Office of Water
EPA-833-F-06-005
February 2006
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National Pretreatment
Program
(40 CFR 403)
Pretreatment Streamlining Rule
Fact Sheet 2.O: Required Changes
Do any of the
Streamlining Rule
changes require
states or POTWs to
modify their
pretreatment
regulations or
program documents?
Yes, there are required changes in the Pretreatment
Streamlining Rule. The majority of the regulatory
changes made in the final Pretreatment Streamlining
Rule, however, are not required. That is, for many
of the changes (e.g., sampling for pollutants not
present, general control mechanisms, and equivalent
mass limits for concentration limits), the state
Approval Authority (or Control Authority depending
upon which role the state plays in the particular
municipality) and POTW Control Authority may
choose whether or not they wish to adopt these
specific streamlining provisions. As a general rule,
those streamlining changes which are considered
less stringent than the current regulations do not
need to be adopted. If the state wishes to
implement these less stringent requirements, it will
need to formally revise its own regulations to provide
the appropriate legal authority for such
implementation.
There are several streamlining-related changes that
are more stringent than the previous Federal
requirements and therefore are considered required
modifications for the state and/or the POTW.
Therefore, to the extent that existing state or POTW
legal authorities are inconsistent with the required
changes, they must be revised. Of course, where
state or local authorities are already consistent with
these required provisions, further changes would not
be necessary.
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Which changes are
considered required?
1. Updated removal
credits provisions
relating to Overflows
[§ 403.7(h)]
2. Slug control
requirements must be
included in SIU control
mechanisms [§
EPA has identified the following 13 rule changes that
are more stringent than existing provisions in 40 CFR
Part 403, and therefore may require changes to the
appropriate state or POTW authorities. States and
POTWs should make the changes as soon as
possible, and EPA and state NPDES permitting
authorities should revise NPDES permits to require
implementation of these required changes by
POTWs. A general description of each change is
included, along with a summary of what state or
POTW follow-up actions are needed.
Description of required change: This change
provides updated references relating to requirements
that POTWs must meet to adjust removal credits for
combined sewer overflows (CSOs).
What follow-up actions are required? Before
approving any removal credits, states that are
currently delegated oversight of the pretreatment
program must revise their regulations where state
legal authorities include a provision similar to §
403.7(h). No change to POTW pretreatment
programs is necessary based on this regulatory
change.
Description of required change: The
Streamlining Rule requires that applicable slug
control requirements be included in the SIU's control
mechanism.
What follow-up actions are required? POTWs
must incorporate slug control requirements into their
SIU control mechanisms and must revise their
approved program, if necessary, to ensure that they
have the legal authority and procedures to modify
control mechanisms as needed. Once the POTW's
authority to include these requirements is
established, EPA foresees them being incorporated
into SIU control mechanisms when the control
mechanisms are next reissued. States must revise
their regulations, if necessary, to ensure that they
have the authority to enforce this requirement.
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3. SIUs must be
evaluated for the need
for a plan or other
action to control slug
discharges within a
year from the final
rule's effective date or
from becoming an SIU
[§ 403.8(f)(2)(vi)]
4. SIUs are required
to notify the POTW
immediately of any
changes at its facility
affecting the potential
for a slug discharge
[§ 403.8(f)(2)(vi)]
Description of required change: The final
Streamlining Rule specifies that POTWs must
evaluate all of their SIUs for the need for a slug
control plan or other actions at least one time. If the
POTW has not yet done so, it must complete the
evaluations before October 14, 2006 or within a year
of the Industrial User being designated as significant.
Where the evaluation has been conducted and
documented previously, even if conducted prior to
publication of the Streamlining Rule, no new
evaluation is required.
What follow-up actions are required? For this
provision, the applicable state regulations must be
revised to specify the October 14, 2006 date for
existing SIUs, and the 'within one year' final rule
change for Users designated as SIUs after October
14, 2005. While POTWs must conduct this
evaluation, as described above, a pretreatment
program modification may not be necessary.
Description of required change: The final
Streamlining Rule requires SIUs to notify the POTW
immediately of changes that occur at the facility
affecting the potential for a slug discharge, thereby
allowing the POTW to reevaluate the need for a slug
control plan or other actions to prevent such
discharges.
What follow-up actions are required? POTWs
must revise their approved program as necessary to
ensure that they have the legal authority and
procedures to enforce this requirement. States must
revise their regulations, if necessary, to ensure that
they have the authority to enforce this requirement.
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5. Significant
Noncompliance (SNC)
definition is expanded
to include additional
types of Pretreatment
Standards and
Requirements
[§ 403.8(f)(2)(viii)(A-
C)]
6. SIU reports must
include BMP compliance
information
[§403.12(b), (e), (h)]
Description of required change: The final
Streamlining Rule made several wording changes
that expand the types of Standards and
Requirements that are to be considered when
determining whether an SIU's violations constitute
SNC. These changes affect what EPA considers to be
"chronic violations" (§ 403.8(f)(2)(viii)(A)),
"Technical Review Criteria violations" (§
403.8(f)(2)(viii)(B)), and "other" violations (§
403.8(f)(2)(viii)(C)). Note that changes to the SNC
requirements for late reports, for the type of
newspapers must be used for publishing SNC
violations, and for the application of SNC to SIUs
only are optional revisions.
What follow-up actions are required? State
regulations must be revised, if necessary, to reflect
the expanded coverage of Standards and
Requirements in the SNC definition. In addition, if
necessary, POTWs need to revise their SNC definition
in their legal authority, enforcement response plan,
and/or program procedures to reflect expanded
coverage of standards and requirements in the SNC
definition.
Description of required change: The final
Streamlining Rule requires SIUs to submit
documentation as required by the Control Authority
or applicable Pretreatment Standards and
Requirements to determine compliance with BMP-
based Standards or local limits.
What follow-up actions are required? State
regulations must be revised, if necessary, to require
SIUs to report on compliance with BMP-based
categorical Pretreatment Standards or local limits.
In addition, POTWs must revise their legal authority,
enforcement response plan, and program procedures
as necessary to require SIUs to report on compliance
with BMP-based categorical Pretreatment Standards
or local limits, and to enforce those requirements
where Users fail to submit the required information.
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7. SIU control
mechanisms must
contain any BMPs
required by a
Pretreatment Standard,
local limits, state, or
local law
8. Documentation of
compliance with BMP
requirements must be
maintained as part of
the SIU's and POTW's
record-keeping
requirements
[§403.12(o)]
9. Control Authorities
which perform sampling
for SIUs must perform
any required repeat
sampling and analysis
within 30 days of
becoming aware of a
violation
[§403.12(g)(2)]
Description of recommended change: The final
Streamlining Rule clarified that among the effluent
limits that must be contained in all SIU control
mechanisms are Best Management Practices (BMPs)
that are required by a categorical Pretreatment
Standard, local limit, state or local law.
What follow-up actions are recommended?
This revision merely clarifies that applicable BMPs
would be required to be included in control
mechanisms. It is EPA's expectation that most
POTWs already have the authority to implement this
requirement. POTWs, however, must ensure that
they have the legal authority and procedures to
implement this requirement, and to include
appropriate BMPs in the control mechanism where
appropriate. States should revise their regulations,
if necessary, to ensure that they have the authority
to enforce this requirement.
Description of required change: The final
Streamlining Rule clarified that the POTW and the
SIU must maintain records of BMP compliance in the
same way that other records are maintained as part
of § 403.12(o).
What follow-up actions are required? States
and POTWs must revise their requirements and
program procedures, if necessary, to ensure that
they have the authority to implement and enforce
this requirement. SIU permits also should be revised
to clearly require that this documentation be
maintained by the User.
Description of required change: The final
Streamlining Rule provides that where a Control
Authority has assumed responsibility for sampling in
lieu of the SIU, it is the Control Authority which must
repeat sampling and analysis within 30 days of
becoming aware of an exceedance. The only
exception to this requirement is if the Control
Authority specifically requires the Industrial User to
perform the repeat analysis.
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10. Require periodic
compliance reports to
comply with sampling
requirements, require
Control Authority to
specify the number of
grab samples necessary
in periodic and non-
categorical SIU reports,
and require non-
categorical SIUs to
report all monitoring
results [§ 403.12(g)(3),
(4), (6)]
11. Non-Categorical
SIUs are required to
provide representative
samples in their
periodic monitoring
reports [§
403.12(g)(3)]
What follow-up actions are required? POTWs
should generally have the ability to sample any time
they determine it is appropriate, and therefore no
POTW program revision may be necessary.
However, POTWs must revise their approved
program as necessary to ensure that they have the
legal authority and procedures to implement this
requirement. States must revise their regulations, if
necessary, to ensure that they have the authority to
enforce this requirement.
Description of required changes: SIUs are now
required to follow sampling requirements in § 403.12
for periodic compliance reports (§ 403.12(e) and
(h)), whereas they were previously only explicitly
applicable to baseline monitoring reports and 90-day
compliance reports. In addition, for the reports
required in § 403.12(e) and (h), the final rule
requires the Control Authority to indicate the number
of grab samples necessary to assess and assure
compliance by Industrial Users with applicable
categorical Pretreatment Standards and
Requirements. Also, the final rule now requires that
non-categorical SIUs report all monitoring results,
whereas the previous regulations only made this
requirement explicit for categorical SIUs.
What follow-up actions are required? State
regulations must be revised to reflect these final rule
changes. Many POTW pretreatment programs
already include these requirements, but POTW legal
authorities and program procedures must be revised
as necessary to reflect this final rule change.
Description of required change: The final
Streamlining Rule extends to the § 403.12(b), (d),
and (h) monitoring reports the requirement that
SIUs provide data which are representative of
conditions during the reporting period.
What follow-up actions are required? Many
POTW pretreatment programs already include this
requirement, but POTWs must revise their approved
program and SIU control mechanisms as necessary
to ensure that they have the legal authority and
procedures to enforce this requirement. States must
revise their regulations, if necessary, to ensure that
they have the authority to enforce this requirement.
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12. Require
notifications of changed
discharge to go to the
Control Authority and
the POTW, where the
POTW is not the Control
Authority [§ 403.12(j)]
13. How and when
the POTW can designate
a "duly authorized
employee" to sign
POTW reports [§
403.12(m)]
Description of required change: The
pretreatment regulations now clarify that Industrial
Users must notify the Control Authority, as well as
the POTW, if the POTW is not the Control Authority.
Prior to the Streamlining Rule, the regulations only
specified that the notice go to the POTW.
What follow-up actions are required? State
regulations must be revised to require changed
discharge notifications to be submitted to the state
where the POTW is not the Control Authority.
POTWs are not required to make this change since
they were already required to be notified in the
previous version of § 403.12Q), and the revision
brought about by the Pretreatment Streamlining Rule
does not change this requirement.
Description of required change: The
pretreatment regulations now specify that the POTW
must, in writing by the principal executive officer or
ranking elected official of the POTW, authorize the
use of a "duly authorized employee". In addition,
the regulations require that the authorization be
submitted to the Approval Authority prior to or
together with the POTW report being submitted.
What follow-up actions are required? State
regulations must be revised to require POTWs to
follow the procedures for authorizing "duly
authorized employees" to sign POTW reports and for
submitting reports signed by such employees.
POTWs are not required to make this change,
although they will be required to follow the new state
requirements relating to "duly authorized employee"
signatures upon their adoption.
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