional duties.
A. Where a User has security measures in force which require proper identification and
clearance before entry into its premises, the User shall make necessary arrangements with
its security guards so that, upon presentation of suitable identification, [the
Superintendent] shall be permitted to enter without delay for the purposes of performing
specific responsibilities.
B. [The Superintendent] shall have the right to set up on the User's property, or require
installation of, such devices as are necessary to conduct sampling and/or metering of the
User's operations.
C. [The Superintendent] may require the User to install monitoring equipment as
necessary. The facility's sampling and monitoring equipment shall be maintained at all
times in a safe and proper operating condition by the User at its own expense. All
devices used to measure wastewater flow and quality shall be calibrated [insert desired
frequency] to ensure their accuracy.
D. Any temporary or permanent obstruction to safe and easy access to the facility to be
inspected and/or sampled shall be promptly removed by the User at the written or verbal
request of [the Superintendent] and shall not be replaced. The costs of clearing such
access shall be born by the User.
E. Unreasonable delays in allowing [the Superintendent] access to the User's premises
shall be a violation of this ordinance.
[Note: POTWs should consider situations when the monitoring facility is constructed in the public right-of-
way or easement, in an unobstructed location. The ordinance should indicate that the location of the
monitoring facility shall provide ample room in or near the monitoring facility to allow accurate sampling
and preparation of samples and analysis and whether constructed on public or private property, the
monitoring facilities should be provided in accordance with the [Supervisor's] requirements and all
applicable local construction standards and specifications, and such facilities shall be constructed and
maintained in such manner so as to enable the [Supervisor] to perform independent monitoring activities.]
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7.2 Search Warrants
[Note: The specific process by which search warrants may be issued will vary from City to City. The
procedure will likely be a matter of State law. This provision will need to be adjusted based on the particular
procedure followed in that State and City.]
If [the Superintendent] has been refused access to a building, structure, or property, or any part
thereof, and is able to demonstrate probable cause to believe that there may be a violation of this
ordinance, or that there is a need to inspect and/or sample as part of a routine inspection and
sampling program of [the City] designed to verify compliance with this ordinance or any permit
or order issued hereunder, or to protect the overall public health, safety and welfare of the
community, [the Superintendent] may seek issuance of a search warrant from the [insert name of
appropriate Court] of [the City or State].
SECTION 8—CONFIDENTIAL INFORMATION
Information and data on a User obtained from reports, surveys, wastewater discharge permit
applications, individual wastewater discharge permits, [general permits, {optional}] and
monitoring programs, and from [the Superintendent's] inspection and sampling activities, shall
be available to the public without restriction, unless the User specifically requests, and is able to
demonstrate to the satisfaction of [the Superintendent], that the release of such information
would divulge information, processes, or methods of production entitled to protection as trade
secrets under applicable State law. Any such request must be asserted at the time of submission
of the information or data. When requested and demonstrated by the User furnishing a report
that such information should be held confidential, the portions of a report which might disclose
trade secrets or secret processes shall not be made available for inspection by the public, but
shall be made available immediately upon request to governmental agencies for uses related to
the NPDES program or pretreatment program, and in enforcement proceedings involving the
person furnishing the report. Wastewater constituents and characteristics and other effluent data,
as defined at 40 CFR 2.302 shall not be recognized as confidential information and shall be
available to the public without restriction.
SECTION 9—PUBLICATION OF USERS IN SIGNIFICANT NONCOMPLIANCE
[Note: Unless the optional (underlined) revisions to the SNC provisions have been made by the State, the
POTW must retain the previous requirements. The optional revisions include the public notice in a
newspaper of general circulation that provides meaningful public notice within the jurisdiction, publishing
SIUs and other Ills that have adversely affected the POTW, and that IU reports submitted more than 45 days
late constitutes SNC. See 40 CFR 403.8(f) (2)(viii)(A-C).]
[The Superintendent] shall publish annually, in a newspaper of general circulation that provides
meaningful public notice within the jurisdictions served by [the POTW], a list of the Users
which, at any time during the previous twelve (12) months, were in Significant Noncompliance
with applicable Pretreatment Standards and Requirements. The term Significant Noncompliance
shall be applicable to all Significant Industrial Users (or any other Industrial User that violates
paragraphs (C), (D) or (H) of this Section) and shall mean:
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A. Chronic violations of wastewater discharge limits, defined here as those in which
sixty-six percent (66%) or more of all the measurements taken for the same pollutant
parameter taken during a six- (6-) month period exceed (by any magnitude) a numeric
Pretreatment Standard or Requirement, including Instantaneous Limits as defined in
Section 2; [Note: Required Streamlining Rule Change, see 40 CFR 403.3(1)]
B. Technical Review Criteria (TRC) violations, defined here as those in which
thirty-three percent (33%) or more of wastewater measurements taken for each pollutant
parameter during a six- (6-) month period equals or exceeds the product of the numeric
Pretreatment Standard or Requirement including Instantaneous Limits, as defined by
Section 2 multiplied by the applicable criteria (1.4 for BOD, TSS, fats, oils and grease,
and 1.2 for all Other pollutants except pH); [Note: Required Streamlining Rule Change, see 40
CFR 403.3(1)]
C. Any other violation of a Pretreatment Standard or Requirement as defined by Section
2 (Daily Maximum, long-term average, Instantaneous Limit, or narrative standard) that
[the Superintendent] determines has caused, alone or in combination with other
discharges, Interference or Pass Through, including endangering the health of POTW
personnel or the general public; [Required Streamlining Rule Change, see 40 CFR 403.3(1)]
D. Any discharge of a pollutant that has caused imminent endangerment to the public or
to the environment, or has resulted in [the Superintendent's] exercise of its emergency
authority to halt or prevent such a discharge;
E. Failure to meet, within ninety (90) days of the scheduled date, a compliance schedule
milestone contained in an individual wastewater discharge permit [or a general permit
{optional}] or enforcement order for starting construction, completing construction, or
attaining final compliance;
F. Failure to provide within forty-five (45) days after the due date, any required reports,
including baseline monitoring reports, reports on compliance with categorical
Pretreatment Standard deadlines, periodic self-monitoring reports, and reports on
compliance with compliance schedules;
G. Failure to accurately report noncompliance; or
H. Any other violation(s), which may include a violation of Best Management Practices,
which [the Superintendent] determines will adversely affect the operation or
implementation of the local pretreatment program.
SECTION 10—ADMINISTRATIVE ENFORCEMENT REMEDIES
[Note: The municipality must refer to State law to see if the remedies listed in Sections 10,11, and 12 are
allowable. The municipality must have the authority to seek injunctive relief for noncompliance and to seek
or assess penalties of at least $1,000 a day for each violation of Pretreatment Standards or Requirements by
Industrial Users.]
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10.1 Notification of Violation
When [the Superintendent] finds that a User has violated, or continues to violate, any provision
of this ordinance, an individual wastewater discharge permit, [or a general permit {optional}] or
order issued hereunder, or any other Pretreatment Standard or Requirement, [the Superintendent]
may serve upon that User a written Notice of Violation. Within [ ( )] days of the
receipt of such notice, an explanation of the violation and a plan for the satisfactory correction
and prevention thereof, to include specific required actions, shall be submitted by the User to
[the Superintendent]. Submission of such a plan in no way relieves the User of liability for any
violations occurring before or after receipt of the Notice of Violation. Nothing in this Section
shall limit the authority of [the Superintendent] to take any action, including emergency actions
or any other enforcement action, without first issuing a Notice of Violation.
10.2 Consent Orders
[The Superintendent] may enter into Consent Orders, assurances of compliance, or other similar
documents establishing an agreement with any User responsible for noncompliance. Such
documents shall include specific action to be taken by the User to correct the noncompliance
within a time period specified by the document. Such documents shall have the same force and
effect as the administrative orders issued pursuant to Sections 10.4 and 10.5 of this ordinance
and shall be judicially enforceable.
10.3 Show Cause Hearing
[The Superintendent] may order a User which has violated, or continues to violate, any provision
of this ordinance, an individual wastewater discharge permit, [or a general permit {optional}] or
order issued hereunder, or any other Pretreatment Standard or Requirement, to appear before [the
Superintendent] and show cause why the proposed enforcement action should not be taken.
Notice shall be served on the User specifying the time and place for the meeting, the proposed
enforcement action, the reasons for such action, and a request that the User show cause why the
proposed enforcement action should not be taken. The notice of the meeting shall be served
personally or by registered or certified mail (return receipt requested) at least [ ( )]
days prior to the hearing. Such notice may be served on any Authorized Representative of the
User as defined in Section 1.4 C and required by Section 4.7 A. A show cause hearing shall not
be a bar against, or prerequisite for, taking any other action against the User.
10.4 Compliance Orders
When [the Superintendent] finds that a User has violated, or continues to violate, any provision
of this ordinance, an individual wastewater discharge permit, [or a general permit {optional}] or
order issued hereunder, or any other Pretreatment Standard or Requirement, [the Superintendent]
may issue an order to the User responsible for the discharge directing that the User come into
compliance within a specified time. If the User does not come into compliance within the time
provided, sewer service may be discontinued unless adequate treatment facilities, devices, or
other related appurtenances are installed and properly operated. Compliance orders also may
contain other requirements to address the noncompliance, including additional self-monitoring
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and management practices designed to minimize the amount of pollutants discharged to the
sewer. A compliance order may not extend the deadline for compliance established for a
Pretreatment Standard or Requirement, nor does a compliance order relieve the User of liability
for any violation, including any continuing violation. Issuance of a compliance order shall not
be a bar against, or a prerequisite for, taking any other action against the User.
10.5 Cease and Desist Orders
When [the Superintendent] finds that a User has violated, or continues to violate, any provision
of this ordinance, an individual wastewater discharge permit, [or a general permit {optional}] or
order issued hereunder, or any other Pretreatment Standard or Requirement, or that the User's
past violations are likely to recur, [the Superintendent] may issue an order to the User directing it
to cease and desist all such violations and directing the User to:
A. Immediately comply with all requirements; and
B. Take such appropriate remedial or preventive action as may be needed to properly
address a continuing or threatened violation, including halting operations and/or
terminating the discharge. Issuance of a cease and desist order shall not be a bar
against, or a prerequisite for, taking any other action against the User.
10.6 Administrative Fines
[Note: The municipality should consult State law to determine whether it has the legal authority to impose
administrative penalties.]
A. When [the Superintendent] finds that a User has violated, or continues to violate, any
provision of this ordinance, an individual wastewater discharge permit, [or a general
permit {optional}] or order issued hereunder, or any other Pretreatment Standard or
Requirement, [the Superintendent] may fine such User in an amount not to exceed [insert
maximum fine allowed under State Law]. Such fines shall be assessed on a per-violation,
per-day basis. In the case of monthly or other long-term average discharge limits, fines
shall be assessed for each day during the period of violation.
B. Unpaid charges, fines, and penalties shall, after [ ( )] calendar days, be
assessed an additional penalty of [ percent ( %)] of the unpaid balance, and
interest shall accrue thereafter at a rate of [ percent ( %)] per month. A lien
against the User's property shall be sought for unpaid charges, fines, and penalties.
C. Users desiring to dispute such fines must file a written request for [the
Superintendent] to reconsider the fine along with full payment of the fine amount within
[ ( )] days of being notified of the fine. Where a request has merit, [the
Superintendent] may convene a hearing on the matter. In the event the User's appeal is
successful, the payment, together with any interest accruing thereto, shall be returned to
the User. [The Superintendent] may add the costs of preparing administrative
enforcement actions, such as notices and orders, to the fine.
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D. Issuance of an administrative fine shall not be a bar against, or a prerequisite for,
taking any other action against the User.
10.7 Emergency Suspensions
[The Superintendent] may immediately suspend a User's discharge, after informal notice to the
User, whenever such suspension is necessary to stop an actual or threatened discharge, which
reasonably appears to present, or cause an imminent or substantial endangerment to the health or
welfare of persons. [The Superintendent] may also immediately suspend a User's discharge,
after notice and opportunity to respond, that threatens to interfere with the operation of the
POTW, or which presents, or may present, an endangerment to the environment.
A. Any User notified of a suspension of its discharge shall immediately stop or eliminate
its contribution. In the event of a User's failure to immediately comply voluntarily with
the suspension order, [the Superintendent] may take such steps as deemed necessary,
including immediate severance of the sewer connection, to prevent or minimize damage
to the POTW, its receiving stream, or endangerment to any individuals. [The
Superintendent] may allow the User to recommence its discharge when the User has
demonstrated to the satisfaction of [the Superintendent] that the period of endangerment
has passed, unless the termination proceedings in Section 10.8 of this ordinance are
initiated against the User.
B. A User that is responsible, in whole or in part, for any discharge presenting imminent
endangerment shall submit a detailed written statement, describing the causes of the
harmful contribution and the measures taken to prevent any future occurrence, to [the
Superintendent] prior to the date of any show cause or termination hearing under Sections
10.3 or 10.8 of this ordinance.
Nothing in this Section shall be interpreted as requiring a hearing prior to any Emergency
Suspension under this Section.
10.8 Termination of Discharge
In addition to the provisions in Section 5.6 of this ordinance, any User who violates the
following conditions is subject to discharge termination:
A. Violation of individual wastewater discharge permit [or general permit {optional}]
conditions;
B. Failure to accurately report the wastewater constituents and characteristics of its
discharge;
C. Failure to report significant changes in operations or wastewater volume, constituents,
and characteristics prior to discharge;
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D. Refusal of reasonable access to the User's premises for the purpose of inspection,
monitoring, or sampling; or
E. Violation of the Pretreatment Standards in Section 2 of this ordinance.
Such User will be notified of the proposed termination of its discharge and be offered an
opportunity to show cause under Section 10.3 of this ordinance why the proposed action should
not be taken. Exercise of this option by [the Superintendent] shall not be a bar to, or a
prerequisite for, taking any other action against the User.
SECTION 11—JUDICIAL ENFORCEMENT REMEDIES
11.1 Injunctive Relief
When [the Superintendent] finds that a User has violated, or continues to violate, any provision
of this ordinance, an individual wastewater discharge permit, [or a general permit {optional}] or
order issued hereunder, or any other Pretreatment Standard or Requirement, [the Superintendent]
may petition the [insert name of appropriate Court] through [the City's] Attorney for the issuance
of a temporary or permanent injunction, as appropriate, which restrains or compels the specific
performance of the individual wastewater discharge permit, [the general permit, {optional}] order,
or other requirement imposed by this ordinance on activities of the User. [The Superintendent]
may also seek such other action as is appropriate for legal and/or equitable relief, including a
requirement for the User to conduct environmental remediation. A petition for injunctive relief
shall not be a bar against, or a prerequisite for, taking any other action against a User.
11.2 Civil Penalties
[Note: The municipality must have the minimum authority to seek civil or criminal penalties in the amount of
at least $1,000 per day per violation.]
A. A User who has violated, or continues to violate, any provision of this ordinance, an
individual wastewater discharge permit, [or a general permit {optional}] or order issued
hereunder, or any other Pretreatment Standard or Requirement shall be liable to [the City]
for a maximum civil penalty of [insert maximum allowed under State law but not less
than $1,000] per violation, per day. In the case of a monthly or other long-term average
discharge limit, penalties shall accrue for each day during the period of the violation.
B. [The Superintendent] may recover reasonable attorneys' fees, court costs, and other
expenses associated with enforcement activities, including sampling and monitoring
expenses, and the cost of any actual damages incurred by [the City].
C. In determining the amount of civil liability, the Court shall take into account all
relevant circumstances, including, but not limited to, the extent of harm caused by the
violation, the magnitude and duration of the violation, any economic benefit gained
through the User's violation, corrective actions by the User, the compliance history of the
User, and any other factor as justice requires.
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D. Filing a suit for civil penalties shall not be a bar against, or a prerequisite for, taking
any other action against a User.
11.3 Criminal Prosecution
[Note: To the extent State law authorizes a municipality to prosecute violations of local ordinances as a crime
under State law, the municipality should include the following provision in its local ordinance.]
A. A User who willfully or negligently violates any provision of this ordinance, an
individual wastewater discharge permit, [or a general permit {optional}] or order issued
hereunder, or any other Pretreatment Standard or Requirement shall, upon conviction, be
guilty of a misdemeanor, punishable by a fine of not more than [insert maximum fine
allowed under State law] per violation, per day, or imprisonment for not more than
[ ( )] years, or both.
B. A User who willfully or negligently introduces any substance into the POTW which
causes personal injury or property damage shall, upon conviction, be guilty of a
[misdemeanor] and be subject to a penalty of at least [insert maximum fine allowable
under State law], or be subject to imprisonment for not more than [ ( )] years,
or both. This penalty shall be in addition to any other cause of action for personal injury
or property damage available under State law.
C. A User who knowingly makes any false statements, representations, or certifications
in any application, record, report, plan, or other documentation filed, or required to be
maintained, pursuant to this ordinance, individual wastewater discharge permit, [or
general permit {optional}]or order issued hereunder, or who falsifies, tampers with, or
knowingly renders inaccurate any monitoring device or method required under this
ordinance shall, upon conviction, be punished by a fine of not more than [insert
maximum fine allowable under State law] per violation, per day, or imprisonment for not
more than [ ( )] years, or both.
D. In the event of a second conviction, a User shall be punished by a fine of not more
than [insert maximum fine allowable under State law] per violation, per day, or
imprisonment for not more than [ ( )] years, or both.
11.4 Remedies Nonexclusive
The remedies provided for in this ordinance are not exclusive. [The Superintendent] may take
any, all, or any combination of these actions against a noncompliant User. Enforcement of
pretreatment violations will generally be in accordance with [the City's] enforcement response
plan. However, [the Superintendent] may take other action against any User when the
circumstances warrant. Further, [the Superintendent] is empowered to take more than one
enforcement action against any noncompliant User.
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SECTION 12—SUPPLEMENTAL ENFORCEMENT ACTION
12.1 Penalties for Late Reports {Optional}
A penalty of $[xx] shall be assessed to any User for each day that a report required by this
ordinance, a permit or order issued hereunder is late, beginning five days after the date the report
is due [higher penalties may also be assessed where reports are more than 30-45 days late].
Actions taken by [the Superintendent] to collect late reporting penalties shall not limit [the
Superintendent's] authority to initiate other enforcement actions that may include penalties for
late reporting violations.
12.2 Performance Bonds {Optional}
[The Superintendent] may decline to issue or reissue an individual wastewater discharge permit
[or a general permit {optional}] to any User who has failed to comply with any provision of this
ordinance, a previous individual wastewater discharge permit, [or a previous general permit
{optional}] or order issued hereunder, or any other Pretreatment Standard or Requirement, unless
such User first files a satisfactory bond, payable to [the City], in a sum not to exceed a value
determined by [the Superintendent] to be necessary to achieve consistent compliance.
12.3 Liability Insurance {Optional}
[The Superintendent] may decline to issue or reissue an individual wastewater discharge [or a
general permit {optional}] to any User who has failed to comply with any provision of this
ordinance, a previous individual wastewater discharge permit, [or a previous general permit
{optional}] or order issued hereunder, or any other Pretreatment Standard or Requirement, unless
the User first submits proof that it has obtained financial assurances sufficient to restore or repair
damage to the POTW caused by its discharge.
12.4 Payment of Outstanding Fees and Penalties {Optional}
[The Superintendent] may decline to issue or reissue an individual wastewater discharge permit
[or a general permit {optional}] to any User who has failed to pay any outstanding fees, fines or
penalties incurred as a result of any provision of this ordinance, a previous individual wastewater
discharge permit, [or a previous general permit {optional}] or order issued hereunder.
12.5 Water Supply Severance {Optional}
Whenever a User has violated or continues to violate any provision of this ordinance, an
individual wastewater discharge permit, [a general permit, {optional}] or order issued hereunder,
or any other Pretreatment Standard or Requirement, water service to the User may be severed.
Service will recommence, at the User's expense, only after the User has satisfactorily
demonstrated its ability to comply.
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12.6 Public Nuisances {Optional}
A violation of any provision of this ordinance, an individual wastewater discharge permit, [a
general permit, {optional}] or order issued hereunder, or any other Pretreatment Standard or
Requirement is hereby declared a public nuisance and shall be corrected or abated as directed by
[the Superintendent]. Any person(s) creating a public nuisance shall be subject to the provisions
of [the City Code] [insert proper citation] governing such nuisances, including reimbursing [the
City] for any costs incurred in removing, abating, or remedying said nuisance.
12.7 Informant Rewards {Optional}
[The Superintendent] may pay up to [ dollars ($ )] for information leading to the
discovery of noncompliance by a User. In the event that the information provided results in a
civil penalty [or an administrative fine] levied against the User, [the Superintendent] may
disperse up to [ percent ( %)] of the collected fine or penalty to the informant.
However, a single reward payment may not exceed [ dollars ($ )].
12.8 Contractor Listing {Optional}
Users which have not achieved compliance with applicable Pretreatment Standards and
Requirements are not eligible to receive a contractual award for the sale of goods or services to
[the City]. Existing contracts for the sale of goods or services to [the City] held by a User found
to be in Significant Noncompliance with Pretreatment Standards or Requirements may be
terminated at the discretion of [the Superintendent].
SECTION 13—AFFIRMATIVE DEFENSES TO DISCHARGE VIOLATIONS
[Note: Although Federal law allows the affirmative defenses set out in this Section, some Approved States do
not allow for one or more of the affirmative defenses listed below.]
13.1 Upset
A. For the purposes of this Section, upset means an exceptional incident in which there is
unintentional and temporary noncompliance with categorical Pretreatment Standards
because of factors beyond the reasonable control of the User. An upset does not include
noncompliance to the extent caused by operational error, improperly designed treatment
facilities, inadequate treatment facilities, lack of preventive maintenance, or careless or
improper operation.
B. An upset shall constitute an affirmative defense to an action brought for
noncompliance with categorical Pretreatment Standards if the requirements of paragraph
(C), below, are met.
C. A User who wishes to establish the affirmative defense of upset shall demonstrate,
through properly signed, contemporaneous operating logs, or other relevant evidence
that:
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(1) An upset occurred and the User can identify the cause(s) of the upset;
(2) The facility was at the time being operated in a prudent and workman-like
manner and in compliance with applicable operation and maintenance procedures;
and
(3) The User has submitted the following information to [the Superintendent]
within twenty-four (24) hours of becoming aware of the upset [if this information
is provided orally, a written submission must be provided within five (5) days]:
(a) A description of the indirect discharge and cause of noncompliance;
(b) The period of noncompliance, including exact dates and times or, if not
corrected, the anticipated time the noncompliance is expected to continue; and
(c) Steps being taken and/or planned to reduce, eliminate, and prevent recurrence
of the noncompliance.
D. In any enforcement proceeding, the User seeking to establish the occurrence of an
upset shall have the burden of proof.
E. Users shall have the opportunity for a judicial determination on any claim of upset
only in an enforcement action brought for noncompliance with categorical Pretreatment
Standards.
F. Users shall control production of all discharges to the extent necessary to maintain
compliance with categorical Pretreatment Standards upon reduction, loss, or failure of its
treatment facility until the facility is restored or an alternative method of treatment is
provided. This requirement applies in the situation where, among other things, the
primary source of power of the treatment facility is reduced, lost, or fails.
13.2 Prohibited Discharge Standards
A User shall have an affirmative defense to an enforcement action brought against it for
noncompliance with the general prohibitions in Section 2.1 (A) of this ordinance or the specific
prohibitions in Sections 2.1(B)(3) through [( )] of this ordinance if it can prove that it did not
know, or have reason to know, that its discharge, alone or in conjunction with discharges from
other sources, would cause Pass Through or Interference and that either:
A. A Local Limit exists for each pollutant discharged and the User was in compliance
with each limit directly prior to, and during, the Pass Through or Interference; or
B. No Local Limit exists, but the discharge did not change substantially in nature or
constituents from the User's prior discharge when [the City] was regularly in compliance
with its NPDES permit, and in the case of Interference, was in compliance with
applicable sludge use or disposal requirements.
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[Note: The references in Section 13.2 should refer only to specific prohibitions actually listed in the
ordinance. Also note that, pursuant to 40 CFR 403.5(a)(2), the affirmative defense outlined in Section 13.2
cannot apply to the specific prohibitions in Sections 2.1B(1) and (2), and (8).]
13.3 Bypass
A. For the purposes of this Section,
(1) Bypass means the intentional diversion of wastestreams from any portion of a
User's treatment facility.
(2) Severe property damage means substantial physical damage to property,
damage to the treatment facilities which causes them to become inoperable, or
substantial and permanent loss of natural resources which can reasonably be
expected to occur in the absence of a bypass. Severe property damage does not
mean economic loss caused by delays in production.
B. A User may allow any bypass to occur which does not cause Pretreatment Standards
or Requirements to be violated, but only if it also is for essential maintenance to assure
efficient operation. These bypasses are not subject to the provision of paragraphs (C) and
(D) of this Section.
C. Bypass Notifications
(1) If a User knows in advance of the need for a bypass, it shall submit prior
notice to [the Superintendent], at least ten (10) days before the date of the bypass,
if possible.
(2) A User shall submit oral notice to [the Superintendent] of an unanticipated
bypass that exceeds applicable Pretreatment Standards within twenty-four (24)
hours from the time it becomes aware of the bypass. A written submission shall
also be provided within five (5) days of the time the User becomes aware of the
bypass. The written submission shall contain a description of the bypass and its
cause; the duration of the bypass, including exact dates and times, and, if the
bypass has not been corrected, the anticipated time it is expected to continue; and
steps taken or planned to reduce, eliminate, and prevent reoccurrence of the
bypass. [The Superintendent] may waive the written report on a case-by-case
basis if the oral report has been received within twenty-four (24) hours.
D. Bypass
(1) Bypass is prohibited, and [the Superintendent] may take an enforcement action
against a User for a bypass, unless
(a) Bypass was unavoidable to prevent loss of life, personal injury, or severe
property damage;
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(b) There were no feasible alternatives to the bypass, such as the use of auxiliary
treatment facilities, retention of untreated wastes, or maintenance during
normal periods of equipment downtime. This condition is not satisfied if
adequate back-up equipment should have been installed in the exercise of
reasonable engineering judgment to prevent a bypass which occurred during
normal periods of equipment downtime or preventive maintenance; and
(c) The User submitted notices as required under paragraph (C) of this section.
(2) [The Superintendent] may approve an anticipated bypass, after considering its
adverse effects, if [the Superintendent] determines that it will meet the three
conditions listed in paragraph (D)(l) of this Section.
SECTION 14—WASTEWATER TREATMENT RATES - [RESERVED]
SECTION 15—MISCELLANEOUS PROVISIONS {Optional}
15.1 Pretreatment Charges and Fees {Optional}
[The City] may adopt reasonable fees for reimbursement of costs of setting up and operating [the
City's] Pretreatment Program, which may include:
A. Fees for wastewater discharge permit applications including the cost of processing
such applications;
B. Fees for monitoring, inspection, and surveillance procedures including the cost of
collection and analyzing a User's discharge, and reviewing monitoring reports and
certification statements submitted by Users;
C. Fees for reviewing and responding to accidental discharge procedures and
construction;
D. Fees for filing appeals;
E. Fees to recover administrative and legal costs (not included in Section 15.1 B)
associated with the enforcement activity taken by the [Superintendent] to address IU
noncompliance; and
F. Other fees as [the City] may deem necessary to carry out the requirements contained
herein. These fees relate solely to the matters covered by this ordinance and are
separate from all other fees, fines, and penalties chargeable by [the City].
15.2 Severability {Optional}
If any provision of this ordinance is invalidated by any court of competent jurisdiction, the
remaining provisions shall not be affected and shall continue in full force and effect.
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SECTION 16—EFFECTIVE DATE
This ordinance shall be in full force and effect immediately following its passage, approval, and
publication, as provided by law.
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