U.S. Environmental Protection Agency
Introduction to the
National Pretreatment Program
U.S. Environmental Protection Agency
Office of Wastewater Management (4203)
EPA 833 B-11 001 June 2011
NPBES
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Disclaimer
DISCLAIMER
The discussion in this document is intended solely as a summary of existing guidance. This
document is not a regulation, nor does it substitute for any requirements under the Clean Water
Act (CWA) or U.S. Environmental Protection Agency's (EPA's) regulations. Thus, it does not
impose legally binding requirements on EPA, states, municipalities, or the regulated community. The
general descriptions provided in this document might not apply to a particular situation based on the
circumstances. This document does not confer legal rights or impose legal obligations on any member of
the public.
Among other things, the document describes existing requirements with respect to industrial
dischargers and publicly owned treatment works (POTWs) under the CWA and its implementing
regulations at Title 40 of the Code of Federal Regulations, Parts 122, 123, 124, and 403 and chapter I,
subchapter N. Although EPA has made every effort to ensure the accuracy of the discussion in this
document, a discharger's obligations are determined, in the case of directly discharging POTWs, by the
terms of its National Pollutant Discharge Elimination System permit and EPA's regulations or, in the case
of indirect dischargers, by permits or equivalent control mechanisms issued to POTW industrial users or
by regulatory requirements. Nothing in this document changes any statutory or regulatory requirement. If
a conflict arises between this document's content and any permit or regulation, the permit or regulation
would be controlling. EPA and local decision makers retain the discretion to adopt approaches on a case-
by-case basis that differ from those described in this document where appropriate and authorized by EPA
regulations, state law, or local ordinances.
Mention of trade names or commercial products does not constitute endorsement or
recommendation for their use.
This document is current as of March 2011. EPA may decide to revise this document without
public notice to reflect changes in the Agency's approach to implementing pretreatment standards or to
clarify and update text. To determine whether EPA has revised or supplemented the information in this
document, access the document at http://www.epa.gov/npdes/pretreatment.
Introduction to the National Pretreatment Program
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Contents
CONTENTS
CHAPTER 1. POTWs and the Need for the Pretreatment Program 1-1
Sewage Treatment 1-1
Need for the Pretreatment Program 1-2
CHAPTER 2. Overview of the National Pretreatment Program 2-1
The Clean Water Act 2-1
The General Pretreatment Regulations 2-2
POTW Pretreatment Programs 2-5
Attachment 2-1: State and Territory Program Authorization Status 2-8
CHAPTERS. Pretreatment Standards 3-1
Prohibited Discharge Standards 3-2
Effluent Guidelines and Categorical Pretreatment Standards Development 3-2
Local Limits 3-6
Summary of Standards 3-8
Attachment 3-1: Summary of Categorical Standards 3-9
CHAPTER 4. POTW Pretreatment Program Responsibilities 4-1
Legal Authority 4-1
Industrial Waste Surveys 4-2
ID Permits/Control Mechanisms 4-3
Inspections 4-5
Sampling 4-7
Control Authority Enforcement 4-9
Program Management and Record Keeping 4-12
Public Participation 4-13
POTW Reporting 4-14
Approval Authority Enforcement 4-15
CHAPTER 5. Industrial User Pretreatment Program Responsibilities 5-1
Reporting Requirements 5-1
Categorical Industrial User Reporting Requirements 5-2
Significant Industrial User Reporting Requirements 5-5
Signatory and Certification Requirements [40 CFR 403.12(1)] 5-7
Cross-Media Electronic Reporting [40 CFR Part 3] 5-7
Self-Monitoring Requirements 5-8
Notification Requirements 5-10
Notification of Production Level Change in the Equivalent Limit Calculation [40 CFR
403.6(c)(9)] 5-10
Notification of Material/Significant Change in the Alternative Limit Calculation [40 CFR
403.6(e)] 5-10
Notification of Waived Pollutant Present [40 CFR 403.12(e)(2)(vi)] 5-11
Notification of Middle-Tier Categorical Industrial User 40 CFR 403.12(e)(3)(iv)] 5-11
Notification of Potential Problems Including Slug Loading [40 CFR403.12(f)] 5-11
Noncompliance Notification and Repeat Sampling Report [40 CFR403.12(g)(2)] 5-11
Notification of Changed Discharge [40 CFR403.12(j) and 40 CFR 122.42(b)] 5-11
Notification of Discharge of Hazardous Wastes [40 CFR 403.12(p)] 5-11
Notification of Upset [40 CFR 403.16] 5-12
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Contents
Notification of Bypass [40 CFR403.17] 5-12
Record-Keeping Requirements 5-12
Attachment 5-1: Summary of Reporting and Notification Requirements for All IDs 5-13
Attachment 5-2: Summary of Notification and Citation Requirements That Might Not Apply to
All IDs 5-15
CHAPTER 6. Hauled Wastes 6-1
Nature of Hauled Wastes 6-1
Control Programs 6-2
Concerns 6-3
CHAPTER?. Pollution Prevention 7-1
P2 and the Pretreatment Program 7-3
Key Elements of a Successful POTW P2 Program 7-4
Benefits of P2 for POTWs 7-4
Benefits of P2 for I Us 7-5
Water Conservation as P2 7-6
Potential Impediments to P2 7-7
P2 Assistance 7-8
Introduction to the National Pretreatment Program
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Preface
PREFACE
The industrialization of the United States brought with it a level of pollution never before seen in
the country. By the 1960s scenes of dying fish and burning rivers were repeated regularly on the evening
news. In response to such critical environmental problems, in December 1970 the President of the United
States created the U.S. Environmental Protection Agency (EPA) by executive order.
In 1972 Congress passed the Federal Water Pollution Control Act, also know as the Clean Water
Act (CWA), to restore and maintain the integrity of the nation's waters. The goals of the CWA are to
eliminate the introduction of pollutants into the nation's navigable waters and to achieve fishable and
swimmable water quality levels. The CWA's National Pollutant Discharge Elimination System (NPDES)
Permit Program represents one of the key components established to accomplish the goals of the CWA.
The NPDES Permit Program generally requires that point source discharges of pollutants to waters of the
United States, i.e., direct dischargers, obtain an NPDES permit.1 The CWA also established substantial
penalty authority for noncompliance with NPDES permits.
In addition to addressing these direct discharges, the CWA also established a regulatory program
to address indirect discharges from industries to publicly owned treatment works (POTWs) through the
National Pretreatment Program, a component of the NPDES Permit Program. The National Pretreatment
Program requires industrial and commercial dischargers, called industrial users (lUs), to obtain permits or
other control mechanisms to discharge wastewater to the POTW. Such a permit may specify the effluent
quality that necessitates that an IU pretreat or otherwise control pollutants in its wastewater before
discharging it to a POTW.
Certain industrial discharge practices can interfere with the operation of POTWs, leading to the
discharge of untreated or inadequately treated wastewater into rivers, lakes, and other waters of the
United States. A discharge that causes interference inhibits or disrupts the POTW, its treatment processes
or operations, or its sludge processes, use, or disposal and therefore causes a violation of any requirement
of the POTWs NPDES permit. Some pollutants are not amenable to biological wastewater treatment at
POTWs and can pass through the treatment plant untreated. This pass through of pollutants affects the
receiving water and might cause fish kills or other deleterious effects. Even when a POTW has the
capability to remove toxic pollutants from wastewater, the pollutants can end up in the POTW's sewage
sludge, which might then be processed into a fertilizer or soil conditioner that is land-applied to food
crops, parks, or golf courses or elsewhere.
The General Pretreatment Regulations of the National Pretreatment Program require all large
POTWs (those designed to treat flows of more than 5 million gallons per day) and smaller POTWs (that
accept wastewater from lUs that could affect the treatment plant or its discharges) to establish local
pretreatment programs. These local programs must enforce all national pretreatment standards and
requirements in addition to any more stringent local requirements necessary to protect site-specific
conditions at the POTW. Approximately 1,600 POTWs have developed and are implementing local
pretreatment programs designed to control discharges from approximately 23,000 significant lUs.
Since the promulgation of the General Pretreatment Regulations in!983, the National
Pretreatment Program has made great strides in reducing the introduction of toxic pollutants to sewer
systems and to waters of the United States. In the eyes of many, the National Pretreatment Program
implemented as a partnership between EPA, states, and POTWsis a notable success among efforts to
1 Some point sources, however, are not required to obtain NPDES permits; see Title 40 of the Code of Federal Regulations
(CFR), section 122.3, Exclusions.
Introduction to the National Pretreatment Program Hi
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Preface
reduce the effects of pollution on human health and the environment. Such strides can be attributed to the
efforts of many federal, state, local, and industrial representatives who have been involved with
developing and implementing the various aspects of the National Pretreatment Program.
EPA has supported the National Pretreatment Program by developing numerous guidance
manuals. In fact, it has released more than 40 manuals providing guidance to EPA, states, POTWs, and
industry on various National Pretreatment Program requirements and policy determinations. Through
such guidance, the National Pretreatment Program has maintained national consistency in interpreting the
regulations.
Nonetheless, turnover in National Pretreatment Program staff has diluted historical knowledge,
and new staff and other interested parties might be unfamiliar with existing guidance materials. With this
in mind, the intent of this guidance manual, Introduction to the National Pretreatment Program, is to
* Provide a reference for anyone interested in understanding the basics of National
Pretreatment Program requirements
* Provide a road map to additional and more detailed guidance materials for those trying to
implement specific elements of the National Pretreatment Program.
This guidance manual is intended to explain the basic concepts that shape the National
Pretreatment Program, discuss the current status of the program and program guidance, and serve as a tool
for pretreatment program implementation.
The manual is organized to provide an overview of program requirements and to refer the reader
to more detailed EPA guidance on specific program elements. To help the reader, the first page of each
chapter contains a list of EPA references applicable to the topics discussed in that chapter. Electronic
versions of the documents listed are available through EPA's website at
htto: //www .epa. gov/npde s/pretreatment.
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List Acronyms and Abbreviations
ACRONYMS AND ABBREVIATIONS
AHL Allowable Headworks Loading
BAT Best Available Technology Economically Achievable
BCT Best Conventional Pollutant Control Technology
BMP Best Management Practice
BMR Baseline Monitoring Report
BOD Biochemical Oxygen Demand
BOD5 5-day Biochemical Oxygen Demand
BPT Best Practicable Control Technology Currently Available
CDX Central Data Exchange
CFR Code of Federal Regulations
CIU Categorical Industrial User
CROMERR Cross-Media Electronic Reporting Rule
CSO Combined Sewer Overflow
CWA Clean Water Act
CWF Combined Wastestream Formula
ELG Effluent Limitations Guideline
EPA [U.S.] Environmental Protection Agency
ERG Enforcement Response Guide
ERP Enforcement Response Plan
PDF Fundamentally Different Factors
FOG Fats, Oils, and Grease
FR Federal Register
FWA Flow-Weighted Average
gpd Gallons per Day
IU Industrial User
IWS Industrial Waste Survey
MAHL Maximum Allowable Headworks Loading
MAIL Maximum Allowable Industrial Loading
mg/L Milligrams per Liter
mgd Million Gallons per Day
MTCIU Middle-Tier Categorical Industrial User
NAICS North American Industry Classification System (replaced Standard Industrial
Classification [SIC] system)
NOV Notice of Violation
NPDES National Pollutant Discharge Elimination System
NSCIU Nonsignificant Categorical Industrial User
NSPS New Source Performance Standard
OPPT Office of Pollution Prevention and Toxics (EPA)
P2 Pollution Prevention
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List of Acronyms and Abbreviations
PCBs Polychlorinated Biphenyls
POTW Publicly Owned Treatment Works
PPA Pollution Prevention Act of 1990
PSES Pretreatment Standards for Existing Sources
PSNS Pretreatment Standards for New Sources
RCRA Resource Conservation and Recovery Act
SIC Standard Industrial Classification (replaced by NAICS)
SIU Significant Industrial User
SNC Significant Noncompliance
SUO Sewer Use Ordinance
TOMP Toxic Organic Management Program
TRE Toxicity Reduction Evaluation
TRC Technical Review Criteria
TSS Total Suspended Solids
TTO Total Toxic Organics
U.S.C. United States Code
WQS Water Quality Standard
WET Whole Effluent Toxicity
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Glossary
GLOSSARY OF TERMS
This glossary defines and explains each term used in this manual. To the extent that the
definitions and explanations provided in this glossary differ from those in EPA regulations or other
official documents, the definitions used in this glossary are intended for use in understanding this manual
only.
Act or "the act" [40 CFR 403.3(b)]
The Federal Water Pollution Control Act, also known as the Clean Water Act (CWA), as amended,
Title 33 of the United States Code (U.S.C.), sections 1251 et seq.
Allowable Headworks Loading (AHL)
The estimated maximum loading of a pollutant that can be received at a POTW's headworks and not
cause a POTW to violate a particular treatment plant or environmental criterion. AHLs are developed
to prevent interference or pass through.
Approval Authority [40 CFR 403.3(c)]
The director in an NPDES Authorized State with an approved state pretreatment program, or the
appropriate EPA regional administrator in a non-NPDES Authorized State or NPDES state without an
approved state pretreatment program.
Approved POTW pretreatment program or program [40 CFR 403.3(d)]
A program administered by a POTW that meets the criteria established in 40 CFR Part 403 and that
has been approved by a regional administrator or state director.
Approved state pretreatment program
A program administered by a state that meets the criteria established in 40 CFR 403.10 and that has
been approved by a regional administrator.
Approved/Authorized state
A state with an NPDES permit program approved pursuant to CWA section 402(b) and an approved
state pretreatment program.
Baseline Monitoring Report (BMR) [paraphrasedfrom 40 CFR 403.12(b)]
A report submitted by categorical industrial users (CIUs) within 180 days after the effective date of
an applicable categorical pretreatment standardor at least 90 days before beginning discharge for
new sourcesthat contains specific facility information, including flow and pollutant concentration
data. For existing sources, the report must also certify as to the compliance status of the facility with
respect to the categorical pretreatment standards.
Best Available Technology Economically Achievable (BAT)
A level of technology based on the best available control and treatment measures that are
economically achievable within a given industrial category or subcategory.
Best Management Practice (BMP) [40 CFR 403.3(e)]
A schedule of activities, prohibition of practices, maintenance procedures, and other management
practices to implement the prohibitions listed in 40 CFR 403.5(a)(l) and (b). BMPs also include
treatment requirements, operating procedures, and practices to control plant site runoff, spillage or
leaks, sludge or waste disposal, or drainage from raw materials storage.
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Glossary
Best Practicable Control Technology Currently Available (BPT)
A level of technology represented by, typically, the average of the best practicable wastewater
treatment performance levels currently available within a given industrial category or subcategory.
Biochemical Oxygen Demand (5-day) (BOD5)
An indirect measure of the concentration of biologically degradable material present in organic
wastes. It reflects the amount of oxygen consumed in 5 days by biological processes breaking down
organic waste.
Slowdown
The discharge of water with high concentrations of accumulated solids from boilers to prevent
plugging of the boiler tubes or steam lines. In cooling towers, blowdown is discharged to reduce the
concentration of dissolved salts in the recirculating cooling water.
Bypass [40 CFR 403.17(a)]
The intentional diversion of wastestreams from any portion of an industrial user's treatment facility.
Categorical Industrial User (CIU)
An industrial user subject to national categorical pretreatment standards.
Categorical pretreatment standards [paraphrasedfrom 40 CFR 403.6]
Standards specifying the quantity, concentration, or pollutant properties of pollutants that may be
discharged to POTWs. EPA promulgates pretreatment standards for specific industry categories in
accordance with CWA section 307. These standards are codified in 40 CFR chapter I, subchapter N,
Parts 405-471.
Chronic effect
An adverse effect on a human or animal in which symptoms recur frequently or develop slowly over a
long period.
Chronic exposure
Multiple exposures occurring over an extended period or over a significant fraction of an animal's or
human's lifetime (usually 7 years to a lifetime).
Chronic toxicity
The capacity of a substance to cause long-term poisonous health effects in humans, animals, fish, and
other organisms.
Clean Water Act (CWA)
The common name for the Federal Water Pollution Control Act. Public Law 92-500; 33 U.S.C.
section 1251 et seq.; the statutory authority for both the NPDES Permit Program and the National
Pretreatment Program.
Code of Federal Regulations (CFR)
A codification of federal rules published annually by the Office of the Federal Register National
Archives and Records Administration. Title 40 of the CFR contains the regulations for "Protection of
the Environment."
Combined Sewer Overflow (CSO)
A discharge of untreated wastewater from a combined sewer system at a point before the headworks
of a POTW. Because combined systems receive both storm event drainage (from rainfall or
snowmelt, and street runoff) and untreated sewage, CSOs generally occur during wet weather when
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Glossary
the systems can become overloaded, resulting in bypassing of the treatment works and discharge
directly to receiving waters.
Combined Wastestream Formula (CWF) [paraphrasedfrom 40 CFR 403.6(e)]
Procedure for calculating alternative discharge limits at industrial facilities where a wastestream
regulated by a categorical pretreatment standard is combined before treatment with wastestreams
other than those subject to the standard.
Compliance schedule
A schedule of remedial measures included in a permit or an enforcement order, including a sequence
of requirements (for example, actions, operations, or milestone events) that lead to compliance with
the CWA and regulations.
Composite sample
A series of water samples taken over a given period of time and weighted by flow rate.
Concentration-based limit
A limit based on the relative strength of a pollutant in a wastestream, usually expressed in milligrams
per liter (mg/L).
Continuous discharge
A discharge that occurs without interruption during the operating hours of a facility, except for
infrequent shutdowns for maintenance, process changes, or similar activities.
Control Authority [paraphrasedfrom 40 CFR 403.3(f)J
The POTW, in the case of a POTW with an approved pretreatment program, or the Approval
Authority, in the case of a POTW without an approved pretreatment program.
Conventional pollutants [40 CFR 401.16]
Pollutants typical of municipal sewage, and for which municipal secondary treatment plants are
typically designed. EPA has, pursuant to section 304(a) of the CWA, identified BOD5, total
suspended solids (TSS), fecal coliform bacteria, oil and grease, and pH as conventional pollutants.
Daily maximum limitation
The maximum allowable discharge of pollutants during a 24-hour period. Where daily maximum
limitations are expressed in units of mass, the daily discharge is the total mass discharged over the
course of the day. Where daily maximum limitations are expressed in terms of a concentration, the
daily discharge is the arithmetic average measurement of the pollutant concentration derived from all
measurements taken that day.
Detection limit
The minimum concentration of an analyte (substance) that can be measured and reported with 99
percent confidence that the analyte concentration is greater than zero as determined by the procedure
set forth in 40 CFR Part 136, appendix B.
Development document
A document that EPA prepares while developing effluent limitations guidelines and pretreatment
standards. It explains the data and methodology used to establish effluent limitations and categorical
pretreatment standards for an industrial category.
Dilute wastestream [paraphrasedfrom 40 CFR 403.6(e)(l)(i)]
Used in calculating alternative standards for purposes of the combined wastestream formula, this
wastestream is composed of the average daily flow (at least a 30-day average) from the following: (a)
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Glossary
boiler blowdown streams, noncontact cooling streams, stormwater streams, and demineralized
backwash streams; provided, however, that where such streams contain a significant amount of a
pollutant, and the combination of such streams, before treatment, with an industrial user's (Ill's)
regulated process wastestream(s) will result in a substantial reduction of the concentration of that
pollutant, the Control Authority, upon application of the IU, may exercise its discretion to determine
whether such stream(s) should be classified as diluted or unregulated. In its application to the Control
Authority, the IU must provide engineering, production, sampling and analysis, and such other
information so the Control Authority can make its determination; or (b) sanitary wastestreams where
such streams are not regulated by a categorical pretreatment standard; or (c) any process wastestreams
that were, or could have been, entirely exempted from categorical pretreatment standards pursuant to
paragraph 8 of the NRDC v. Costle consent decree (12 ERC 1833) for one or more of the following
reasons (see 40 CFR Part 403, appendix D):
A The pollutants of concern are not detectable in the effluent from the IU [paragraph
The pollutants of concern are present only in trace amounts and are neither causing nor
likely to cause toxic effects [paragraph (8)(a)(iii)].
The pollutants of concern are present in amounts too small to be effectively reduced by
technologies known to the Administrator [paragraph (8)(a)(iii)].
The wastestream contains only pollutants that are compatible with the POTW [paragraph
Direct discharger
A point source that discharges a pollutant(s) to waters of the United States, such as streams, lakes, or
oceans. These sources are subject to the National Pollutant Discharge Elimination System program
regulations. Municipal and industrial facilities that introduce pollution through a defined conveyance
or system such as outlet pipes are direct dischargers.
Effluent Limitations Guideline (ELG)
Any effluent limitations regulation issued by EPA pursuant to CWA section 304(b). These
regulations are published to adopt or revise a national standard prescribing restrictions on quantities,
rates, and concentrations of chemical, physical, biological, and other constituents that are discharged
from point sources, in specific industrial categories (e.g., metal finishing, metal molding and casting).
ELGs are sometimes referred to as effluent guidelines.
Enforcement Response Plan (ERP) [paraphrased from 40 CFR 403.8(f>(5)]
One of the key components of an approved POTW pretreatment program; includes step-by-step
enforcement procedures developed and followed by POTW personnel to identify, document, and
respond to violations by lUs.
Existing source
Any source of discharge, the construction or operation of which commenced before the publication by
EPA of proposed categorical pretreatment standards that will be applicable to such source if the
standard is thereafter promulgated in accordance with CWA section 307.
Federal Water Pollution Control Act (FWPCA)
The title of Public Law 92-500; 33 U.S.C. section 125 1 et seq., also known as the Clean Water Act
(CWA), enacted October 18, 1972.
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Glossary
Flow-proportional composite sample
A sample consisting of a series of aliquots (equal portions of the sample) in which each aliquot is
collected after the passage of a defined volume of discharge.
Flow-Weighted Average Formula (FWA) [paraphrasedfrom 51FR21461]
A procedure used to calculate alternative limits where wastestreams regulated by a categorical
pretreatment standard and nonregulated wastestreams combine after treatment but before the
monitoring point.
Fundamentally Different Factors (FDF) [paraphrasedfrom 40 CFR 403.13]
Case-by-case variance from categorical pretreatment standards where the conditions at a specific IU
are fundamentally different from the factors considered by EPA in developing the applicable
category/subcategory standard.
General prohibitions [40 CFR 403.5(a)(1)]
Prohibitions that apply to each IU introducing pollutants into a POTW whether or not the IU is
subject to other national pretreatment standards or any national, state, or local pretreatment
requirements:
* No IU may introduce into a POTW any pollutant(s) that cause pass through or
interference.
-^ An IU may have an affirmative defense in any action brought against it alleging a violation
of the general or specific prohibitions where the IU can demonstrate that:
- It did not know or have reason to know that its discharge, alone or in conjunction with a
discharge or discharges from other sources, would cause pass through or interference;
and
A local limit designed to prevent pass through or interference (or both) was developed for
each pollutant in the lU's discharge that caused pass through or interference, and the IU
was in compliance with each such local limit directly before and during the pass through
or interference; or
- If a local limit designed to prevent pass through or interference or both has not been
developed for the pollutant(s) that caused the pass through or interference, the lU's
discharge directly before and during the pass through or interference did not change
substantially in nature or constituents from the lU's prior discharge activity when the
POTW was regularly in compliance with the POTW's NPDES permit requirements and,
in the case of interference, applicable requirements for sewage sludge use or disposal.
Grab sample
A sample that is taken from a wastestream on a one-time basis with no regard to the flow of the
wastestream. A single grab sample should be taken over a period not to exceed 15 minutes.
Headworks
The point at which wastewater enters a wastewater treatment plant. The headworks may consist of bar
screens, comminuters, a wet well, or pumps.
Indirect discharge or discharge [40 CFR 403.3(i)]
The introduction of pollutants into a POTW from any nondomestic source regulated under CWA
section 307(b), (c), or (d).
Industrial user (IU) or user [40 CFR 403.3(j)]
A source of indirect discharge.
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Glossary
Industrial Waste Survey (IWS)
The process of identifying and locating Ills and characterizing their industrial discharge.
Inhibition
Event that occurs when pollutant levels in a POTW's wastewater or sludge cause operational
problems for biological treatment processes involving secondary or tertiary wastewater treatment and
alter the POTW's ability to adequately remove BOD, TSS, and other pollutants.
Injunction
An order to a party to affirmatively perform, or to refrain from performing, some designated action.
The federal environmental laws also empower EPA to issue administrative orders that require a
regulated entity to perform, or refrain from performing, some designated action, and to come into, and
maintain, compliance with those environmental laws.
Injunctive relief
Generally, action ordered of a defendant by a federal district court judge. This relief may be ordered
either as a term of an order consented to by the parties in a lawsuit (where the parties file a "consent
decree") or after a contested trial before the judge.
Interference [paraphrasedfrom 40 CFR 403.3(k)]
A discharge that, alone or in conjunction with a discharge or discharges from other sources, both
(1) inhibits or disrupts the POTW, its treatment processes or operations, or its sludge processes, use,
or disposal; and (2) therefore is a cause of a violation of any requirement of the POTW's NPDES
permit (including an increase in the magnitude or duration of a violation) or of the prevention of
sewage sludge use or disposal in compliance with ... [applicable] statutory provisions and regulations
or permits issued thereunder (or more stringent state or local regulations).
Local limits [40 CFR 403.5(c)]
Specific discharge limits developed and enforced by POTWs upon industrial or commercial facilities
(Ills) to implement the general and specific discharge prohibitions listed in 40 CFR 403.5(a)(l)
and (b).
Maximum Allowable Headworks Loading (MAHL)
The estimated maximum loading of a pollutant that can be received at a POTW's headworks without
causing pass through or interference. The most protective (lowest) of the allowable headworks
loadings (see definition) estimated for a pollutant.
Maximum Allowable Industrial Loading (MAIL)
The estimated maximum loading of a pollutant that can be received at a POTW's headworks from all
permitted Ills and other controlled sources without causing pass through or interference. The MAIL is
usually calculated by applying a safety factor to the MAHL and discounting for uncontrolled sources,
hauled waste, and growth allowance.
Middle-Tier Categorical Industrial User (MTCIU) [40 CFR 403.12(e)(3)(i)-(iii)]
A classification that a Control Authority may apply to certain Ills, if their discharge of categorical
wastewater does not exceed any of the following:
A 10.01 percent of the design dry-weather hydraulic capacity of the POTW, or 5,000 gallons
per day (gpd), whichever is smaller, as measured by a continuous effluent flow monitoring
device unless the IU discharges in batches
* 0.01 percent of the design dry-weather organic treatment capacity of the POTW
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Glossary
A 30.01 percent of the MAHL for any pollutant for which approved local limits were
developed by a POTW.
The CA must also demonstrate that the CIU has not been in significant noncompliance for any time in
the past two years, and that the CIU does not have daily flow rates, production levels, or pollutant
levels that vary so significantly that decreasing the reporting requirement for the IU would result in
data that are not representative of conditions occurring during the reporting period.
Monthly average
The arithmetic average value of all daily results for a calendar month for an individual pollutant
parameter. Historically, EPA has considered a 30-day average to mean a monthly average.
National Pollutant Discharge Elimination System (NPDES)
The national program for issuing, modifying, revoking, and reissuing, terminating, monitoring, and
enforcing discharge permits from point sources to waters of the United States, and imposing and
enforcing pretreatment requirements, under CWA sections 307, 402, 318, and 405.
National pretreatment standard or pretreatment standard or standard [40 CFR 403.3(1)]
Any regulation containing pollutant discharge limits promulgated by EPA in accordance with CWA
section 307(b) and (c) that applies to lUs. This term includes prohibitive discharge limits established
pursuant to 40 CFR 403.5.
New source [40 CFR 403.3(m)]
Any building, structure, facility or installation from which there is or could be a discharge of
pollutants, the construction of which began after the publication of proposed pretreatment standards
under CWA section 307(c) that will be applicable to such source if such standards are thereafter
promulgated in accordance with that section provided that any of the following are true:
^ The building, structure, facility or installation is constructed at a site at which no other
discharge source is located.
* The building, structure, facility, or installation totally replaces the process or production
equipment that causes the discharge of pollutants at an existing source.
-^ 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.
A Construction on a site at which an existing source is located results in a modification rather
than a new source if the construction does not create a new building, structure, facility, or
installation meeting the criteria of paragraphs (m)(l)(ii), or (m)(l)(iii) of this section but
otherwise alters, replaces, or adds to existing process or production equipment.
A Construction of a new source, as defined under this paragraph, has commenced if the
owner or operator has begun, or caused to begin as part of a continuous onsite construction
program:
A Any placement, assembly, or installation of facilities or equipment; or
Introduction to the National Pretreatment Program xiii
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Glossary
* Significant site preparation work including clearing, excavation, or removal of existing
buildings, structures, or facilities that is necessary for the placement, assembly, or
installation of new source facilities or equipment; or
* Entered into a binding contractual obligation for the purchase of facilities or equipment
that are intended to be used in its operation within a reasonable time. Options to purchase
or contracts that 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.
Ninety-day final compliance report [paraphrasedfrom 40 CFR 403.12(d)]
A report submitted by CIUs within 90 days following the date for final compliance with applicable
categorical standards. The report must contain flow measurement (of regulated process streams and
other streams), measurement of pollutants, and a certification as to whether the categorical standards
are being met.
Nonconventional pollutant
Any pollutant that is neither a toxic pollutant nor a conventional pollutant (e.g., manganese,
ammonia).
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. The only pollutant contributed from the discharge is heat.
Non-regulated wastestream
Unregulated and dilute wastestreams (not regulated by categorical standards).
Nonsignificant Categorical Industrial User (NSCIU) [40 CFR 403.3(v)(2)]
An IU subject to categorical pretreatment standards under 40 CFR 403.6 and 40 CFR chapter I,
subchapter N, that the POTW has determined is exempt from the definition of SIU on a finding that
the IU never discharges more than 100 gpd of total categorical wastewater (excluding sanitary,
noncontact cooling and boiler blowdown wastewater, unless specifically included in the pretreatment
standard). The IU must also meet the following conditions:
* The IU, before the POTW's finding, has consistently complied with all applicable
categorical pretreatment standards and requirements.
A The IU annually submits the certification statement required in 40 CFR 403.12(q) together
with any additional information necessary to support the certification statement.
* The IU never discharges any untreated concentrated wastewater.
North American Industry Classification System (NAICS)
A system developed by the U.S. Office of Management and Budget (in cooperation with Statistics
Canada and Mexico's Institute Nacional de Estadistica, Geografia e Informdtica) that is used to
classify business establishments. NAICS replaced the Standard Industrial Classification (SIC) system
in 1998.
Pass through [40 CFR 403.3(p)]
A discharge that exits the POTW into waters of the United States in quantities or concentrations that,
alone or in conjunction with a discharge or discharges from other sources, is a cause of a violation of
any requirement of the POTW's NPDES permit (including an increase in the magnitude or duration of
a violation).
xiv Introduction to the National Pretreatment Program
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Glossary
Periodic compliance report [paraphrasedfrom 40 CFR 403.12(e) & (h)]
A report on compliance status submitted by CIUs and significant non-CIUs to the POTW at least
semiannually (once every 6 months). For middle-tier categorical industrial users, the POTW may
reduce the requirement to report to no less frequently than once a year, unless required more
frequently in the pretreatment standard or by the Approval Authority. A facility determined to be an
NSCIU must annually submit a certification statement in addition to any other alternative report
required by the POTW.
Point source [40 CFR 122.2]
Any discernible, confined, and discrete conveyance, including any pipe, ditch, channel, tunnel,
conduit, well, discrete fixture, container, rolling stock, concentrated animal feeding operation, landfill
leachate collection system, vessel or other floating craft from which pollutants are or could be
discharged.
Pollutant [40 CFR 122.2]
Dredged spoil; solid waste; incinerator residue; filter backwash; sewage; garbage; sewage sludge;
munitions; chemical wastes; biological materials; radioactive materials (except those regulated under
the Atomic Energy Act of 1954, as amended [42 U.S.C. section 2011 et seq.]); heat; wrecked or
discarded equipment; rock; sand; cellar dirt; and industrial, municipal, and agricultural waste
discharged into water.
Pretreatment [paraphrasedfrom 40 CFR 403.3(s)]
The reduction of the amount of pollutants, the elimination of pollutants, or the alteration of the nature
of pollutant properties in wastewater before or in lieu of discharging, or otherwise introducing, such
pollutants into a POTW.
Pretreatment requirements [40 CFR 403.3(t)]
Any substantive or procedural requirement related to pretreatment, other than a national pretreatment
standard, imposed on an IU.
Pretreatment Standards for Existing Sources (PSES)
Categorical standards and requirements applicable to industrial sources that began construction before
the publication of the proposed pretreatment standards for that industrial category (see individual
standards at 40 CFR Parts 405-471) or on a date specifically provided in promulgation of the
pretreatment standard.
Pretreatment Standards for New Sources (PSNS)
Categorical standards and requirements applicable to industrial sources that began construction after
the publication of the proposed pretreatment standards for that industrial category (see individual
standards at 40 CFR Parts 405-471) or on a date specifically provided in promulgation of the
pretreatment standard.
Process wastewater
Any water that, during manufacturing or processing, comes into contact with or results from the
production or use of any raw material, intermediate product, finished product, byproduct, or waste
product.
Production-based standards
A discharge standard expressed in terms of pollutant mass allowed in a discharge per unit of product
manufactured. For example, 40 CFR Part 467, Aluminum Forming, standards are in milligrams per
kilograms of work piece removed during production. Other production-based categories express
limits in milligrams per kilograms of material processed.
Introduction to the National Pretreatment Program xv
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Glossary
Publicly Owned Treatment Works (POTW) [40 CFR 403.3(q)]
A treatment works (as defined by CWA section 212) that is owned by a state or municipality [as
defined by CWA section 502(4)]. This definition includes any devices or systems used in the storage,
treatment, recycling, and reclamation of municipal sewage or industrial wastes of a liquid nature. It
also includes sewers, pipes, or other conveyances only if they convey wastewater to a POTW
treatment plant. The term also means the municipality [as defined in CWA section 502(4)] that has
jurisdiction over the indirect discharges to and the discharges from such a treatment works.
Regulated wastestream
For purposes of applying the combined wastestream formula, a wastestream from an industrial
process that is regulated by a categorical standard.
Removal credit [paraphrasedfrom 40 CFR 403.7]
Variance for an IU from the otherwise applicable categorical pretreatment standard that reflects the
POTW's removal of that pollutant.
Representative sample
A sample from a wastestream that is as nearly identical as possible in composition to that in the larger
volume of wastewater being discharged and is typical of the discharge from the facility on a normal
operating day.
Sanitary Sewer Overflow (SSO)
Untreated or partially treated sewage overflows from a sanitary sewer collection system.
Self-monitoring
Sampling and analyses performed by a facility to measure compliance with a permit or other
regulatory requirements.
Sewage sludge [40 CFR 122.2]
Any solid, semisolid, or liquid residue removed during the treatment of municipal wastewater or
domestic sewage. Sewage sludge includes solids removed during primary, secondary, or advanced
wastewater treatment, scum, septage, portable toilet pumpings, type III marine sanitation device
pumpings (33 CFR part 159), and sewage sludge products. Sewage sludge does not include grit or
screenings, or ash generated during the incineration of sewage sludge. Also referred to as biosolids.
Sewer Use Ordinance (SUO)
A legal mechanism implemented by a local government entity that establishes requirements for the
discharge of pollutants into a POTW.
Significant Industrial User (SIU) [40 CFR 403.3(v)]
(1) All users subject to categorical pretreatment standards under 40 CFR 403.6 and 40 CFR chapter I,
subchapter N, except those designated as NSCIUs (see definition above); and (2) any other IU that
discharges an average of 25,000 gpd or more of process wastewater to the POTW (excluding sanitary,
noncontact cooling, and boiler blowdown wastewater); contributes a process wastestream that makes
up 5 percent or more of the average dry-weather hydraulic or organic capacity of the POTW
treatment plant; or is designated as such by the POTW on the basis that the IU has a reasonable
potential for adversely affecting the POTW's operation or for violating any pretreatment standard or
requirement [in accordance with 40 CFR403.8(f)(6)].
Significant Noncompliance (SNC) [40 CFR 403.8(f)(2)(viii)]
IU violations that meet one or more of the following criteria:
xvi Introduction to the National Pretreatment Program
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Glossary
A Chronic violations of wastewater discharge limits, defined here as those in which 66
percent or more of all the measurements for each pollutant parameter taken during a 6-
month period exceed (by any magnitude) a numeric pretreatment standard or requirement,
including instantaneous limits, as defined by 40 CFR 403.3(1)
A Technical Review Criteria (TRC) violations, defined here as those in which 33 percent or
more of all the measurements for each pollutant parameter taken during a 6-month period
equal or exceed the product of the numeric pretreatment standard or requirement including
instantaneous limits, as defined by 40 CFR 403.3(1) multiplied by the applicable TRC
(TRC =1.4 for BOD, TSS, fats, oil, and grease and 1.2 for all other pollutants except pH)
* Any other violation of a pretreatment standard or requirement as defined by 40 CFR
403.3(1) (daily maximum, long-term average, instantaneous limit, or narrative standard)
that the POTW determines has caused, alone or in combination with other dischargers,
interference or pass through (including endangering the health of POTW personnel or the
general public)
A Any discharge of a pollutant that has caused imminent endangerment to human health,
welfare, or to the environment or has resulted in the POTW's exercise of its emergency
authority under paragraph (f)(l)(vi)(B) of 40 CFR 403.8 to halt or prevent such a discharge
* Failure to meet, within 90 days after the schedule date, a compliance schedule milestone
contained in a local control mechanism or enforcement order for starting construction,
completing construction, or attaining final compliance
-^ Failure to provide, within 45 days2 after the due date, required reports such as baseline
monitoring reports, 90-day compliance reports, periodic self-monitoring reports, and
reports on compliance with compliance schedules
-^ Failure to accurately report noncompliance
* Any other violation or group of violations, which can include a violation of best
management practices, that the POTW determines will adversely affect the operation or
implementation of the local pretreatment program.
Slug discharge [40 CFR 403.8(f)(2)(vi)]
Any discharge of a nonroutine, episodic nature, including an accidental spill or a noncustomary batch
discharge that 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.
Specific prohibitions [40 CFR 403.5(b)]
Prohibitions that apply to each IU introducing pollutants into a POTW regardless of whether the IU is
subject to other national pretreatment standards or any national, state, or local pretreatment
requirements. The following pollutants must not be introduced into a POTW:
* Pollutants that create a fire or explosion hazard in the POTW, including wastestreams with
a closed cup flashpoint of less than 140 degrees Fahrenheit (°F) or 60 degrees Celcius (°C)
using the test methods specified in 40 CFR 261.21
-^ Pollutants that will cause corrosive structural damage to the POTW, but in no case
discharges with pH lower than 5.0, unless the POTW is specifically designed to
accommodate such discharges
2 The Streamlining Rule changed the timeframe to 45 days. Many POTWs have elected to maintain the previous, more
stringent requirement that reports submitted more than 30 days late are considered to be in significant noncompliance.
Introduction to the National Pretreatment Program xvii
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Glossary
^ Solid or viscous pollutants in amounts that will cause obstruction to the flow in the POTW
resulting in interference
-^ Any pollutant, including oxygen-demanding pollutants (BOD and the like) released in a
discharge at a flow rate or concentration that will cause interference with the POTW
A Heat in amounts that will inhibit biological activity in the POTW resulting in interference,
but in no case heat in such quantities that the temperature at the POTW treatment plant
exceeds 104 °F (40 °C) unless the Approval Authority, at the POTW's request, approves
alternative temperature limits
A Petroleum oil, nonbiodegradable cutting oil, or products of mineral oil origin in amounts
that will cause interference or pass through
-^ Pollutants that result in the presence of toxic gases, vapors, or fumes within the POTW in a
quantity that could cause acute worker health and safety problems
* Any trucked or hauled pollutants, except at discharge points designated by the POTW.
Standard Industrial Classification (SIC)
A system developed by the U.S. Office of Management and Budget that is used to classify various
types of business entities. In 1998 the North American Industry Classification System (NAICS)
replaced the SIC.
Stormwater
Rainwater, snowmelt, and surface runoff and drainage.
Time-proportional composite sample
A sample consisting of a series of aliquots collected after the passage of a definite period, regardless
of the volume or variability of the rate of flow during that period.
Toxic pollutant
Pollutant listed by the EPA Administrator under CWA section 307(a). The list of the current 126
toxic pollutants can be found at http://water.epa.gov/scitech/methods/cwa/pollutants.cfm.
Toxicity Reduction Evaluation (TRE)
A site-specific study conducted in a stepwise process designed to identify the causative agent(s) of
effluent toxicity, isolate the sources of toxicity, evaluate the effectiveness of toxicity control options,
and then confirm the reduction in effluent toxicity.
Toxicity test
A procedure to determine the toxicity of a chemical or an effluent using living organisms. A toxicity
test measures the degree of effect on exposed test organisms from a specific chemical or effluent.
Unregulated wastestream
For purposes of applying the combined wastestream formula, a wastestream not regulated by a
categorical standard and not considered a dilute wastestream.
Upset [40 CFR 403.16(ct)]
An exceptional incident in which there is unintentional and temporary noncompliance with
categorical pretreatment standards because of factors beyond the reasonable control of the IU. 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.
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Glossary
Water quality criteria
Elements of state water quality standards, expressed as constituent concentrations, levels, or narrative
statements, representing a quality of water that supports a particular use. When criteria are met, water
quality will generally protect the designated use.
Water Quality Standard (WQS)
Provisions of state or federal law that consist of a designated use or uses for the waters of the United
States and water quality criteria for such waters based upon such uses. Water quality standards are to
protect the public health or welfare, enhance the quality of water, and serve the purposes of the Clean
Water Act.
Whole Effluent Toxicity (WET)
The aggregate toxic effect of an effluent measured directly by a toxicity test.
Introduction to the National Pretreatment Program xix
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Chapter 1. POTWS and the Need for the Pretreatment Program
CHAPTER!
POTWs AND THE NEED FOR THE
PRETREATMENT PROGRAM
Chapter 1. Applicable EPA References
Environmental Regulations and Technology: The National Pretreatment Program (EPA/625/10-86/005)
EPA's National Pretreatment Program, 1973-2003: Thirty Years of Protecting the Environment
(EPA833-F-03-001)
National Pretreatment Program: Report to Congress (EPA 21W-4004)
Report to Congress on the Discharge of Hazardous Wastes to POTWs (EPA 530-SW-86-004)
SEWAGE TREATMENT
Publicly owned treatment works (POTWs) collect wastewater from homes, commercial buildings,
and industrial facilities and transport it via a series of pipes, known as a collection system, to the
treatment plant(s). Collection systems can flow entirely by gravity or can include lift stations, which
pump the wastewater via a force main to a higher elevation from which the wastewater can then continue
by gravity. Ultimately, the collection system delivers this sewage to the treatment plant. The treatment
plant then removes harmful organisms and other contaminants from the sewage so the wastewater can be
discharged safely into a receiving stream. Without treatment, sewage creates bad odors; contaminates
rivers, lakes, and water supplies; and spreads disease. There are more than 16,000 sewage treatment
plants in the United States treating more than 32 billion gallons per day of wastewater.3 There are
approximately 1,600 POTWs that have approved pretreatment programs, and there are 20,630 significant
industrial users (SIUs) discharging to those POTWs. Many of the POTWs manage more than one sewage
treatment plant. Some states and EPA Regions oversee indirect discharging SIUs rather than requiring the
POTW to develop a pretreatment program. The number of indirect discharging SIUs that EPA and states
oversee directly is 2,197. Therefore, a total of 22,827 SIUs are discharging to sewage treatment plants in
the United States.4
Generally, POTWs are designed to treat only domestic sewage. The typical POTW treatment
process consists of primary and secondary treatment, disinfection (to kill any remaining pathogens), and
some form of solids handling. Primary treatment is designed to remove large solids (e.g., rags and debris)
and smaller inorganic grit. Typical primary treatment operations include screening and settling.
Secondary treatment removes organic contaminants by using microorganisms to consume biodegradable
organics. Activated sludge, trickling filters, and rotating biological contactors are examples of common
secondary treatment operations. Depending on effluent discharge requirements, POTWs can perform
advanced treatment operations, such as nitrification (to convert ammonia and nitrite to the less-toxic
nitrate form of nitrogen), denitrification (to convert nitrate to molecular nitrogen), and physical-chemical
treatment (to remove dissolved metals and organics). After treatment is complete, effluent is discharged to
a receiving stream, typically a creek, river, lake, estuary, or ocean. Some POTWs might apply treated
3 U.S. Environmental Protection Agency, Clean Water Needs Survey 2008 Report to Congress (2008).
4 Permit Compliance System and Integrated Compliance Information System data reported by EPA regions for 2010.
Introduction to the National Pretreatment Program 1-1
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Chapter 1. POTWS and the Need for the Pretreatment Program
effluent directly to golf courses, parkland, or croplands. Industrial users (IDs) are increasingly
implementing measures to reuse effluent. For example, effluent can be used as makeup water in cooling
towers and boilers.
Both primary and secondary treatment processes generate waste solids, known as sewage sludge
or biosolids. Sludge from the treatment process can be used as fertilizer or soil conditioner, disposed of in
a landfill, or incinerated in a sewage sludge incinerator with the ash disposed of in a landfill.
As described earlier, POTWs are designed to treat
typical household waste, biodegradable commercial waste,
and biodegradable industrial waste. The regulations at Title
40 of the Code of Federal Regulations (CFR), section 401.16,
define five contaminants as conventional pollutants. These
conventional pollutants, identified in figure 1-1, include the
specific pollutants that are expected to be present in domestic
discharges to POTWs. Commercial and industrial facilities Figure 1-1. Conventional pollutants.
may, however, discharge toxic or non-conventional pollutants
that the treatment plant is neither designed for nor able to remove.
Biochemical Oxygen Demand (BOD)
Total Suspended Solids (TSS)
Fecal Coliform
PH
Oil and Grease (O&G)
NEED FOR THE PRETREATMENT PROGRAM
As noted earlier, POTWs are not designed to treat most toxic or non-conventional pollutants that
are present in industrial waste. Consequently, discharges from both industrial and commercial sources can
cause problems at POTWs and can have detrimental effects on the water quality of the receiving
waterbody. The undesirable effects of those discharges can be prevented by using treatment techniques or
management practices to reduce or eliminate the discharge of the contaminants. The act of treating
wastewater before discharge to a POTW is commonly referred to as pretreatment. The National
Pretreatment Program, published in 40 CFR Part 403, provides the regulatory basis to require
nondomestic dischargers to comply with pretreatment standards to ensure that the goals of the Clean
Water Act (CWA) are attained. The objectives of the National Pretreatment Program are stated in 40 CFR
403.2, as follows:
-^ Prevent the introduction of pollutants into a POTW that will interfere with the operation of
the POTW, including interference with its use or disposal of municipal sludge
A Prevent the introduction of pollutants into a POTW that will pass through the treatment
works or otherwise be incompatible with such works
* Improve opportunities to recycle and reclaim municipal and industrial wastewaters and
sludges.
The two key terms used in EPA's objectives for the National Pretreatment Program, interference
and pass through, are defined in 40 CFR 403.3(k) and (p):
Interference: A discharge which, alone or in conjunction with a discharge or discharges from
other sources, both:
A 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 any requirement of the POTW's NPDES permit
(including an increase in the magnitude or duration of a violation) or of the prevention of
sewage sludge use or disposal in compliance with the following statutory provisions and
regulations or permits issued thereunder (or more stringent state or local regulations):
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Chapter 1. POTWS and the Need for the Pretreatment Program
CWA section 405; the Solid Waste Disposal Act (including the Resource Conservation
and Recovery Act and 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.
Pass Through: A discharge that exits the POTW into waters of the United States in quantities or
concentrations which, alone or in conjunction with a discharge or discharges from other sources,
is a cause of a violation of any requirement of the POTW's NPDES permit (including an increase
in the magnitude or duration of a violation).
As outlined in EPA's objectives, toxic pollutants can pass through the treatment plant into the
receiving stream, posing serious threats to aquatic life, human recreation, and those consuming fish and
shellfish from the waters. Pass through can make waters unswimmable or unfishable, in direct opposition
to the goals of the CWA. It can also interfere with the biological activity of the treatment plant, causing
discharges of untreated or inadequately treated sewage.
Even where the POTW has the capability to remove the toxic pollutants, the toxic pollutants can
end up in the sewage sludge, thereby limiting sludge disposal options or increasing the cost of disposal.
Incinerating contaminated sludge can release toxic emissions into the atmosphere. Toxic metals removed
in primary treatment can affect the efficiency of sludge digestion, a process that uses bacteria to stabilize
sludge solids. For example, chromium can inhibit reproduction of aerobic digestion microorganisms,
thereby disrupting sludge treatment and producing sludge that must be disposed of with special treatment.
Uncontaminated sludge, on the other hand, can be used as fertilizer or soil conditioner, thereby improving
the productivity of land. Many municipalities apply treated sewage sludge to pastureland or parkland; that
would not be an option if the sludge were contaminated.
Gases or vapors from volatile organics discharged to sewer systems can accumulate in the head
space of sewers, increasing the likelihood of explosions that could cause significant damage. Probably the
most well-known adverse effect from industrial discharges to POTWs in the United States is the
explosion in Louisville, Kentucky, that occurred in 1981. The explosion was a result of excessive
discharges of hexane into the collection system. The hexane in the pipes eventually ignited and destroyed
more than 3 miles of sewers and roadways, causing $20 million in damage. Discharge limitations and
management practices to control slug discharges have significantly reduced the likelihood of future
catastrophes like that explosion.
Discharges of toxic organics can also result in the release of poisonous gas. That occurs most
often when acidic wastes react with other wastes in the discharge. For example, cyanide and acid, both
present in many electroplating operations, react to form highly toxic hydrogen cyanide gas. Similarly,
sulfides from leather tanning can combine with acid to form hydrogen sulfide, another toxic gas. Such
gases can be highly dangerous to POTW collection system operators as they perform their duties. Other
problems associated with toxic discharges (summarized in figure 1-2) further document the urgency of
keeping toxics out of collection systems and POTWs.
Air pollution can occur from volatilization of toxic chemicals in the POTW collection system or
treatment plant, or through incineration of sewage sludge.
Corrosion of collection systems and treatment plants can be caused by acidic discharges or
discharges containing elevated levels of sulfate (forming toxic and corrosive hydrogen sulfide).
Groundwater pollution can occur from leaks in the collection system or pollutants from
contaminated sewage sludge.
Figure 1-2. Other problems associated with toxic nondomestic discharges.
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Chapter 1. POTWS and the Need for the Pretreatment Program
The National Pretreatment Program's strategic partnerships go beyond ensuring the success of
POTWs. Such partnerships promote the following:
* Protecting drinking water supplies by reducing contaminants released into source waters
by POTWs
A Preventing overflows that include raw sewage from sewers through controls on oil and
grease
-^ Extending the life of the nation's wastewater infrastructure through EPA's Four Pillars of
Sustainable Infrastructure Initiative. EPA believes that better management practices,
efficient water use, full-cost pricing of water, and a watershed approach to environmental
management can all help utilities to operate more sustainably now and in the long term.
-^ Worker safety by protecting workers from harmful fumes through limits on discharging
dangerous gases and gas-forming substances
A Homeland security by ensuring proper disposal of waste from decontamination showers.5
The National Pretreatment Program is charged with controlling toxic, conventional, and non-
conventional pollutants from nondomestic sources that discharge into sewer systems, as described in
CWA section 307(a). The list of pollutants appears in the Code of Federal Regulations at 40 CFR401.15.
It is an important starting point for EPA to consider, for example, in developing national discharge
standards (such as effluent guidelines) or in national permitting programs (such as NPDES). The list
contains 65 entries; many entries, such as haloethers, are for groups of pollutants.
The Priority Pollutant list makes the list of toxic pollutants more usable, in a practical way, for
the purposes assigned to EPA by the CWA. For example, the Priority Pollutant list is more practical than
the list of toxic pollutants for testing and for regulation in that chemicals are described by their individual
chemical names. The list of toxic pollutants, in contrast, contains open-ended groups of pollutants, such
as chlorinated benzenes. That group contains hundreds of compounds; there is no test for the group as a
whole, nor is it practical to regulate or test for all the compounds. The Priority Pollutants are a set of
chemical pollutants that EPA regulates and for which EPA has published analytical test methods. These
pollutants fall into two categories:
* Metalsincluding lead, mercury, chromium, and cadmiumcannot be destroyed or
broken down through treatment or environmental degradation. Toxic metals can cause a
number of human health problems, such as lead poisoning and cancer. In addition, the
consumption of contaminated seafood and agricultural food crops can result in exposures
exceeding recommended safe levels.
* Toxic organicsincluding solvents, pesticides, dioxins, and polychlorinated biphenyls
(PCBs) can be cancer-causing and lead to other serious ailments, such as kidney and
liver damage, anemia, and heart failure. In 2008 EPA's Office of Science and Technology
identified 4,249 waterbodies as having unsafe levels of toxic organics in fish and wildlife.6
The National Pretreatment Program also helps prevent excess loadings of the conventional
pollutants biochemical oxygen demand (BOD), total suspended solids (TSS), fecal coliform bacteria, oil
and grease, and pH. Although POTWs are designed to treat conventional pollutants, these pollutants have
caused violations or operational problems at the POTWs. Many POTWs have ongoing problems with
5 U.S. Environmental Protection Agency, Office of Water, EPA's National Pretreatment Program, 1973-2003: Thirty Years of
Protecting the Environment, EPA 833-F-03-001 (2004).
6 U.S. Environmental Protection Agency, Office of Science and Technology, National Listing of Fish Advisories, EPA 823-F-
09-007 (2008). http://www.epa.gov/waterscience/fish/advisories.
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Chapter 1. POTWS and the Need for the Pretreatment Program
excessive loadings of BOD and TSS from industrial and commercial sources causing pass through or
interference and problems in the collection system.
A nonconventional pollutant is any pollutant that is neither a toxic pollutant nor a conventional
pollutant. In recent years, permitting agencies have sought to reduce the amount of nonconventional
pollutants such as nutrients (e.g., ammonia, nitrogen, phosphorus) and other chemicals discharged from
POTWs. Excess nutrients in surface waters can cause excessive algal growth, reduce dissolved oxygen,
and impair aquatic life. Another example of nonconventional pollutants is molybdenum, which can be
introduced to the wastestream from the use of corrosion inhibitors at Ills that add cooling water and boiler
water corrosion control additives. Technology upgrades at POTWs have enabled additional nutrient and
other nonconventional pollutant reductions.
Reductions in pollutants discharged can ensure that industrial development vital to the economic
well-being of a community is compatible with a healthy environment. As noted later, in chapter 2, a
POTW is responsible for ensuring that discharges by industrial and commercial facilities that discharge
into its collection system do not cause problems at the POTW or result in deleterious impacts on receiving
stream water quality. In 1991 EPA estimated that 190 million to 204 million pounds of metals and 30
million to 108 million pounds of organics were removed each year as a result of National Pretreatment
Program requirements.7 That is substantiated by many POTWs reporting significant reductions in the
loadings of toxics to their treatment plants that are directly attributable to implementing the National
Pretreatment Program.
Section 304(a) of the CWA provides a list of priority pollutants for which EPA has established
ambient water quality criteria (the basis of state water quality standards) and effluent limitations (rules
controlling environmental releases from specific industrial categories that are based on the Best Available
Technology Economically Achievable/
The current list of 126 priority pollutants is available at
http: //water, epa. gov/scitech/methods/cwa/pollutants .cfm.
7 U.S. Environmental Protection Agency, National Pretreatment Program: Report to Congress, 1991 (1991).
Introduction to the National Pretreatment Program 1-5
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Chapter 2. Overview of the National Pretreatment Program
CHAPTER 2.
OVERVIEW OF THE NATIONAL
PRETREATMENT PROGRAM
Chapter 2. Applicable EPA Guidance
Control Authority Pretreatment Audit Checklist and Instructions (EPA 833-B-10-001)
Guidance for Conducting a Pretreatment Compliance Inspection (EPA 300R92009)
Guidance for Reporting and Evaluating POTW Noncompliance with Pretreatment Implementation Requirements
(EPA September 1987)
Guidance Manual for POTW Pretreatment Program Development (EPA 833/B-83-100)
Pretreatment Compliance Inspection and Audit Manual for Approval Authorities (EPA 833/B-86-100)
Procedures Manual for Reviewing a POTW Pretreatment Program Submission (EPA 833/B-83-200)
THE CLEAN WATER ACT
On October 18, 1972, the Federal Water Pollution Control Act Amendments of 1972 became law,
declaring the restoration and maintenance of the chemical, physical, and biological integrity of the
nation's water a national goal (figure 2-1). Although procedures for implementing the act (more
commonly referred to as the Clean Water Act, or CWA) have been reevaluated and modified over time,
the 1972 goal has remained unchanged throughout the act's 39-year history.
To restore and maintain the chemical, physical, and biological integrity of the nation's waters:
1. It is the national goal that the pollutants into the navigable waters be eliminated by 1985;
2. It is the national goal that wherever attainable, an interim goal of water quality which provides for the protection and
propagation offish, shellfish, and wildlife and provides for recreation in and on the water be achieved by July 1, 1983;
3. It is the national policy that the discharge of toxic pollutants in toxic amounts be prohibited;
4. It is the national policy that federal financial assistance be provided to construct publicly owned waste treatment
works;
5. It is the national policy that areawide waste treatment management planning processes be developed and
implemented to assure adequate control of sources of pollutants in each state;
6. It is the national policy that a major research and demonstration effort be made to develop technology necessary to
eliminate the discharge of pollutants into the navigable waters, waters of the contiguous zone, and the oceans; and
7. It is the national policy that programs for the control of nonpoint sources of pollution be developed and implemented in
an expeditious manner so as to enable the goals of this Chapter to be met through the control of both point and
nonpoint sources of pollution.
Figure 2-1. Section 101 (a) of the CWA.
The CWA established a water quality approach along with EPA-promulgated, industry-specific,
technology-based effluent limitations. The NPDES permit program was established under the CWA to
control the discharge of pollutants from point sources and served as a vehicle to implement the industrial
technology-based standards for direct dischargers and to implement the categorical pretreatment standards
for indirect dischargers under the POTW pretreatment program. To implement pretreatment standards and
Introduction to the National Pretreatment Program 2-1
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Chapter 1. POTWS and the Need for the Pretreatment Program
requirements, EPA promulgated 40 CFR Part 128 in late 1973, establishing general prohibitions against
treatment plant interference and pass through and setting pretreatment standards for the discharge of
incompatible pollutants from specific industrial categories.
In 1975 several environmental groups filed suit against EPA, challenging the Agency's criteria
for identifying toxic pollutants, its failure to promulgate effluent standards, and its failure to promulgate
pretreatment standards for numerous industrial categories. As a result of that litigation, EPA promulgated
the General Pretreatment Regulations at 40 CFR Part 403 on June 26, 1978, replacing the 40 CFR Part
128 requirements. Also as a result of the suit, EPA agreed to regulate the discharge of 65 categories of
pollutants comprising the 126 priority pollutants from 21 industrial categories. The list of priority
pollutants remains in effect today; the list of regulated industrial categories has grown to more than 50
distinct industries. A discussion of industry-specific requirements is provided in chapter 3.
THE GENERAL PRETREATMENT REGULATIONS
The General Pretreatment Regulations establish responsibilities among federal, state, and local
government; industry; and the public to implement pretreatment standards to control pollutants that pass
through or interfere with POTW treatment processes or that can contaminate sewage sludge. The
regulations, which have been revised numerous times since originally published in 1978, consist of 20
sections and seven appendices. The most recent revision of the General Pretreatment Regulations was
promulgated under the pretreatment Streamlining Rule, which became effective in November 2005. (A
copy of that rule is on EPA's website at http://www.epa.gov/npdes/regulations/streamlining.pdf) The
Streamlining Rule addresses requirements for, and oversight of, Ills that introduce pollutants into
POTWs, and it is different from other major amendments to the General Pretreatment Regulations in that
it increased POTW flexibility in program implementation. In certain instances, that flexibility can allow
for a reduction in minimum program requirements. Throughout this document, wherever the Streamlining
Rule is addressed, POTW staff must remember that approved programs in existence at the time of the
Streamlining Rule are likely based on the older, more restrictive requirements. To ensure that sufficient
legal authority exists and that approved program and NPDES permit requirements are not violated,
POTWs will, in most cases, need to modify their approved pretreatment programs before implementing
the Streamlining Rule. EPA encourages POTWs to discuss that and all program modifications with their
Approval Authority. The overall framework for the General Pretreatment Regulations is provided in
figure 2-2.
The General Pretreatment Regulations apply to all nondomestic sources that introduce pollutants
into a POTW. These sources of indirect discharges are more commonly referred to as Ills. Because an IU
can be as simple as an automated, coin-operated car wash or as complex as an automobile manufacturing
plant or a synthetic organic chemical producer, EPA developed four criteria that define a significant IU
(SIU). Many of the General Pretreatment Regulations apply to SIUs as opposed to Ills; the distinction is
based on the presumption that control of SIUs will, in most cases, provide adequate protection of the
POTW. Where a smaller IU has the potential to adversely affect the POTW, the POTW would be
expected to designate the facility as an SIU.
An SIU is defined in 40 CFR 403.3(v) as any of the following:
A An IU subject to federal categorical pretreatment standards
-^ An IU that discharges an average of 25,000 gallons per day (gpd) or more of process
wastewater to the POTW
A An IU that contributes a process wastestream making up 5 percent or more of the average
dry-weather hydraulic or organic capacity of the POTW treatment plant
2-2 Introduction to the National Pretreatment Program
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Chapter 2. Overview of the National Pretreatment Program
* An IU designated by the
POTW as such because of
its reasonable potential to
adversely affect the POTW's
operation or violate any
pretreatment standard or
requirement.
With the Streamlining Rule, EPA
amended the pretreatment regulations so
that the POTW may (although it is not
required to) modify its approved
pretreatment program to consider
determining that a categorical industrial
user (CIU)8 is a nonsignificant categorical
industrial user (NSCIU). To do that, the
POTW must make a finding that the CIU
never discharges more than 100 gpd of
total categorical wastewater (excluding
sanitary, noncontact cooling, and boiler
blowdown wastewater, unless specifically
included in the pretreatment standard) and
the CIU meets all the following conditions
as stated in 40 CFR 403.3(v)(2):
^ The IU, before the POTW's
finding, has consistently
complied with all applicable
categorical pretreatment
standards and requirements.
-^ The IU annually submits the
certification statement
required in section
403.12(q), together with any
additional information
necessary to support the
certification statement.
§403.1 Purpose and applicability
§403.2 Objectives of general pretreatment regulations
§403.3 Definitions
§403.4 State or local law
§403.5 National pretreatment standards: Prohibited
discharges
§403.6 National pretreatment standards: Categorical
standards
§403.7 Removal credits
§403.8 Pretreatment program requirements: Development
and Implementation by POTW
§403.9 POTW pretreatment programs and/or authorization
to revise pretreatment standards: Submission for
approval
§403.10 Development and submission of NPDES state
pretreatment programs
§403.11 Approval procedures for POTW pretreatment
programs and POTW granting of removal credits
§403.12 Reporting requirements for POTWs and industrial
users
§403.13 Variances from categorical pretreatment standards
for fundamentally different factors
§403.14 Confidentiality
§403.15 Net/Gross calculation
§403.16 Upset provision
§403.17 Bypass
§403.18 Modification of POTW pretreatment programs
§403.19 Provisions of specific applicability to the Owatonna
Waste Water Treatment Facility
§403.20 Pretreatment Program Reinvention Pilot Projects
under Project XL
Appendix A: [Reserved]
Appendix B: [Reserved]
Appendix C: [Reserved]
Appendix D: Selected Industrial Subcategories Considered
Dilute for Purposes of the Combined Wastestream
Formula
Sampling Procedures
[Reserved]
Appendix
Appendix
Appendix G: Pollutants Eligible for a Removal Credit
Figure 2-2. The General Pretreatment Regulations.
A The IU never discharges any untreated concentrated wastewater.
Designation as an NSCIU results in reduced reporting requirements for the NSCIU and reduced
oversight requirements for the POTW. It does not in any way, however, relieve the industry of the need to
comply with the categorical pretreatment standards.
With the Streamlining Rule, EPA also amended the pretreatment regulations so that the POTW
may (although it is not required to) modify its approved pretreatment program to classify a CIU as a
middle-tier categorical industrial user (MTCIU) as described in 40 CFR 403.12(e)(3). The POTW may
apply this classification to a CIU if its discharge of categorical wastewater does not exceed any of the
following:
A CIU is an industrial user subject to national categorical pretreatment standards
Introduction to the National Pretreatment Program
2-3
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Chapter 1. POTWS and the Need for the Pretreatment Program
* 0.01 percent of the design dry-weather hydraulic capacity of the POTW, or 5,000 gpd,
whichever is smaller, as measured by a continuous effluent-flow-monitoring device unless
the IU discharges in batches
-^ 0.01 percent of the design dry-weather organic treatment capacity of the POTW
A 0.01 percent of the maximum allowable headworks loading (MAHL) for any pollutant for
which approved local limits were developed by a POTW.
The POTW may apply the middle-tier classification only if the CIU has not been in significant
noncompliance (SNC) for any time in the past two years and if the CIU does not have daily flow rates,
production levels, or pollutant levels that vary so significantly that decreasing the reporting requirement
for this IU would result in data that are not representative of conditions occurring during the reporting
period.
Unlike other environmental programs that rely on federal or state governments to implement and
enforce specific requirements, under the National Pretreatment Program most of the responsibility rests
on local municipalities. Thus, section 403.8(a) of the General Pretreatment Regulations provides that any
POTW (or combination of treatment plants operated by the same authority) with a total design flow
greater than 5 million gallons per day (mgd) and smaller POTWs in defined circumstances must establish
a local pretreatment program to prevent pass through and interference. As of early 2011, approximately
1,600 POTWs are required to have local programs. Although that represents only about 10 percent of the
total treatment plants nationwide, those POTWs account for more than 80 percent (i.e., approximately 32
billion gallons a day) of the wastewater flow nationwide.
The General Pretreatment Regulations use two terms in describing responsibilities under the
regulations. One is the term Control Authority. Under the regulations, where a POTW has an approved
pretreatment program, the POTW is the Control Authority. If a POTW has not received approval of a
pretreatment program submission, the Control Authority is either a state authorized to administer the
National Pretreatment Program9 or EPA. The term Approval Authority describes the party with
responsibility to administer the National Pretreatment Programeither a state with an approved
pretreatment program or, in a state without an approved pretreatment program, the EPA region for that
state [40 CFR 403.3(f)]. Section 403.10(f)(2)(i) of the regulations requires the director of an NPDES-
authorized state to develop procedures to address the requirements at 40 CFR 403.8(f)(2) for lUs
discharging to a POTW without an approved pretreatment program (figure 2-3). In addition, CWA section
403.10(e) provides a state with the option to implement the pretreatment programs for the POTWs in the
state in lieu of requiring its POTWs to implement programs. Five states (Alabama, Connecticut,
Mississippi, Nebraska, and Vermont) have elected to assume that responsibility. In such cases, the state is
defined as the Control Authority for all lUs in the state.
As described earlier, POTWs establish local pretreatment programs to control discharges from
nondomestic sources. These programs must be approved by the Approval Authority, which is also
responsible for overseeing implementation and enforcement of the programs. For the list of states and
territories authorized to implement state NPDES permit programs and act as National Pretreatment
Program Approval Authorities, see attachment 2-1. Visit http://cfpub.epa.gov/npdes/statestats.cfm for
updates to this list.
9 An approved/authorized state is one with an NPDES permit program approved pursuant to CWA section 402(b) and an
approved state pretreatment program.
2-4 Introduction to the National Pretreatment Program
-------
Chapter 2. Overview of the National Pretreatment Program
§403.8(f)(2)
§403.8(f)(2)
§403.8(0(2)
§403.8(0(2)
§403.8(0(2)
§403.8(0(2)
§403.8(0(2)
§403.8(0(2)
§403.8(0(2)
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
POTW Pretreatment Requirements: Procedures
Identify and locate all possible ILJs
Identify character and volume of pollutants from ILJs
Notify ILJs of applicable pretreatment standards
Receive and analyze reports from ILJs
Randomly sample and analyze effluent from ILJs
Evaluate whether ILJs need slug discharge control plans
Investigate instances of noncompliance
Comply with public participation requirements
Figure 2-3. POTW pretreatment requirements.
POTW PRETREATMENT PROGRAMS
Once the determination has been made that a POTW needs a pretreatment program, the POTW's
NPDES permit is modified to require development of a local program and submission of the program
elements to the Approval Authority for review and approval. Consistent with CWA section 403.8(f),
POTW pretreatment programs must contain six minimum elements, presented in figure 2-4.
In addition to the six specific elements, pretreatment program submissions must include the
following [40 CFR403.9(b)]:
-^ A statement from the city solicitor (or the equivalent) declaring that the POTW has
adequate authority to carry out program requirements
A Copies of statutes, ordinances, regulations, agreements, or other authorities the POTW
relies upon to administer the pretreatment program, including a statement reflecting the
endorsement or approval of the bodies responsible for supervising or funding the program
* A brief description and organizational chart of the organization administering the program
* A description of funding levels and manpower available to implement the program.
Pretreatment program submissions that are complete proceed to the public notice process, as
described in chapter 4, Public Participation. Upon program approval, the Approval Authority is
responsible for modifying the POTW's NPDES permit to require implementation of the approved
pretreatment program. Once the POTW pretreatment program has been approved, the Approval Authority
oversees program implementation by receiving annual POTW reports and conducting periodic audits and
inspections.
Introduction to the National Pretreatment Program
2-5
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Chapter 1. POTWS and the Need for the Pretreatment Program
1. Legal Authority
The POTW must operate pursuant to legal authority enforceable in federal, state or local courts, which authorizes or
enables the POTW to apply and enforce any pretreatment requirements developed pursuant to the CWA and
implementing regulations. At a minimum, the legal authority must enable the POTW to
i. Deny or condition discharges to the POTW;
ii. Require compliance with pretreatment standards and requirements;
ill. Control IU discharges through permits, orders, or similar means;
iv. Require IU compliance schedules when necessary to meet applicable pretreatment
standards and/or requirements and the submission of reports to demonstrate compliance;
v. Inspect and monitor ILJs;
vi. Obtain remedies for IU noncompliance; and
vii. Comply with confidentiality requirements.
2. Procedures
The POTW must develop and implement procedures to ensure compliance with pretreatment requirements, including
i. Identifying and locating all lUs subject to the pretreatment program;
ii. Identifying the character and volume of pollutants contributed by such users;
ill. Notifying users of applicable pretreatment standards and requirements;
iv. Receiving and analyzing reports from lUs;
v. Sampling and analyzing IU discharges;
vi. Evaluating the need for IU slug control plans;
vii. Investigating instances of noncompliance; and
viii. Complying with public participation requirements.
3. Funding
The POTW must have sufficient resources and qualified personnel to carry out the authorities and procedures
specified in its approved pretreatment program.
4. Local Limits
The POTW must develop local limits in defined circumstances or demonstrate why these limits are not necessary.
5. Enforcement Response Plan (ERP)
The POTW must develop and implement an ERP that contains detailed procedures indicating how the POTW will
investigate and respond to instances of IU noncompliance.
6. ListofSIUs
The POTW must prepare, update, and submit to the Approval Authority a list of all SlUs and where applicable indicate
which SlUs are NSCIUs or MTCIUs.
Figure 2-4. Six minimum pretreatment program elements.
The National Pretreatment Program regulates Ills through three types of regulatory entities
EPA, Approval Authorities, and Control Authorities. As noted above, Approval Authorities oversee
Control Authorities, while Control Authorities regulate Ills. The general responsibilities of each of the
three regulatory entities are presented in figure 2-5.
2-6 Introduction to the National Pretreatment Program
-------
Chapter 2. Overview of the National Pretreatment Program
EPA
Headquarters
Oversees program implementation at all levels
Develops and modifies regulations for the program
Develops policies to clarify and further define the program
Develops technical guidance for program implementation
Initiates enforcement actions as appropriate
Regions
A Fulfill Approval Authority responsibilities for states without a state pretreatment program
A Oversee state program implementation
A Initiate enforcement actions as appropriate
Approval Authorities (maybe EPA Regions or authorized states)
-* Notify POTWs of their responsibilities
^ Review and approve requests for POTW pretreatment program approval or modification
>- Review requests for site-specific modifications to categorical pretreatment standards
A Oversee POTW program implementation
A Provide technical guidance to POTWs
A Initiate enforcement actions against noncompliant POTWs or industries.
Control Authorities (may be POTWs, states, or EPA regions)
-* Develop, implement, and maintain approved pretreatment program
>- Evaluate compliance of regulated ILJs
^ Initiate enforcement action against industries as appropriate
>- Submit reports to Approval Authorities
A Develop local limits where required (or demonstrate why they are not needed)
A Develop and implement enforcement response plan
A Review requests for net/gross variances
Industrial Users
Comply with applicable pretreatment standards and reporting requirements
Figure 2-5. Roles and responsibilities.
Introduction to the National Pretreatment Program
2-7
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Chapter 1. POTWS and the Need for the Pretreatment Program
ATTACHMENT 2-1: STATE AND TERRITORY PROGRAM AUTHORIZATION
STATUS
Approved NPDES permit
State or territory program
Alabama
American Samoa
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Guam
Georgia
Hawaii
Illinois
Indiana
Johnson Atoll
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Midway Island
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Jersey
New York
North Carolina
Northern Mariana Islands
North Dakota
Ohio
Oklahoma
Oregon
Puerto Rico
10/19/1979
-
10/31/2008
12/05/2002
11/01/1986
05/14/1973
03/27/1975
09/26/1973
04/01/1974
05/01/1995
~
06/28/1974
11/28/1974
10/23/1977
01/01/1975
-
08/10/1978
06/28/1974
09/30/1983
08/27/1996
01/12/2003
09/05/1974
10/17/1973
06/30/1974
05/01/1974
10/30/1974
06/10/1974
06/12/1974
09/19/1975
04/13/1982
10/28/1975
10/19/1975
~
06/13/1975
03/11/1974
11/19/1996
09/26/1973
Approved pretreatment
program
1 0/1 9/1 979*
~
10/31/2008
12/05/2002
11/01/1986
09/22/1 989
~
06/03/1981*
-
05/01/1995
~
03/12/1981
08/12/1983
~
~
~
06/03/1981
~
09/30/1 983
08/27/1996
01/12/2003
09/30/1 985
04/16/1985
07/16/1979
05/1 3/1 982*
06/03/1981
~
09/07/1 984*
~
04/1 3/1 982
06/14/1982
~
09/16/2005
07/27/1 983
11/19/1996
03/12/1981
2-8
Introduction to the National Pretreatment Program
-------
Chapter 2. Overview of the National Pretreatment Program
State or territory
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virgin Islands
Wake Island
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Approved NPDES permit
program
06/30/1978
09/17/1984
06/10/1975
12/30/1993
12/28/1977
09/14/1998
07/07/1987
03/11/1974
06/30/1976
03/31/1975
11/14/1973
05/10/1982
02/04/1974
01/30/1975
Approved pretreatment
program
09/17/1984
04/09/1 982
12/30/1993
08/10/1983
09/14/1998
07/07/1 987
03/16/1982*
~
04/14/1989
09/30/1 986
05/10/1982
12/24/1980
-
* Denotes 403.10(e) state approval.
Table is current as of March 2011.
Introduction to the National Pretreatment Program
2-9
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Chapter 3. Pretreatment Standards
CHAPTER 3.
PRETREATMENT STANDARDS
Chapter 3. Applicable EPA Guidance
Guidance Manual for Implementing Total Toxic Organics (TTO) Pretreatment Standards (EPA September 1985)
Guidance Manual for Preparation and Review of Removal Credit Applications (EPA July 1985)
Guidance Manual for Preventing Interference at POTWs (EPA 833/B-87-201)
Guidance Manual for the Identification of Hazardous Wastes Delivered to Publicly Owned Treatment Works by Truck,
Rail, or Dedicated Pipe (EPA 833/B-87-100)
Guidance Manual for the Use of Production-Based Pretreatment Standards and the Combined Wastestream Formula
(EPA833/B-85-201)
Local Limits Development Guidance (EPA 833R-04-002A, 2004)
Guidance to Protect POTW Workers from Toxic and Reactive Gases and Vapors (EPA 812-B-92-001)
Supplemental Manual on the Development and Implementation of Local Discharge Limitations under the
Pretreatment Program: Residential and Commercial Toxic Pollutant Loadings and POTW Removal Efficiency
Estimation (EPA 21W-4002)
New Source Dates for Direct and Indirect Dischargers (EPA September 2006)
Industry-Specific Guides
Guidance Manual: Aluminum, Copper, and Nonferrous Metals Forming and Metal Powders Pretreatment Standards
(EPA800B89001)
Guidance Manual for Battery Manufacturing Pretreatment Standards (EPA August 1987)
Guidance Manual for Electroplating and Metal Finishing Pretreatment Standard (EPA-440/1 -84/091 g)
Guidance Manual for Iron and Steel Manufacturing Pretreatment Standards (EPA September 1985)
Guidance Manual for Leather Tanning and Finishing Pretreatment Standards (EPA 833B86101)
Guidance Manual for Pulp, Paper, and Paperboard and Builders' Paper and Board Mills Pretreatment Standards
(EPA July 1984)
Permitting Guidance for Semiconductor Manufacturing Facilities (EPA April 1998)
Permit Guidance Document- Pulp, Paper and Paperboard Manufacturing Point Source Category
(EPA821-B-00-003)
Permit Guidance Document - Transportation Equipment Cleaning (EPA 821 -R-01 -021)
Small Entity Compliance Guide - CWT [Centralized Waste Treatment] (EPA 821-B-01-003)
Product and Product Group Discharges (OCPSF) (EPA April 2005)
Pollution Prevention (P2) Manual for the Pesticide Formulating Packaging and Repackaging Industry
(EPA821-B-98-017)
The National Pretreatment Program regulations identify specific requirements that apply to all
Ills, additional requirements that apply to all SIUs, and certain requirements that apply only to CIUs.
There are three types of national pretreatment requirements:
-^ Prohibited discharge standards that include general and specific prohibition on discharges
* Categorical pretreatment standards
A Local limits.
Introduction to the National Pretreatment Program 3-1
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Chapter 3. Pretreatment Standards
PROHIBITED DISCHARGE STANDARDS
All Illsregardless of whether they are subject to any other national, state, or local pretreatment
requirementsare subject to the general and specific prohibitions identified in 40 CFR 403.5(a) and (b),
respectively. General prohibitions forbid the discharge (the regulations use the term introduction) of any
pollutant(s) to a POTW that cause pass through or interference. Pass through and interference are terms
with very specific meaning in the regulations. Pass through is defined as a discharge that exits the POTW
into waters of the United States in quantities or concentrations that, alone or in conjunction with a
discharge or discharges from other sources, is a cause of a violation of any requirement of the POTW's
NPDES permit. Interference is defined as a discharge that, alone or in conjunction with a discharge or
discharges from other sources, both (1) inhibits or disrupts the POTW, its treatment processes or
operations, or its sludge processes, use, or disposal and (2) therefore is a cause of a violation of any
requirement of the POTW's NPDES permit. Specific prohibitions in 40 CFR 403.5(b) forbid the
following eight categories of pollutant discharges:
-^ Discharges containing pollutants that create a fire or explosion hazard in the POTW,
including wastestreams with a closed-cup flashpoint of less than 140 °F (60 °C) using the
test methods specified in 40 CFR 261.21
* Discharges containing pollutants causing corrosive structural damage to the POTW, but in
no case discharges with a pH lower than 5.0, unless the POTW is specifically designed to
accommodate such discharges
A Discharges containing pollutants in amounts causing obstruction to the flow in the POTW
resulting in interference
* Discharges of any pollutants released at a flow rate or concentration that will cause
interference with the POTW
* Discharges of heat in amounts that will inhibit biological activity in the POTW resulting in
interference, but in no case heat in such quantities that the temperature at the POTW
treatment plant exceeds 104 °F (40 °C) unless the Approval Authority, at the POTW's
request, approves alternative temperature limits
* Discharges of petroleum oil, nonbiodegradable cutting oil, or products of mineral oil origin
in amounts that will cause interference or pass through
* Discharges that result in the presence of toxic gases, vapors, or fumes within the POTW in
a quantity that could cause acute worker health and safety problems
-^ Discharges of trucked or hauled pollutants, except at discharge points designated by the
POTW.
Compliance with the general and specific prohibitions is mandatory for all Ills. The prohibited
discharge standards are intended to provide general protection for POTWs. To address site-specific
conditions, POTWs might also need to develop more specific limitations or additional controls to prevent
pass through and interference. In addition to the prohibitions described above, Ills are also subject to
categorical pretreatment standards and local limits.
EFFLUENT GUIDELINES AND CATEGORICAL PRETREATMENT
STANDARDS DEVELOPMENT
Effluent limitations guidelines, also referred to as effluent guidelines, are national standards
developed by EPA on an industry-by-industry basis, and they are intended to represent the greatest
pollutant reductions economically achievable for an industry. To develop these technology-based
3-2 Introduction to the National Pretreatment Program
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Chapter 3. Pretreatment Standards
regulations, EPA first gathers information on the industry's practices; characteristics of discharges
(stormwater flows and pollutants); technologies or practices used to prevent or treat the discharges; and
economic characteristics. EPA identifies the best available technology that is economically achievable for
that industry and sets regulatory requirements based on the performance of that technology. The effluent
guidelines do not require facilities to install the particular technology identified by EPA; however, the
regulations do require facilities to achieve the regulatory standards that were developed based on a
particular model technology. Effluent limitations guidelines are implemented through the NPDES permit
program. Discharges from direct dischargers (i.e., facilities that discharge wastewaters directly into waters
of the United States) are regulated in permits that specify limits using Best Practicable Control
Technology Currently Available (BPT), Best Available Technology Economically Achievable (BAT),
Best Conventional Pollutant Control Technology (BCT), and New Source Performance Standards
(NSPS).
Pretreatment standards are implemented through the National Pretreatment Program. Discharges
from indirect dischargers (i.e., facilities that discharge their wastewaters to a POTW) are regulated
through categorical standards issued based on Pretreatment Standards for New Sources (PSNS) and
Pretreatment Standards for Existing Sources (PSES).
Industries identified as major sources of pollutants are typically prioritized for effluent guideline
and categorical standard development. EPA typically summarizes the industries it is investigating for
potential rulemakings and the related data collection and reviews in its Effluent Guidelines Program Plan.
The biennial plans are published in the Federal Register, and EPA solicits public comment before
finalizing them.10 If limits are deemed necessary, EPA initiates a rulemaking, investigates affected
industrial sectors, and gathers information regarding process operations and treatment and management
practices, accounting for differences in facility size and age, equipment age, and wastewater
characteristics.11 Subcategorization within an industrial category is evaluated on the basis of variability in
processes employed, raw materials used, types of items produced, and characteristics of wastes generated.
Availability and cost of control technologies, non-water-quality environmental effects, available pollution
prevention measures,12 and economic effects are evaluated before EPA presents its findings in proposed
development documents and publishes a notice of the proposed regulations in the Federal Register. After
making any revisions reflecting public comments on the proposed rule, EPA promulgate (publishes) the
standards (figure 3-1). EPA encourages all stakeholders, including pretreatment professionals, to review
EPA's proposed categorical standards and provide data and comments during the public comment period.
A list of the industrial categories that have categorical pretreatment standards is provided as attachment
3-1.
10 The latest information on EPA's Effluent Guidelines Program Plans and when to submit comments is at
http://epa.aov/quide/304m/index.html.
11 See EPA's Effluent Guidelines Web page (http://epa.gov/auide) or the most recent Federal Regulatory Agenda, which is
published twice a year (usually in April and October) in the Federal Register. For a listing of all ongoing effluent guidelines
rulemakings, see http://www.gpoaccess.gov/ua.
12 For more information on this topic, refer to EPA's Considerations of Pollution Prevention in EPA's Effluent Guideline
Development Process.
Introduction to the National Pretreatment Program 3-3
-------
Chapter 3. Pretreatment Standards
Data
Collection
Regulatory
Taste
I
Proposed
Development
Document
Proposed
Regulations
Promulgation of
Rnal
Regulations
Rnal
Development
Document
Public
Corrment
Figure 3-1. The Effluent guideline development process.
As noted earlier, categorical pretreatment standards may be developed for both existing sources
(PSES) and new sources (PSNS). Facilities are classified as either PSES or PSNS on the basis of the
definition of new source set forth in 40 CFR 403.3(m) of the General Pretreatment Regulations (figure
3-2). Dischargers subject to PSES are required to comply with those standards by a specified date,
typically no more than 3 years after the effective date of the categorical standard. Users subject to PSNS,
however, are required to achieve compliance within the shortest feasible time, not to exceed 90 days from
commencement of discharge. PSNS are often more stringent than PSES because of the opportunity for
new sources to install the best available demonstrated technology and operate the most efficient
production processes. For additional information on EPA's regulatory requirements for determining
which sources are new sources, see the New Source Memorandum on EPA's website at
http://www.epa.gov/npdes/pretreatment. That document provides a summary of relevant regulatory
criteria for consideration in this determination, as well as a listing of applicable new source dates used in
making new source determinations.
EPA typically does not establish pretreatment standards for conventional pollutants (e.g., BOD,
TSS, oil and grease) because POTWs are designed to treat those pollutants. EPA has, however, exercised
its authority to establish some categorical pretreatment standards for conventional pollutants as surrogates
for toxic or nonconventional pollutants or to prevent interference. For example, EPA established
categorical pretreatment standards for new and existing sources with a 1-day maximum concentration of
100 mg/L oil and grease in the Petroleum Refining Point Source Category (40 CFR Part 419) based on
"the necessity to minimize [the] possibility of slug loadings of oil and grease being discharged to
POTWs."13
Refer to U.S. Environmental Protection Agency, Interim Final Supplement for Pretreatment to the Development Document
for the Petroleum Refining Industry Existing Point Source Category, EPA-440-1-76-083A (1977), p. 92.
3-4
Introduction to the National Pretreatment Program
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Chapter 3. Pretreatment Standards
New source is defined at 40 CFR 403.3(m)(1) as any building, structure, facility, or installation from which there is or may be a
discharge of pollutants, the construction of which commenced after publication of proposed pretreatment standards under
section 307(c) of the act which will be applicable to such source if standards are thereafter promulgated in accordance with that
section, provided that:
i. The building, structure, facility, or installation is constructed at a site at which no other source is
located; or
ii. The building, structure, facility, or installation totally replaces the process or production equipment that
causes the discharge of pollutants at an existing source; or
ill. 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 building, structure, facility, or installation meeting the
criteria of paragraphs (m)(1)(ii), or (m)(1)(iii) of this section but otherwise alters, replaces, or adds to
existing process or production equipment.
(3) Construction of a new source as defined under this paragraph has commenced if the owner or operator
has:
i. Begun, or caused to begin as part of a continuous onsite construction program (A) Any placement,
assembly or installation of facilities or equipment, or (B) significant site preparation work, including
clearing, excavation, or removal of existing buildings, structures, or facilities which is necessary for the
placement, assembly, or installation of new source facilities or equipment; or
ii. Entered into a binding contractual obligation for the purchase of facilities or equipment which are
intended to be used in its operation within a reasonable time. Options to purchase or contracts which
can be terminated or modified without substantial loss, and contracts for feasibility, engineering, and
design studies do not constitute a contractual obligation under this paragraph.
Figure 3-2. Definition of new source [40 CFR 403.3(m)].
EPA has established the following types of categorical pretreatment standards for certain
industrial sectors:
-^ Concentration-based standards that are implemented directly as concentration limits
A Mass limits based on production rates
-^ Both concentration-based and production-based limits
* Mass limits based on a concentration standard multiplied by a facility's process wastewater
flow
-^ Standards that allow for the use of best management practices (BMPs)
A Standards that prohibit discharge of any kind.
EPA generally establishes concentration-based categorical pretreatment standards when
production and achievable wastewater flow cannot be normalized on a national basis. Production-
normalized, mass-based standards are calculated from production-normalized flows (volume of
wastewater/production unit) and incorporate wastewater flow reductions representing BAT (which is the
technology basis for PSES) or best available demonstrated technology (which is the technology basis for
PSNS). Flow-normalized, mass-based, and concentration-based standards can consider flow reduction
when estimating the PSES and PSNS incremental compliance costs; however, the standards themselves
do not specifically require flow reductions to maintain compliance. The last type of mass limits described
can be calculated by using a reasonable measure of the Ill's actual long-term daily production (for
production-normalized, mass-based standards) or the Ill's actual long-term average daily flow rate (for
flow-normalized, mass-based, concentration-based standards). EPA prefers setting production-
normalized, mass-based standards, where feasible, because production-normalized limitations can account
for flow reduction and reduce the potential for using dilution instead of actual treatment to reduce a
concentration value in the effluent.
Introduction to the National Pretreatment Program 3-5
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Chapter 3. Pretreatment Standards
LOCAL LIMITS
The general and specific prohibited discharge standards are designed to protect against pass
through and interference generally. Categorical pretreatment standards, on the other hand, are designed to
ensure that Ills implement technology-based controls to limit the introduction of pollutants to the POTW.
Local limits address the specific needs and concerns of a POTW, its sludge, and its receiving waters. The
federal regulations at 40 CFR 403.8(f)(4) and 122.21(j)(4) require POTWs to evaluate the need for local
limits and, if necessary, implement and enforce specific limits as part of pretreatment program activities.
Local limits are developed for pollutants that could cause interference, pass through, sludge
contamination, or worker health and safety problems if discharged in excess of the receiving POTW
treatment plant's capabilities or receiving water quality standards. Typically, local limits are developed to
regulate the discharge from all SIUs, not just CIUs, and they are usually imposed at the end-of-pipe
discharge from an IU (i.e., at the point of connection to the POTWs collection system). In evaluating the
need for local limits development, it is recommended that POTWs do the following:
A Conduct an industrial waste survey to identify all Ills that might be subject to the
pretreatment program.
-^ Determine the character and volume of pollutants contributed to the POTW by these
industries.
A Determine which pollutants have a reasonable potential for pass through, interference, or
sludge contamination as these terms are defined in EPA's pretreatment regulations.
* Identify additional pollutants of concern.
Conduct a technical evaluation to determine
the maximum allowable headworks (influent)
loading (MAHL) for at least ammonia (for
plants that accept nondomestic sources of
ammonia), arsenic, BOD5, cadmium,
chromium, copper, cyanide, lead, mercury,
molybdenum, nickel, selenium, silver, TSS,
and zinc (figure 3-3).
Determine contributions from background
sources (e.g., residential and commercial) to
determine the MAHL from controllable
industrial sources (figure 3-4).
Implement a system to ensure that such
MAHLs will not be exceeded.
Maximum Allowable Headworks Loading
(MAHL). Treatment plant data are used to calculate
removal efficiencies for each pollutant to back-
calculate the MAHLs before applying the most
stringent criteria (i.e., water quality, sludge quality,
NPDES permit, or pollutant inhibition levels).
Subtracting contributions from unpermitted
sources, the available industrial loading is then
either evenly distributed among the I Us or allocated
on an as-needed basis to those ILJs discharging the
pollutant above background levels.
Figure 3-3. MAHL.
Maximum Allowable Industrial Load (MAIL). The
MAIL is the total daily mass that a POTW can
accept from all permitted I Us and still ensure that
the POTW is protecting against pass through and
interference.
Figure 3-4. MAIL.
As stated in EPA's 2004 Local Limits Development
Guidance, when POTWs evaluate a pollutant for the first
time, they should assume that local limits are needed when
any of the following are true:
-^ The average influent loading of a toxic pollutant exceeds 60 percent of the MAHL.
* The maximum daily influent loading of a toxic pollutant exceeds 80 percent of the MAHL
at any time in the 12-month period preceding the analysis.
-^ The monthly average influent loading reaches 80 percent of the average design capacity
for BOD5, TSS, and ammonia during any one month in the 12-month period preceding the
analysis.
3-6
Introduction to the National Pretreatment Program
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Chapter 3. Pretreatment Standards
Those percentages that trigger local limits development are default assumptions that can vary
from plant to plant. The approach used for toxic pollutants is more conservative because most POTWs are
not designed to treat toxic pollutants. For more details, refer to EPA's Local Limits Development
Guidance.
Other local limit approaches available to POTWs are the following:
^ Collection system approach. Pollutants found to be present that could cause fire and
explosion hazards or other worker health and safety concerns are evaluated for their
propensity to volatilize and are modeled to evaluate their expected concentration in air.
Comparisons are made with worker health exposure criteria and lower explosive limits.
Where values are of concern, the POTW may set limits or require development of
management practices to control undesirable discharges. With such an approach, the POTW
may also consider the prohibition of pollutants with specific flashpoints to prevent discharges
of ignitable wastes. EPA's Guidance to Protect POTW Workers from Toxic and Reactive
Gases and Vapors and EPA's 2004 Local Limits Development Guidance detail strategies for
developing such local limits. In addition to the low-end pH limit specified in the General
Pretreatment Regulations, the 2004 Local Limits Development Guidance also recommends
that POTWs evaluate the need to set upper pH limits or more stringent low-end pH limits. A
POTW should set an upper pH limit if corrosion damage attributable to high-pH discharges is
identified. In addition, with the collection system approach, the POTW may consider
pollutants in amounts that will obstruct flows to the POTW and result in interference. As
stated in the 2004 Local Limits Development Guidance, the greatest threat of obstruction in
POTWs comes from polar fats, oils, and greases (FOG) of animal and vegetable origin. Polar
FOG can accumulate and congeal in collection systems, pumping stations, and treatment
plants. It can interfere with the POTW's collection system through blockages when the
wastewater cools enough to allow the suspended FOG to congeal.
^ Case-by-case discharge limits. Such numeric local limits are based on best professional
judgment and available pollution-prevention and treatment technologies that have been
shown through case studies to be economically feasible. Such an approach is most often used
when insufficient data are available to employ the methods outlined earlier.
^ Best management practices. BMPs are management and operational procedures that are
intended to prevent pollutants from entering a facility's wastestream or from reaching a
discharge point. BMPs also include treatment requirements; operating procedures; sludge or
waste disposal; management of drainage from raw materials storage; oil and grease collection
requirements; and practices to control plant site runoff, spillage, or leaks. BMPs should be
enforceable, and they may be used as the local limits required by 40 CFR 403.5(c).
^ Local specific prohibitions. POTW-specific prohibitions may be imposed under local law in
addition to the prohibitions detailed in 40 CFR 403.5 (a) and (b) to address hydraulic,
pollutant-specific, or aesthetic concerns. Following are examples:
- Noxious or malodorous liquids, gases, or solids creating a public nuisance
Wastestreams that impart color and pass through the POTW treatment plant
Stormwater, roof runoff, swimming pool drainage
Wastewaters containing radioactive wastes or isotopes
- Removed substances from pretreatment of wastewater
Introduction to the National Pretreatment Program 3-7
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Chapter 3. Pretreatment Standards
Regardless of the approaches that a POTW takes, local limits should correct existing problems,
prevent potential problems, protect the receiving waters, improve sludge use options, and protect POTW
personnel. EPA's Local Limits Development Guidance and Guidance for Preventing Interference at
POTWs provide basic information on the subject. In addition, many EPA Regions and states have
developed local limits guidance to address regional and state issues.
SUMMARY OF STANDARDS
A general summary of all the pretreatment standards, including general and specific prohibitions,
categorical pretreatment standards, and local limits, is provided in figure 3-5. A summary of specific
categorical standards is presented in Attachment 3-1.
Development
Reference
Applicability
Purpose
General and
specific
prohibitions
Established at the
federal level.
40CFR403.5(a)&
(b)
All lUs
Provide for general
protection of the
POTW. Categorical
pretreatment
standards or local
limits may be more
stringent.
Categorical pretreatment
standards
Established at the federal level.
40 CFR Parts 405-471
ClUs
Minimum standards based on
available treatment technology and
pollution prevention measures for
controlling nonconventional and
toxic pollutants that could cause
pass through, interference, and
such at the POTW. Local limits may
be more stringent.
Local limits
Developed by the POTWs.
Requirements for development
found in40CFR403.5(c)&
403.8(f)(4). Local limits are often
found in the local sewer use
ordinance.
Commonly all ILJs or all SILJs, but
depends on the allocation method
used when developing limits.
Provide site-specific protection for
a POTW and its receiving waters.
Categorical standards may be
more stringent.
All standards are considered pretreatment standards for the purpose of CWA section 307(d), and therefore all
standards, including local limits developed in accordance with 40 CFR 403.5(c), are enforceable by EPA and the state
even though they might be developed at the local level. A POTW is responsible for identifying standard(s) applicable
to each IU and applying the most stringent requirements where multiple provisions exist. Compliance with imposed
standards can be achieved by any of the following: implementing BMPs, developing a pollution prevention program, or
installing pretreatment.
Figure 3-5. Summary of standards.
3-8
Introduction to the National Pretreatment Program
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Chapter 3. Pretreatment Standards
ATTACHMENT 3-1: SUMMARY OF CATEGORICAL STANDARDS
EPA has established categorical pretreatment standards (for indirect dischargers) for 35
categories. Plans for EPA's expansion and modification of the list are detailed in the Effluent Guidelines
Plan, published in the Federal Register biennially as required at CWA section 304(m). The list of the
industrial categories that have categorical pretreatment standardsPretreatment Standards for Existing
Sources (PSES) and Pretreatment Standards for New Sources (PSNS)as of March 2011 is provided
below.
Summary of categorical pretreatment standards
No.
1
2
3
4
5
6
7
8
9
Category
Aluminum Forming
Battery
Manufacturing
Carbon Black
Manufacturing
Centralized Waste
Treatment
Coil Coating
Concentrated
Animal Feeding
Operations (CAFO)
Copper Forming
Electrical and
Electronic
Components
Electroplating
40
CFR
Part
467
461
458
437
465
412
468
469
413
Subparts
A-F
A-G
A-D
A-D
A-D
B
A
A-D
A,B,D-H
Type of
standard
PSES
PSNS
PSES
PSNS
PSNS
PSES
PSNS
PSES
PSNS
PSNS
PSES
PSNS
PSES
PSNS
PSES
Overview of pretreatment standards
Limits are production-based daily
maximums and monthly averages.
Subpart C prohibits discharges from
certain operations.
Limits are production-based daily
maximums and monthly averages. No
discharge is allowed from any process
not specifically identified in the
regulations.
Limits are for oil and grease only (no
duration specified).
Limits are concentration-based daily
maximums and monthly averages.
Limits are production-based daily
maximums and monthly averages.
Discharge of process wastewater is
prohibited, except when there is an
overflow resulting from a chronic or
catastrophic rainfall event.
Limits are production-based daily
maximums and monthly averages.
Limits are concentration-based daily
maximums and 30-day averages or
monthly averages (varies persubpart
and pollutant parameter). Certification is
allowed in lieu of monitoring for certain
pollutants when a management plan is
approved and implemented.
Limits are concentration-based (or
alternative mass-based equivalents)
daily maximums and four-consecutive-
monitoring-days averages. Two sets of
limits exist, depending on whether facility
is discharging more or less than 10,000
gpd of process wastewater. Certification
is allowed in lieu of monitoring for certain
pollutants when a management plan is
approved and implemented.
Introduction to the National Pretreatment Program
3-9
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Chapter 3. Pretreatment Standards
No.
10
11
12
13
14
15
16
17
18
19
Category
Fertilizer
Manufacturing
Glass
Manufacturing
Grain Mills
Ink Formulating
Inorganic
Chemicals
Manufacturing
Iron and Steel
Manufacturing
Leather Tanning
and Finishing
Metal Finishing
Metal Molding and
Casting
Nonferrous Metals
Forming and Metal
Powders
40
CFR
Part
418
426
406
447
415
420
425
433
464
471
Subparts
A-G
H
K-M
A
A
A,B,F,L,
AH,AJ,AI_,
AR,AU,BC,
BL,BM,BO
B-F, H,
K-N,P,Q,
T,V,AA,
AC,AE,AH
AI,AJ,AL,
AN,AP,AQ
AR,AU,AX
BB,BC,
BH,
BK-BO
A-F, H-J,
L
A-l
A
A-D
A-J
Type of
standard
PSNS
PSNS
PSNS
PSNS
PSES
PSNS
PSES
PSNS
PSES
PSNS
PSES
PSNS
PSES
PSNS
PSES
PSNS
Overview of pretreatment standards
Limits may specify zero discharge of
wastewater pollutants (Subpart A),
production-based daily maximums, and
30-day averages (Subparts B-E), or
may be concentration-based (Subparts
F-G), with no duration of limit specified.
Limits are concentration- or production-
based daily maximums and monthly
averages.
Discharge of process wastewater is
prohibited at a flow rate or mass loading
rate (BOD5 and TSS) that is excessive
during periods when a POTW is
receiving peak loads.
Regulations specify no discharge of
process wastewater pollutants to a
POTW.
Limits vary for each subpart with a
majority of the limits concentration-
based, daily maximums, and 30-day
averages, or they may specify no
discharge of wastewater pollutants.
Limits are production-based daily
maximums and 30-day averages.
Limits are concentration-based daily
maximums and monthly averages. In
certain instances, applicability of
pretreatment standards is dictated by
volume of production.
Limits are concentration-based daily
maximums and monthly averages.
Certification is allowed for certain
pollutants where a management plan is
approved and implemented.
Limits are primarily production-based
daily maximums and monthly averages.
Discharges from certain processes are
prohibited (Subparts A-C).
Limits are production-based daily
maximums and monthly averages. In
some instances, the discharge of
wastewater pollutants is prohibited.
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Introduction to the National Pretreatment Program
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Chapter 3. Pretreatment Standards
No.
20
21
22
23
24
25
26
27
28
Category
Nonferrous Metals
Manufacturing
Oil and Gas
Extraction
Organic Chemicals,
Plastics, and
Synthetic Fibers
Paint Formulating
Paving and Roofing
Materials (Tars and
Asphalt)
Pesticide Chemicals
Petroleum Refining
Pharmaceutical
Manufacturing
Porcelain
Enameling
40
CFR
Part
421
435
414
446
443
455
419
439
466
Subparts
C,F-M,P,
Q,V,X,Y,
AA-AC
A-Z,
AA-AE
D
B-H, K
A
A-D
A, C, E
A-E
A-D
A-D
Type of
standard
PSES
PSNS
PSES
PSNS
PSES
PSNS
PSNS
PSNS
PSES
PSNS
PSES
PSNS
PSES
PSNS
PSES
PSNS
Overview of pretreatment standards
Limits are production-based daily
maximums and monthly averages.
PSES (Subpart F) specify no discharge
from existing facilities of process
wastewater pollutants to the POTW
except for some stormwater events.
Limits are production-based daily
maximums and monthly averages.
PSNS (Subparts D and F) specify no
discharge from existing facilities of
process wastewater pollutants to the
POTW.
Regulations specify no discharge of
wastes (e.g., produced water, drill
cuttings) to a POTW.
Limits are mass-based (concentration-
based standards multiplied by process
flow) daily maximums and monthly
averages. Standards for metals and
cyanide apply only to metal- or cyanide-
bearing wastestreams.
Regulations specify no discharge of
process wastewater pollutants to the
POTW.
Limits are for oil and grease only (no
limit duration specified).
Limits are mass-based (concentration-
based standards multiplied by process
flow) daily maximums and monthly
averages. Subpart C specifies no
discharge of process wastewater
pollutants but provides for pollution-
prevention alternatives. Subpart E
specifies no discharge of process
wastewater pollutants.
Limits are concentration-based (or
mass-based equivalent) daily
maximums.
Limits are concentration-based daily
maximums and monthly averages. Such
facilities may certify that they do not use
or generate cyanide in lieu of performing
monitoring to demonstrate compliance.
Limits are concentration-based (or
alternative production-based) daily
maximums and monthly averages.
Subpart B prohibits discharges from
certain operations.
Introduction to the National Pretreatment Program
3-11
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Chapter 3. Pretreatment Standards
No.
29
30
31
32
33
34
35
Category
Pulp, Paper, and
Paperboard
Rubber
Manufacturing
Soap and Detergent
Manufacturing
Steam Electric
Power Generating
Timber Products
Processing
Transportation
Equipment Cleaning
Waste Combustors
40
CFR
Part
430
428
417
423
429
442
444
Subparts
A-G, I-L
E-K
O-R
F-H
A-C
A
Type of
standard
PSES
PSNS
PSNS
PSNS
PSES
PSNS
PSES
PSNS
PSES
PSNS
PSES
PSNS
Overview of pretreatment standards
Limits are production-based daily
maximums and monthly averages. Such
facilities may certify that they do not use
certain compounds in lieu of performing
monitoring to demonstrate compliance.
Facilities subject to Subparts B and E
must also implement BMPs as identified.
Limits are concentration- or production-
based daily maximums and monthly
averages.
Regulations specify no discharge of
process wastewater pollutants to a
POTW when the wastewater chemical
oxygen demand (COD)/BOD7 ratio
exceeds 10.0 and the COD
concentrations exceed subcategory
specific concentrations.
Limits are concentration-based daily
maximums, or maximums for any time,
or compliance may be demonstrated
through engineering calculations.
All PSNS (and PSES for Subpart F)
prohibit the discharge of wastewater
pollutants. PSES for Subparts G and H
are concentration-based daily
maximums (with production-based
alternatives).
Operators subject to effluent guidelines
in subparts A-B must either meet
concentration-based daily maximum
standards or develop a Pollutant
Management Plan. Operators subject to
effluent guidelines in subpart C must
meet concentration-based daily
maximum standards.
Limits are concentration-based daily
maximums and monthly averages.
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Introduction to the National Pretreatment Program
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Chapter 4. POTWPretreatment Program Responsibilities
CHAPTER 4.
POTW PRETREATMENT PROGRAM
RESPONSIBILITIES
Chapter 4. Applicable EPA Guidance
CERCLA Site Discharges to POTWs Guidance Manual (EPA 540G90005)
Control of Slug Loadings to POTWs: Guidance Manual (EPA 21W-4001)
Guidance for Developing Control Authority Enforcement Response Plans (EPA September 1989)
Guidance Manual for POTWs to Calculate the Economic Benefit of Noncompliance (EPA 833B93007)
Industrial User Inspection and Sampling Manual for POTWs (EPA 831 -B-94-001)
Industrial User Permitting Guidance Manual (EPA September 1989)
Model Pretreatment Ordinance (EPA 833B06002)
Multijurisdictional Pretreatment Programs: Guidance Manual (EPA 833-B-94-005)
NPDES Compliance Inspection Manual (EPA July 2004)
POTW Sludge Sampling and Analysis Guidance Document (EPA 833-B-89-100)
Pretreatment Compliance Monitoring and Enforcement Guidance (EPA July 1986)
RCRA Information on Hazardous Wastes for Publicly Owned Treatment Works (EPA 833/B-85-2025)
Chapter 2 describes the basis on which POTWs can develop pretreatment programs that
implement federal pretreatment standards and requirements, in addition to providing protection to address
any local concerns. This chapter provides an overview of those POTW programs, highlighting each of the
specific areas that the pretreatment program is to address. In cases where POTWs are not required to
develop a pretreatment program, an approved state or EPA region is the Control Authority and must
address the requirements in 40 CFR 403.8(f)(2).
LEGAL AUTHORITY
As discussed in chapter 2, POTWs seeking pretreatment program approval must develop policy
and procedures for program implementation and establish the legal authority to implement and enforce
program requirements. The General Pretreatment Regulations do not provide POTWs with the legal
authority to carry out their pretreatment programs; rather, the regulations set forth the minimum
requirements for POTWs that are required to implement a pretreatment program.
A POTW's legal authority derives from state law. Therefore, state law must confer the minimum
legal authority required by the General Pretreatment Regulations on a POTW. Where state law is
deficient, it will need to be amended to provide the minimum requirements.
To apply the regulatory authority provided by state law, it is usually necessary for the POTW to
establish local regulations to legally implement and enforce pretreatment requirements. Where the POTW
is a municipality, legal authority is typically spelled out in a sewer use ordinance (SUO), which is usually
part of the city or county code. Regional POTWs frequently adopt similar provisions in the form of rules
and regulations. Likewise, state agencies implementing a statewide program under 40 CFR 403.10(e) set
Introduction to the National Pretreatment Program 4-1
-------
Chapter 4. POTWPretreatment Program Responsibilities
out pretreatment requirements as state regulations, rather than as an SUO. EPA's 2007 guidance EPA
Model Pretreatment Ordinance provides a model for POTWs that are required to develop pretreatment
programs.
As POTW service areas expand, new
contributions can arise from extrajurisdictional Ills City A | City B
those outside the POTW's legal jurisdiction (Figure 4-1).
Multijurisdictional arrangements require special
legal/contractual mechanisms to ensure adequate
authority to implement and enforce program
requirements in multiple jurisdictions. Some state
statutes might provide for general extraterritorial powers
(i.e., a POTW is automatically allowed to regulate
extrajurisdictional Ills contributing to its system).
However, the extent to which authorities (e.g., to permit,
inspect, enforce, and/or monitor) are granted might be POTW
somewhat limited, thereby restricting a POTW's ability
to implement and enforce a program. Where obtaining
authority from the state to regulate extrajurisdictional lUs F'9ure 4'1 Multijurisdictional program.
is not feasible, the POTW may pursue other options:
* Districts. Creating an independent organization (by affected municipalities or the state)
that is authorized to administer and enforce an approved pretreatment program for the
entire area in which it provides services is common in areas where multiple POTWs serve
various jurisdictions.
^ Agreements. Affected POTWs may opt to enter into agreements either requiring each
municipality to implement and enforce the approved pretreatment program covering all
Ills within its jurisdiction or providing the POTW with the ability to implement and
enforce the program within that municipality. If the other municipality is to implement the
program, the POTW must, at a minimum, retain the means to regulate extrajurisdictional
Ills where the contributing jurisdiction's efforts are inadequate. It is essential that
agreements clearly define the roles of each party.
* Annexation. Where extrajurisdictional Ills are in unincorporated areas, a POTW may
annex or utility-annex the service area.
^ Contracts. A POTW may enter into a contract with an extrajurisdictional IU, although
contracts typically limit the enforcement capabilities of the POTW. Contracts, therefore,
should be pursued only when all other means fail.
Because procedures for obtaining jurisdiction, creating sanitary districts, annexing service areas,
and so forth vary among states, POTW personnel should consult with legal staff to thoroughly examine
the options allowed under state law. These could include requesting state legislative changes if necessary.
EPA's 1994 Multijurisdictional Pretreatment ProgramsGuidance Manual provides more information
on these jurisdictional issues, including sample language for agreements and contracts.
INDUSTRIAL WASTE SURVEYS
As part of program development and maintenance, the federal regulations [40 CFR 403.8(f)(2)(i)
and 40 CFR 122.44(j)(l)] require POTWs to identify and locate all lUs that might be subject to the
pretreatment program. The POTW must also prepare and maintain a list of its SIUs. The list must be
submitted to the Approval Authority with the original pretreatment program submission and then updated
4-2 Introduction to the National Pretreatment Program
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Chapter 4. POTWPretreatment Program Responsibilities
annually as part of the annual POTW report [see 40 CFR 403.8(f)(2)(i)-(ii) and 40 CFR 403.12(1),
respectively]. Although the General Pretreatment Regulations do not specify how a POTW is to identify
its users, it is beneficial to conduct an initial in-depth survey and institute measures to update the list
continuously. POTWs should ensure that they review the entire service area so they include relevant Ills
outside the POTW's jurisdictional boundaries. In such cases, it might be useful to solicit assistance from
other jurisdictions in developing the list of potential dischargers. The types of resources that can be
consulted in compiling and updating the master list are the following:
* Water and sewer billing records
* Applications for sewer service
-^ Local telephone directories
* Chamber of Commerce and local business directories
A Business license records
A POTW and wastewater collection personnel and field observations
* Business associations
-^ The Internet.
Once the Ills are identified, the POTW must classify them to determine whether pretreatment
standards and requirements apply to any of the facilities (40 CFR 403.8(f)(2)). Typically, the POTW
develops and distributes an industrial waste survey (IWS) questionnaire to the identified Ills. The IWS
questionnaire requests information regarding IU activities and the nature of wastes discharged. The
POTW may opt to send a detailed IWS questionnaire or to conduct the survey in two phases, i.e., first
sending a screener requesting basic information to eliminate obvious facilities and then sending a detailed
IWS to those facilities with greater potential to be SIUs. The IWS must identify facilities that are subject
to categorical standards (i.e., CIUs) or otherwise have the potential to affect the POTW (i.e., SIUs).
The POTW must notify each SIU of its status and of all applicable pretreatment standards and
requirements [see 40 CFR 403.8(f)(2)(iii)]. Therefore, a POTW's IU inventory should include the name,
location, classification, applicable standards, basis for limits imposed, volume of discharge, control
mechanism status, compliance dates, and other special requirements for each IU. The completed IWS
should provide most of the information required to develop the inventory, although some supplementary
information might be required from other sources (such as the permit application or monitoring data).
The IU inventory must be updated as needed (40 CFR 403.8(f)(2)(i)) and provided to the
Approval Authority as part of the annual report requirement. (See the POTW Reports section in this
chapter.) The ongoing task of maintaining a complete list of lUs requires the POTW to implement a
system to track existing IU information, classification changes, and new user information. Some POTWs
might proactively opt to institute a utility connect questionnaire program. Such types of forms are
completed when a customer applies for new utility service, such as water, sewer, or electricity.
ID PERMITS/CONTROL MECHANISMS
The General Pretreatment Regulations require that all lUs discharging to a POTW with an
approved pretreatment program be controlled through permit, order, or similar means to ensure
compliance with applicable pretreatment standards and requirements. The regulation at 40 CFR
403.8(f)(l)(iii)(A and B) clarifies this requirement to specify that all SIUs must be issued an individual
permit or equivalent individual control mechanism. Control mechanisms must be enforceable and contain,
at a minimum, the following conditions:
* A statement of duration (not to exceed 5 years)
* A statement of nontransferabililty (unless outlined provisions are met)
-^ Effluent limits, including BMPs, that are based on applicable standards
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Chapter 4. POTWPretreatment Program Responsibilities
^ Self-monitoring, sampling, reporting, notification, and record-keeping requirements
* An identification of the pollutants to be monitored
* The process for seeking a waiver for a pollutant neither present nor expected to be present
in the discharge or a specific waived pollutant in the case of an individual control
mechanism
-^ Sampling location, sampling frequency, and sample type
A A statement of applicable civil and criminal penalties
* A schedule of compliance (where appropriate)
* A requirement to control slug discharges, if determined by the POTW to be necessary.
As a result of changes from the Streamlining Rule, and upon incorporation of appropriate
authority and procedures into the approved program, a POTW may choose to issue a general permit to
multiple Ills. All the facilities to be covered by a general permit must
A Involve the same or substantially similar types of operations
-^ Discharge the same types of wastes
A Require the same effluent limitations
A Require the same or similar monitoring
* In the opinion of the POTW, be more appropriately controlled under a general permit than
under individual permits.
To be covered by a general permit, an SIU must file a written request for coverage that includes
information found in 40 CFR 403.8(f)(l)(iii)(A)(2). A POTW may not control an SIU through a general
permit in cases where the facility's categorical pretreatment standards are production-based or expressed
as mass of pollutant discharged per day, or where the facility's limits are based on the combined
wastestream formula (CWF) or net/gross calculations [40 CFR 403.6(e) and 403.15]. General permits
must contain the minimum conditions required for individual permits, as listed earlier.
EPA's Industrial User Permitting Guidance Manual (Draft) details procedures for drafting IU
discharge permits. SIU permits are site-specific and tailored to the unique circumstances of the IU. Permit
conditions should contain clear and explicit requirements for the permittee, including using terms such as
must and must not, where appropriate, in lieu of vague terms such as recommend, may, and should. The
POTW should document its decision-making process when developing permits to ensure defensibility and
enforceability. Adherence to sound, documented procedures will help prevent claims by the permittee that
the POTW's actions were arbitrary or capricious. Whether developing or reissuing a permit, the
permitting process usually consists of three phases:
-^ Phase ICollection and verification of information
* Phase IIData interpretation and fact sheet development
A Phase IIIPermit development and issuance.
As part of Phase I, POTWs may review and verify information in the permit application, perform
an inspection of the IU for confirmation of facts, tally data, and potentially sample and analyze the lU's
wastestream. Knowledgeable POTW personnel, effective communication, and SIU cooperation are
essential to collecting complete and accurate information.
Phase II could require the POTW to interpret data and other information and document the permit
decision-making rationale, preferably in a permit fact sheet. Although the contents of the fact sheets will
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Chapter 4. POTWPretreatment Program Responsibilities
vary by permittee, they need to provide a
justification for all permitting decisions. The
typical components of a fact sheet are listed in
figure 4-2. Completed fact sheets should be
included in each IU file and provided to the
permittee to underscore the soundness of
permitting decisions.
After all permitting decisions have been
made, the POTW incorporates them into a permit
(Phase III). The POTW provides the draft permit,
signed by the specified POTW official, to the
permittee for comment; after comments are
addressed, the POTW issues a final permit to the
IU. Although the POTW can easily address and
resolve many comments, occasionally a
resolution must be reached through a formal
adjudicatory hearing, at which both the permittee
and POTW present their cases to a third party
(e.g., permit appeal).
ForCIUs
* The basis for the categorical determination(s)
«> The identity and flow volume of all wastestreams
generated and discharged to the POTW, classified
accordingly (i.e., regulated, unregulated, or dilution)
«> Calculations, if needed, for applying CWF, flow-weighted
average, and production-based standards
«> Basis of selecting any values used in calculations
* Data uses and/or justification for estimates used to
determine categorical limitations
ForSIUs/CIUs
«> The basis for limits imposed for all parameters
(categorical, local limits, and such)
«> The rationale for any compliance schedules, special plans
required, and special conditions
* The basis for monitoring and reporting frequencies
Figure 4-2. Components of the permit fact sheet.
Many POTWs also control contributions from non-SIUs using various means, such as general
permits issued to an entire industrial sector. These types of control mechanisms could require compliance
with BMPs in addition to or in place of specific pollutant limitations. For example,
* Grease trap maintenance and record-keeping requirements for food establishments
* Maintenance and record-keeping requirements for photo processors' silver-reclamation
units
* Mercury recovery by hospitals and dentists.
Industrial sector general permitting programs are common where a real or potential POTW
problem is linked to a pollutant discharged (e.g., collection system blockages caused by food
establishments discharging excess oil and grease). POTWs should also have authority to enforce their
SUO or rules or regulations against non-SIUs without the need for any type of individual control
mechanism. Likewise, POTWs should have the authority to require non-SIUs to comply with
pretreatment standards and requirements in their local regulations and take appropriate actions against lUs
when noncompliance is identified.
INSPECTIONS
POTWs are required to inspect all SIUs at least once a year pursuant to 40 CFR 403.8(f)(2)(v).
Although EPA regulations establish a minimum frequency for inspections, additional inspections by the
POTW might be necessary depending on issues such as the variability of an SIU's effluent, the effect of
the SIU's discharge on the POTW, and the facility's compliance history. Inspection considerations
(figure 4-3) hinge on the type of inspection performed (e.g., scheduled, unscheduled, or on-demand).
EPA's 1994 Industrial User Inspection and Sampling Manual for POTWs provides a detailed reference
for inspection procedures and protocols.
The Streamlining Rule revisions allow POTWs to classify some CIUs as MTCIUs. MTCIUs are
still SIUs, but if they meet the conditions in 40 CFR 403.12(e)(3), they qualify for reduced reporting and
oversight. POTWs are required to inspect MTCIUs at least once every 2 years. If an MTCIU no longer
Introduction to the National Pretreatment Program
4-5
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Chapter 4. POTWPretreatment Program Responsibilities
meets the conditions in 40 CFR 403.12(e)(3), the POTW must immediately begin inspecting the CIU at
least once a year (the minimum frequency for inspecting an SIU).
Provide current data on the IU.
Confirm or determine the ILJ's compliance status.
Determine completeness and accuracy of the ILJ's performance/compliance records.
Assess the adequacy of the ILJ's self-monitoring and reporting requirements.
Assess the adequacy of monitoring locations and ILJ's sampling techniques.
Assess the adequacy of imposed limitations and pollutants of concern.
Develop a rapport with the IU.
Evaluate operation and maintenance and overall performance of an ILJ's pretreatment system.
Assess the potential for spills and slug loadings.
Evaluate the effectiveness of slug control plan.
Reveal issues requiring action
Identify noncompliance needing resolution
Suggest pollution prevention opportunities
Collect samples
Obtain data to support enforcement actions
Figure 4-3. Inspection considerations.
Scheduled inspections are useful when the POTW wants to gather specific information from the
facility that necessitates meeting with specific SIU contacts. However, on-demand inspections or
unscheduled inspections might more accurately reflect SIU compliance status because scheduled
inspections sometimes interrupt normal operations. (For example, the production schedule might be
altered as a result of preparatory work undertaken by the SIU.) On-demand inspections are nonroutine and
occur in response to a concern such as POTW collection problems downstream from an IU, elevated
enforcement actions against an IU, suspicious IU behavior, or an informer's complaint.
Routine POTW inspections of SIUs typically consist of three activitiespreparation, on-site
assessment, and follow-up.
-^ Preparation. POTW personnel should review POTW records for an SIU to be inspected to
familiarize themselves with the facility. The information reviewed might include compliance
status, compliance schedule activities, reports and plans, upcoming report and plan due dates,
enforcement activities, permit applications, waste surveys, previous inspection summaries,
categorical regulations, water use/billing records, and POTW collection system maps. POTW
personnel should also be familiar with any specific issues and concerns regarding the
POTW's treatment plant or collection system potentially caused by the SIU's discharge.
^ On-site assessment. POTW personnel typically discuss IU operations with IU contacts and
walk through the facility to update IU information regarding contacts, processes, production
rates, pretreatment, and other waste management activities; review records that the IU is
required to keep; visually verify the need for a slug control plan; and review pretreatment
system maintenance, categorical standards applicable to processes employed, metering and
sampling equipment, sampling procedures, chemicals used, processes employed,
management practices, containment structures, locations of floor drains, and the like. Many
POTWs have developed a standard inspection questionnaire to facilitate the interview process
and promote consistency during the inspection.
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Chapter 4. POTWPretreatment Program Responsibilities
* Follow-up. The POTW should prepare an inspection report as soon as possible after the
inspector returns to the office. Unanswered questions, required permit modifications, or
necessary enforcement actions should be processed in a timely manner.
Nonroutine inspections such as on-demand inspections might not encompass all the activities and
steps specified above. Like routine inspections, however, such activities should provide the POTW an
opportunity to collect samples of the Ill's discharge.
POTWs must also evaluate whether each SIU needs a plan or other action to control slug
discharges. (A slug discharge is a discharge of a nonroutine, episodic nature, including an accidental spill
or noncustomary batch discharge.) To accurately evaluate the slug potential, POTWs likely will have to
examine the SIU during its normal operating conditions. If undetected, slug discharges can have serious
effects on the POTW. EPA's 1991 Control of Slug Loadings to POTWs Guidance Manual provides
procedures for developing, implementing, and reviewing slug control plans. Additional information on
slug control plans is included in chapter 5 of this manual.
SAMPLING
With the exception of MTCIUs and NSCIUs, the General Pretreatment Regulations require
POTWs to monitor each SIU at least annually and each SIU to self-monitor at least semiannually (once
every six months). The POTW may choose to monitor in lieu of requiring the IU to perform the self-
monitoring. If sampling conducted by the IU indicates a violation, the IU must repeat the sampling and
submit analytical results within 30 days after becoming aware of the violation. If the IU performed the
initial sampling, the IU must notify the POTW within 24 hours of becoming aware of the violation in
addition to performing the follow-up sampling and analysis. In cases where the POTW has assumed
responsibility for sampling in lieu of the SIU, the POTW must repeat the sampling and analysis. An
exception to that requirement is made if the POTW performs the sampling at the IU at a frequency of at
least once per month or if the POTW performs sampling at the IU between the time of the initial sampling
and the receipt of the results of that sampling. For a discussion on self-monitoring, see chapter 5.
For MTCIUs, the POTW is required to conduct sampling at least once every 2 years. For
NSCIUs, the POTW is required to evaluate, at least every 2 years, whether the IU continues to meet the
criteria that qualify it as an NSCIU. Where the POTW has authorized the SIU to forego sampling of a
pollutant regulated by a categorical pretreatment standard (under 40 CFR 403.12(e)(2)), the POTW must
sample for the waived pollutant(s) at least once during the term of the CIU's control mechanism
(maximum duration of 5 years).
As with inspections, the POTW should assess site-specific issues, such as SIU effluent variability,
the effect of the effluent on the POTW, and the SIU's compliance history, to determine appropriate
sampling frequencies (i.e., if more or less frequent monitoring is necessary). A more detailed discussion
of IU monitoring requirements is provided in chapter 5. For more detailed information on sampling
frequencies, refer to EPA's 1994 Industrial User Inspection and Sampling Manual for POTWs.
Sampling is the most appropriate method for verifying compliance with pretreatment standards.
The POTW designates the monitoring location(s), which must be selected such that compliance with
permitted discharge limits can be determined. Where possible, the POTW should not designate
monitoring locations that are confined spaces, are difficult to access, or make it difficult to place the
automated sampling equipment. Monitoring locations should
* Be appropriate for wastestream conditions
* Be representative of the discharge
-^ Have no bypass capabilities
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Chapter 4. POTWPretreatment Program Responsibilities
* Allow for unrestricted access at all times.
Grab samples must be used for pH, cyanide, total phenols, oil and grease, sulfide, and volatile
organic compounds. For all other pollutants, 24-hour composite samples must be obtained through flow-
proportional composite sampling techniques, unless the POTW authorizes time-proportional composite
sampling or grab sampling. Where the POTW authorizes time-proportional composite sampling or grab
sampling, (1) the samples must be representative of the discharge, and (2) the justification for the decision
to allow the alternative sampling must be documented in the Ill's file for that facility or facilities. Using
protocols (including appropriate preservation) specified in 40 CFRPart 136 and appropriate EPA
guidance, multiple grab samples collected during a 24-hour period may be composited before 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. The
POTW may authorize, as appropriate, composite samples for other parameters unaffected by the
compositing procedures as documented in approved EPA methodologies.
Adherence to proper sample collection and handling protocols, 40 CFR Part 136-approved
analytical methodologies, and record-keeping requirements [40 CFR403.12(o)(l)] (see figure 4-4) can be
verified by reviewing field measurement records, chain-of-custody forms, and lab reports. Field
Parameter
PH
BOD
TSS
NH3 as N
Oil and grease
Cyanide, total
Metals (total)
Chromium,
hexavalent
Boron
Mercury
624 (volatiles
organics)
625 (semivolatile
organics)
Sample
type
Grab
Composite
Composite
Composite
Grab
Grab
Composite
Composite
Composite
Composite
Grab
Composite
Container
Polyethylene or glass
Polyethylene or glass
Polyethylene or glass
Polyethylene or glass
Glass
Polyethylene or glass
Polyethylene or glass
Polyethylene,
fluoropolymer, or glass
Polyethylene,
fluoropolymer, or
Quartz
Polyethylene,
fluoropolymer, or glass
Amber glass, w/Teflon
septum lid and zero
headspace
Amber glass w/Teflon-
lined lid
Preservative
N/A
Chilled to < 6 °C
Chilled to < 6 °C
Chilled to < 6 °C, H2SO4
to pH < 2
Chilled to < 6 °C, HCI or
H2SO4 to pH < 2
Chilled to < 6 °C, NaOH
to a pH > 12, and 0.6 g of
ascorbic acid if residual
chlorine is present
HNO3topH<2
Chilled to < 6 °C
HN03
HNO3
Chilled to < 6 °C
(additional laboratory
preservation required)
Chilled to < 6 °C
(additional laboratory
preservation required)
Holding time
Analyze
immediately
48 hours
7 days
28 days
28 days
14 days
6 months
28 days
6 months
28 days
7 or 14 days,
depending on
specific organic
7 days for sample
prep; 40 days for
extract
Figure 4-4. Suggested sample collection techniques.
4-8
Introduction to the National Pretreatment Program
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Chapter 4. POTWPretreatment Program Responsibilities
measurement records may require information regarding sample location, condition of and programmed
settings for sampling equipment, wastewater meter readings, and information for such parameters as pH
and temperature, which require analysis in the field. Chain-of-custody forms are a link between field
personnel and the laboratory, and they contain information regarding sample matrix, type, and handling.
Lab reports should contain the minimum information specified in 40 CFR 403.12(o)(l)(ii-iv) and any
additional information necessary to demonstrate compliance with 40 CFR Part 136 requirements (e.g.,
analytical methodology, sample preparation date and time, time of analysis). Using standardized forms
that prompt recording the information necessary to demonstrate compliance with applicable requirements
helps to ensure that data can be used as admissible evidence in enforcement proceedings or in judicial
actions.
CONTROL AUTHORITY ENFORCEMENT
In addition to requirements for permitting, sampling, and inspecting Ills, the General
Pretreatment Regulations require POTWs to review IU reports and plans and to respond to instances of IU
noncompliance in a timely, fair, and consistent manner. Enforcement of pretreatment requirements is a
critical element of the National Pretreatment Program. In the early years of the Program, EPA became
aware that in certain instances extenuating circumstances could prevent POTWs from taking adequate
enforcement steps. For example, political and economic pressures from local officials might keep POTW
personnel from taking appropriate actions. After that was identified as a major concern, EPA promulgated
regulations in 1990 (55 FR 30082) that require all POTWs with approved pretreatment programs to adopt
and implement an enforcement response plan (ERP). The ERP regulations at 40 CFR 403.8(f)(5) establish
a framework for POTWs to formalize procedures for investigating and responding to instances of IU
noncompliance. The purpose of developing and following an approved ERP is so that POTWs enforce
against lUs objectively, consistently, and equitably and thereby minimize any potential outside pressures
to overlook potential violations.
To evaluate IU compliance, POTWs must first identify the applicable requirements for each IU.
In general, IU reports (discussed in chapter 5) and POTW monitoring activities are the basis for POTW
evaluation of IU compliance. Discharge permit limit exceedances, discrepancies, deficiencies, and
lateness are all violations that must be resolved.
To ensure that enforcement response is appropriate and that the POTW's actions are not arbitrary
or capricious, EPA strongly recommends that the POTW include an enforcement response guide (ERG)
as part of the approved ERP. The ERG typically identifies responsible POTW officials, a general time
frame for actions, expected IU responses, and potential escalated actions based on the following:
* Nature of the violation
- Pretreatment standards
- Reporting (late or deficient)
- Compliance schedules
A Magnitude of the violation
A Duration of the violation
* Frequency of the violation (isolated or recurring)
-^ (Potential) effect of the violation (e.g., interference, pass through, or POTW worker safety)
* Economic benefit gained by the violator
* Attitude of the violator.
Figure 4-5 illustrates the types of questions that dictate whether an ERG is adequate. Factors that
the POTW should consider in determining appropriate enforcement responses to noncompliance events
are discussed in detail in EPA's 1989 Guidance for Developing Control Authority Enforcement Response
Plans.
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Chapter 4. POTWPretreatment Program Responsibilities
Q: Is a POTW response required for all violations that were identified?
Q: Is the IU notified by the POTW when a violation is found?
Q: Is the IU required to respond to each violation with an explanation and, as appropriate, a plan to correct the
violation within a specified period?
Q: Where noncompliance continues or the IU response is inadequate, does the POTWs response become more
formal and are commitments (or schedules, as appropriate) for compliance established in an enforceable
document?
Q: Is the enforcement response selected related to the seriousness of the violation?
Q: Where the violation constitutes SNC. and is onaoina. is the minimum resoonse an administrative order?
Figure 4-5. How complete is your ERG?
Although POTWs should strive for consistent compliance by all permitted Ills, the General
Pretreatment Regulations establish criteria for SNC for violations that would have a potential for greater
environmental impact. SNC is defined in 40 CFR 403.8(f)(2)(viii) and depicted in figure 4-6. A decision
to seek formal enforcement is generally triggered by an unresolved instance of SNC, failure to achieve
compliance in a specified period through less formal means, or the advice of legal counsel. SNC
evaluations are to be conducted in 6-month increments. The names of Ills found to be in SNC must be
published in a newspaper(s) of general circulation that provides meaningful public notice within the
jurisdiction(s) served by the POTW; refer to the Public Participation section in this chapter.
An IU is in SNC if its violation meets one or more of the following criteria (40 CFR
403.8(f)(2)(viii)):
(A) Chronic violations of wastewater discharge limits, defined here as those in which 66 percent or more of all the
measurements taken during a 6-month period exceed (by any magnitude) a numeric pretreatment standard or requirement,
including instantaneous limits, as defined by 40 CFR 403.3(1)
(B) Technical Review Criteria (TRC) violations, defined here as those in which 33 percent or more of all of the measurements for
each pollutant parameter taken during a 6-month period equal or exceed the product of the numeric pretreatment standard
or requirement including instantaneous limits, as defined by 40 CFR 403.3(1) multiplied by the applicable TRC (TRC = 1.4 for
BOD5, TSS, fats, oil, and grease; and 1.2 for all other pollutants except pH)
(C) Any other violation of a pretreatment Standard or Requirement as defined at 40 CFR 403.3(1) (daily maximum, long-term
average, instantaneous limit, or narrative standard) that the POTW determines has caused, alone or in combination with
other discharges, interference or pass through (including endangering the health of POTW personnel or the general public)
(D) Any discharge of a pollutant that has caused imminent endangerment to human health, welfare or to the environment or has
resulted in the POTWs exercise of its emergency authority under 40 CFR 403.8(f)(1)(vi)(B) of this section to halt or prevent
such a discharge
(E) Failure to meet, within 90 days after the schedule date, a compliance schedule milestone contained in a local control
mechanism or enforcement order for starting construction, completing construction, or attaining final compliance
(F) Failure to provide, within 45 days after the due date, required reports such as baseline monitoring reports, 90-day
compliance reports, periodic self-monitoring reports, and reports on compliance with compliance schedules
(G) Failure to accurately report noncompliance
(H) Any other violation or group of violations, which could include a violation of BMPs, that the POTW determines will adversely
affect the operation or implementation of the local pretreatment program
Figure 4-6. Definition of SNC.
Formal enforcement needs to be supported by well-documented records of the violations and of
any prior efforts by the POTW to obtain compliance. Where effluent limitations have been exceeded,
records should be reviewed to verify compliance with 40 CFR Part 136 test methods. If the IU has
received conflicting information from the POTW regarding its compliance status, its status should be
clarified in writing. The POTW might wish to consider a show cause meeting with the IU before
beginning formal enforcement action because the regulations do allow, in certain instances, an affirmative
defense for violations.
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Chapter 4. POTWPretreatment Program Responsibilities
The range of enforcement mechanisms available to a POTW depends on the specific legal
authorities provided by city, county, and state law. The mechanisms could range from a simple telephone
call to suits seeking significant criminal penalties. Common enforcement mechanisms include the
following:
^ Informal notice to IU. This notice could consist of a telephone call or a reminder letter to
an appropriate IU official to notify him or her of a minor violation and to seek an
explanation. Such an informal notice can be used to correct minor instances of
noncompliance.
-^ Informal meetings. Informal meetings can be used to obtain an Ill's commitment to
comply with its pretreatment obligations or to inform the IU of stronger enforcement
mechanisms available for unresolved or continued noncompliance.
-^ Warning letter or Notice of Violation (NOV). This written notice to the IU in response to
a violation of pretreatment standards or requirements should request an explanation of the
noncompliance and measures that will be taken to eliminate future violations.
^ Administrative orders and compliance schedules. These may require an IU to show cause
to the POTW as to why formal enforcement action should not be taken or sewer service
discontinued, or what actions will be taken to comply with pretreatment standards or
requirements. Such orders may be negotiated (i.e., Consent Order) or issued at the
reasonable discretion of the POTW (i.e., Compliance Order). For more egregious or
serious violations, the POTW may issue a Cease and Desist Order.
-^ Administrative fines. POTWs may assess fines against lUs for violations. The fines are
intended to recapture partial or full economic benefit for the noncompliance and to deter
future violations.
NOTE: Surcharges are not penalties or fines. Surcharges are intended to recoup the cost of
treatment of (compatible) wastes by the POTW, and they must not be used to allow
discharges of toxic pollutants that cause interference or pass through.
* Civil suits. Civil suits are a formal process of filing lawsuits against lUs to correct
violations and to obtain penalties for violations. Civil penalty amounts are generally
established through state or municipal laws. However, 40 CFR403.8(f)(l)(vii) requires
that POTWs have the legal authority to seek or assess civil or criminal penalties of at least
$1,000 per day for each violation. A civil suit for injunctive relief may be used when the
IU is unlikely to successfully execute the steps that the POTW believes are necessary to
achieve or maintain compliance, when the violation is serious enough to warrant court
action to deter future similar violations, or when the danger presented by an lU's lengthy
negotiation of a settlement is intolerable.
^ Criminal prosecution. This type of enforcement is a formal judicial process in which
sufficient admissible evidence exists to prove beyond a reasonable doubt that a person has
willfully or negligently violated pretreatment standards or that a person has knowingly
made a false statement regarding any report, application, record, or other document
required by the General Pretreatment Regulations. As noted earlier, POTWs must have the
legal authority to seek or assess civil or criminal penalties of at least $1,000 per day for
each violation. Examples of criminal violations include falsifying data and tampering with
sampling results or equipment.
^ Termination of service (revocation of permit). POTWs may pursue permit revocation to
immediately halt an actual or threatened discharge to the POTW that could represent an
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Chapter 4. POTWPretreatment Program Responsibilities
endangerment to the public health, the environment, or the POTW. This remedy may also
be used to bring recalcitrant Ills into compliance.
Regardless of the response taken, the POTW should document and track all contact, notices, and
meetings with Ills and any IU responses. POTW actions and IU responses (or lack thereof) should be
documented, including a record of any direct contact with the IU to attempt to resolve the noncompliance.
POTWs should take timely and effective enforcement actions against violators.
PROGRAM MANAGEMENT AND
RECORD KEEPING
POTWs must maintain general program files
that document program development and
implementation activities that are not lU-specific
(figure 4-7). Furthermore, pretreatment programs are
required to maintain local limits records during at least
the effective dates of the developed local limits and for
3 years after. All information should be filed in an
orderly manner and be readily accessible for inspection
and copying by EPA and state representatives or the
public. The pretreatment regulations specify that all
information submitted to the POTW or state must be
available to the public without restriction, except for
confidential business information (40 CFR403.14).
The POTW is required to maintain records
resulting from monitoring in a readily accessible
manner for at least 3 years (40 CFR 403.12(o)).
Although the means for maintaining files is usually at
the discretion of the POTW, all required pretreatment
activities must be recorded and the documents
maintained. Types of records submitted by and
pertaining to Ills are summarized in figure 4-8.14
POTWs must also maintain the following
documentation, when applicable:
^ Equivalent limits [40 CFR 403.6(c) (6)].
If the POTW allows the conversion of
the mass limits of the categorical
pretreatment standards at 40 CFR Parts
414, 419, and 455 to concentration-based
limits, the POTW should document that
dilution is not being substituted for
treatment.
Legal authority (e.g., SUO)
Program procedures
Program approval and modifications
List of SI Us
Copy of POTW NPDES permit(s)
Local limits development
ERP
Correspondence to and from EPA/state
Annual reports to the Approval Authority
Public notices
Funding and resource changes
Applicable federal and state regulations
IU compliance and permitting records
IWS results
Figure 4-7. Types of POTW records
retained.
Industrial waste questionnaires
Permit applications, permits and fact sheets
Inspection reports
IU reports
Monitoring data (including laboratory reports)
Required plans (e.g., slug control, sludge
management, pollution prevention)
Enforcement activities
All correspondence to and from the IU
Phone logs and meeting summaries
Figure 4-8. Types of ID records retained
by POTW.
Equivalent limits [40 CFR 403.6(c)(7)].
If the POTW allows equivalent
concentration- or mass-based limits, the POTW should document how the equivalent
limits were derived and make this information publicly available.
Descriptions of the documents required to be submitted by IDs are provided in chapter 5.
4-12
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Chapter 4. POTWPretreatment Program Responsibilities
^ General control mechanism [40 CFR 403.8(f)(l)(iii)(A)(2)]. A copy of the general
control mechanism, documentation to support the POTW's determination that a specific
SIU meets the criteria necessary to qualify for a general permit, and a copy of the Ill's
written request for coverage must be maintained for 3 years after the expiration of the
general control mechanism.
^ Monitoring waiver for pollutant not present [40 CFR 403.12(e)(2)(iv)]. The reasons
supporting the monitoring waiver and any information submitted by the IU in its request
for the waiver must be maintained for 3 years after expiration of the waiver.
^ MTCIU[40 CFR 403.12(e)(3)(v)]. Documentation to support the POTW's determination
that a specific IU qualifies for reduced reporting requirements must be maintained for 3
years after the expiration of the term of the control mechanism in which the middle-tier
requirements were applied.
^ Alternative sampling method [40 CFR 403.12(g)(3)]. Documentation on the justification
to allow time-proportional composite sampling or grab sampling in lieu of flow-
proportional composite sampling must be maintained.
^ BMPs [40 CFR 403.12(o)]. Documentation associated with BMP compliance must be
maintained for 3 years.
A computerized data management system can assist in tracking due dates, submissions,
deficiencies, notifications, and the like and in calculating effluent limitation noncompliance. Similarly,
many POTWs use standardized forms (e.g., inspection questionnaires, chains of custody, and field
measurement records) and procedures (e.g., sampling and periodic compliance report reviews) to promote
the consistency and organization of program data.
PUBLIC PARTICIPATION
One of the goals of CWA section 101(e) is public participation in the development, revision, and
enforcement of any regulation, standard, effluent limitation, plan, or program established by EPA or any
state. The General Pretreatment Regulations encourage public participation by requiring public notices or
hearings for program approval, removal credits, program modifications, local limits development and
modifications, and Ills in SNC.
POTW pretreatment program approval requests require the Approval Authority to publish a
notice (including a notice for a public hearing) in a newspaper of general circulation within the
jurisdiction served by the POTW. All comments regarding the request and any request for a public
hearing must be filed with the Approval Authority within the specified comment period, which is
typically 30 days. The Approval Authority takes into consideration all comments received when deciding
to approve or deny the submission. The decision is then provided to the POTW and other interested
parties and published in the newspaper; all comments received must be available to the public for
inspection and copying.
After a local pretreatment program is approved, the requirement to implement the program is
incorporated into the NPDES permit and the POTW must implement that program as approved. Before a
POTW may implement a significant change in its pretreatment program operation, it must initiate a
program modification.
For substantial program modifications (figure 4-9), the POTW is required to notify the Approval
Authority of its desire to modify its program and the basis for the change. Such changes become effective
upon approval. Approval Authorities (or POTWs) are required to provide public notice of the request for
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Chapter 4. POTWPretreatment Program Responsibilities
a modification, but they are not required to provide public notice of the decision if no comments are
received and the request is approved without changes (40 CFR 403.11 and 403.18(c)(3)&(4)). After EPA
amends the General Pretreatment Regulations, a POTW will often be required to modify its approved
program to ensure that the legal authority and program procedures provide for implementation of those
requirements. That is true even where the amendments to the General Pretreatment Regulations allow for
relaxed requirements for the POTW or its Ills. Failure to submit program modifications before
implementation in such cases could result in the POTW's violating its NPDES permit because
implementation of the approved program is usually a requirement of the POTW's NPDES permit.
Nonsubstantial modifications must also be submitted to the Approval Authority for review and
approval, but these changes do not require public notice. Unlike substantial modifications, nonsubstantial
modifications become effective 45 days after submission unless the Approval Authority notifies the
POTW otherwise.
The POTW also must annually publishin a newspaper(s) of general circulation that provides
meaningful public notice within the jurisdiction(s) served by the POTWa list of Ills that were in SNC
at any time during the previous 12 months.
1. Modifications that relax POTW legal authorities [as described in 40 CFR 403.8(f)(1)], except for modifications that
directly reflect a revision to 40 CFR Part 403, and are reported pursuant to 40 CFR 403.18(d)
2. Modifications that relax local limits, except for modifications to local limits for pH and reallocations of the MAIL of a
pollutant that do not increase the total industrial loadings for a pollutant, and that are reported pursuant to 40 CFR
403.18(d)
3. Changes to a POTWs control mechanism, as described in 40 CFR 403.8(f)(1 )(iii)
4. A decrease in the frequency of self-monitoring or reporting required of I Us
5. A decrease in the frequency of IU inspections or sampling by the POTW
6. Changes to the POTWs confidentiality procedures
7. Other modifications designated as substantial modifications by the Approval Authority because the modification could
have a significant effect on the operation of the POTWs pretreatment program; could result in an increase in pollutant
loadings at the POTW; or could result in less stringent requirements being imposed on the POTWs I Us
Figure 4-9. Substantial modifications of POTW pretreatment programs (40 CFR 403.18).
POTW REPORTING
In accordance with 40 CFR 403.12(i), POTWs are required to submit annual reports to the
Approval Authority documenting program status and activities performed during the previous year. At a
minimum, the reports must contain the following information:
A A list of all the POTW's Ills, including names, addresses, pretreatment standards
applicable to each user, a brief explanation of deletions, and a list of additions (with the
aforementioned information) keyed to a previously submitted list. The list must also
identify Ills that are designated as MTCIUs and must identify which Ills are NSCIUs
A A summary of the status of IU compliance during the reporting period
* A summary of compliance and enforcement activities (including inspections) conducted by
the POTW during the reporting period
A A summary of changes to the POTW's pretreatment program that have not been previously
reported to the Approval Authority
-^ Any other relevant information requested by the Approval Authority.
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Chapter 4. POTWPretreatment Program Responsibilities
The first annual report is due within one year after program approval; reports are due at least
annually thereafter. Approval Authorities may require additional information or require that the reports be
submitted in a specific format or at an increased frequency (e.g., semiannually).
The reports must be signed by a principal executive officer, ranking elected official, or other duly
authorized employee. The duly authorized employee must be an individual or position having
responsibility for the overall operation of the facility or the pretreatment program. This authorization must
be made in writing by the principal executive officer or ranking elected official and submitted to the
Approval Authority before or together with the report being submitted.
In addition, 40 CFR 122.42(b) requires POTWs to notify the director of new pollutants or
changes in discharge. All POTWs are required to provide adequate notice to the director of the following:
(1) any new introduction of pollutants into the POTW from an indirect discharger that would be subject to
section 301 or 306 of the CWA if it were directly discharging those pollutants and (2) any substantial
change in the volume or character of pollutants being introduced into the POTW by a source introducing
pollutants into the POTW at the time of issuance of the permit.
APPROVAL AUTHORITY ENFORCEMENT
POTW or IU noncompliance can result in the Approval Authority's enforcing directly against the
IU, the POTW, or both. An Approval Authority routinely reviews the overall performance of a POTW in
monitoring Ills, identifying violations, and enforcing regulations. Performance will be evaluated on the
basis of POTW self-monitoring data, written ERPs, audits, inspections, and pretreatment program reports
(including IU self-monitoring reports and other data). Therefore, it is essential for POTWs to effectively
manage program information to demonstrate proper implementation.
CWA section 505 allows citizens to file suit against a POTW that has failed to implement its
approved pretreatment program as required by its NPDES permit. The POTW may be fined, as well as
subject to injunctive relief. Citizens may also file suit against Ills that have failed to comply with
pretreatment standards and requirements.
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Chapter 5. Industrial 4/29/2011 User Pretreatment Program Responsibilities
CHAPTER 5.
INDUSTRIAL USER PRETREATMENT
PROGRAM RESPONSIBILITIES
Chapters. Applicable EPA Guidance
Guidance Manual for Implementing Total Toxic Organics (TTO) Pretreatment Standards (EPA September 1985)
Guidance Manual for the Identification of Hazardous Wastes Delivered to Publicly Owned Treatment Works by Truck,
Rail, or Dedicated Pipe (EPA July 1987)
Guidance Manual for the Use of Production-Based Pretreatment Standards and the Combined Wastestream Formula
(EPA September 1985)
Industrial User Inspection and Sampling Manual forPOTWs (EPA 831 -B-94-001)
RCRA Information on Hazardous Wastes for Publicly Owned Treatment Works (EPA September 1985)
Industry-Specific Guides
Aluminum, Copper, and Nonferrous Metals Forming and Metal Powders Pretreatment Standards: A Guidance
Manua/(EPA800B89001)
Guidance Manual for Battery Manufacturing Pretreatment Standards (EPA August 1987)
Guidance Manual for Electroplating and Metal Finishing Pretreatment Standard (EPA-440/1 -84/091 g)
Guidance Manual for Iron and Steel Manufacturing Pretreatment Standards (EPA September 1985)
Guidance Manual for Leather Tanning and Finishing Pretreatment Standards (EPA 833B86101)
Guidance Manual for Pulp, Paper, and Paperboard and Builders' Paper and Board Mills Pretreatment Standards
(EPA July 1984)
Ills are required to comply with all applicable federal, state, and local pretreatment standards and
requirements. Demonstration of compliance requires certain Ills to submit reports, self-monitor, and
maintain records. Summaries of the federal reporting and notification requirements are provided in
attachments 5-1 and 5-2; details of each of these requirements are discussed below. POTW personnel
must also be aware of, and comply with, all relevant state and local pretreatment requirements.
REPORTING REQUIREMENTS
National minimum pretreatment program reporting requirements for Ills are specified in 40 CFR
403.12. Because POTWs are responsible for communicating applicable standards and requirements to Ills
and for receiving and analyzing reports, it is essential for POTW personnel to understand the IU reporting
requirements in the General Pretreatment Regulations. Those requirements are summarized below. In
cases where the POTW itself collects all the information required for a specific report, including flow
data, the IU is not required to submit that report.
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Chapter 5: Industrial User Pretreatment Program Responsibilities
Categorical Industrial User Reporting Requirements
Baseline Monitoring Report [40 CFR 403.12(b)]
Each IU that is subject to a categorical pretreatment standard (identified as a CIU) is required to
self-monitor and submit a baseline monitoring report (BMR) within 180 days after the effective date of
the standard. If a category determination has been requested, the BMR is not due until 180 days after a
final administrative decision has been made concerning the industry's inclusion in the category. The BMR
must contain the following information:
* The name and address of the facility and name(s) of the operator and owners.
A A list of all environmental control permits held by or for the facility.
* A description of operations, including the average rate of production, applicable North
American Industry Classification System (NAICS) codes, schematic process diagrams, and
points of discharge to the POTW from regulated processes.
A Flow measurements (average daily and maximum daily) for regulated process
wastestreams and nonregulated wastestreams, where necessary.
-^ Categorical pretreatment standards applicable to each regulated process. In cases where the
standard requires compliance with a BMP or pollution-prevention alternative, the CIU
must submit documentation as required by the POTW or the applicable standards to
determine compliance with the standard.
-^ Sampling and analysis results (daily maximum, average concentration, and mass (where
applicable).
A Time, date, and place of sampling; methods of analysis; certification that sampling and
analysis are representative of normal work cycles and expected pollutant discharges to the
POTW.
* Certification by a qualified professional, reviewed by an authorized representative of the
CIU, of whether applicable pretreatment standards are being met on a consistent basis and,
if not, a description of the additional operation and maintenance or pretreatment facilities
that are needed to comply with the standards. In cases where the POTW performs the
required sampling and analysis in lieu of the IU, the IU will not be required to submit the
compliance certification.
* Schedule for providing the additional operation and maintenance or pretreatment needed
by the IU to comply with the applicable pretreatment standards.
In addition to the certification noted above, BMRs must be signed and certified by an authorized
representative of the CIU as detailed in 40 CFR 403.12(1) and as described later in this chapter. If a CIU
has already submitted the specific information required in a permit application or data disclosure form
and the information is still current, it need not be reproduced and resubmitted in the BMR. The BMR is a
one-time report, unless changes in the federal categorical standards require submission of a new or
updated BMR.
At least 90 days before beginning discharge, new sources are required to submit the above
information, excluding the certification from the qualified professional regarding consistent compliance
(because compliance from initial date of discharge is expected) and compliance schedule (although new
sources must provide information on the treatment method that the source intends to use to meet the
applicable pretreatment standards).
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Chapter 5. Industrial 4/29/2011 User Pretreatment Program Responsibilities
Compliance Schedule Progress Report [40 CFR 403.12(c)(3)]
A CIU that is not in compliance with applicable categorical standards by the time the standards
are effective might have to modify process operations or install treatment facilities to comply. Federal
regulations require that the POTW develop and impose a compliance schedule for the CIU to install
technology to meet applicable standards. As part of the BMR, a CIU that is unable to comply with the
categorical standards must include a schedule for attaining compliance with the discharge standards. The
final compliance or completion date in the schedule may not be later than the final compliance date
specified in the categorical standards. Where authorized to do so, the POTW may require compliance
earlier than the final compliance date specified in the federal regulations.
Compliance schedules must include increments of progress in the form of dates (not to exceed 9
months per event) for beginning and completing major actions leading to construction and operation of a
pretreatment system or in-plant process modifications. Major activities could include hiring an engineer,
completing preliminary analysis and evaluation, finalizing plans, executing a contract for major
components, beginning construction, completing construction, or testing operation.
In addition, the CIU must submit progress reports to the POTW no later than 14 days following
each date in the compliance schedule (and final date for compliance) that include the following:
* A statement of the CIU's status with respect to the compliance schedule
* A statement of when the CIU expects to be back on schedule if it is falling behind and the
reason for the delay and steps the CIU is taking to return to the established schedule.
The POTW should review the reports as quickly as possible. When a CIU is falling behind
schedule, the POTW should maintain close contact with the CIU. If the CIU fails to demonstrate good
faith in meeting the schedule, the POTW can consider initiating appropriate enforcement action to correct
the problem(s).
Although EPA regulations require the compliance schedule progress report only for schedules
submitted with a BMR, EPA recommends such incremental progress reporting for any compliance
schedule.
90-Day Compliance Report [40 CFR 403.12(d)]
Section 403.12(d) of the General Pretreatment Regulations requires a CIU to submit the results of
the self-monitoring of its wastewater discharge(s) to the POTW in a final compliance report. An existing
source must file a final compliance report within 90 days following the final compliance date specified in
a categorical regulation or within 90 days of the compliance date specified by the POTW, whichever is
earlier. A new source must file a compliance report within 90 days of beginning discharge to the POTW.
The report must contain the following:
* Flow measurements (average daily and maximum daily) for regulated process
wastestreams and nonregulated wastestreams, where necessary.
-^ Categorical pretreatment standards applicable to each regulated process. In cases where the
standard requires compliance with a BMP or pollution-prevention alternative, the CIU
must submit documentation as required by the POTW or the applicable standards to
determine compliance with the standard.
-^ Sampling and analysis results (daily maximum, average concentration, and mass [where
applicable]).
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Chapter 5: Industrial User Pretreatment Program Responsibilities
* Time, date, and place of sampling; methods of analysis; certification that sampling and
analysis is representative of normal work cycles and expected pollutant discharges to the
POTW.
-^ Certification, by a qualified professional, reviewed by a representative of the CIU, of
whether applicable pretreatment standards are being met and, if not, a description of the
additional operation and maintenance or pretreatment facilities that are needed to comply
with the standards. In cases where the POTW performs the required sampling and analysis
in lieu of the IU, the IU is not required to submit the compliance certification.
Again, in addition to the certification statement noted above, 90-day compliance reports must be
signed and certified by an authorized representative of the CIU as detailed in 40 CFR 403.12(1) and as
described later in this chapter.
For CIUs subject to equivalent mass or concentration limits established by the POTW [40 CFR
403.6(c)], the report must contain a reasonable measure of the Ill's long-term production rate. For CIU
subject to categorical pretreatment standards expressed in terms of allowable pollutant discharge per unit
of production (or another measure of operation), the report must include the lU's actual production during
the appropriate sampling period.
Periodic Compliance Report [40 CFR 403.12 (e)]
After the final compliance date or, in the case of a new source, after beginning the discharge into
the POTW, CIUs (except NSCIUs) are required to submit, in June and December, the self-monitoring
results of their wastewater discharge(s). The POTW may modify the months in which the reports are to be
submitted. In addition, CIUs might need to report more frequently as required in the pretreatment
standards, by the POTW, or by the Approval Authority. All results for self-monitoring performed must be
reported to the POTW, even if the CIU is monitoring more frequently than required. Periodic compliance
reports must include the following:
A The nature and concentration of pollutants limited by applicable categorical standards or
required by the POTW
* Flow data (average and maximum daily) as required by the POTW
A Mass of pollutants discharged (applicable to CIUs where mass limits have been imposed)
-^ Production rates (applicable to CIUs where equivalent limits have been imposed or where
limits imposed are expressed in allowable pollutant discharged per unit of production)
* Documentation required by the POTW or the pretreatment standard necessary to determine
the compliance status of the IU (applies to CIUs with pretreatment standards that require
compliance with a BMP).
For a CIU determined by the POTW to be an MTCIU [40 CFR 403.12(e)(3)], the POTW may
reduce the minimum requirement to report from twice a year to once a year, unless more frequent
reporting is required in the pretreatment standard or by the Approval Authority. A CIU must immediately
resume self-monitoring and reporting at least twice a year if it is determined that it is no longer an
MTCIU.
A CIU that the POTW has classified as an NSCIU is not required to submit the periodic
compliance report. Instead, the CIU must annually submit a certification statement with the alternative
report required by the POTW [40 CFR 403.12(q)].
As a result of the Streamlining Rule, POTWs may update their programs to include the authority
to allow an IU subject to a categorical pretreatment standard to forego sampling of a pollutant regulated
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Chapter 5. Industrial 4/29/2011 User Pretreatment Program Responsibilities
by that categorical pretreatment standard if the CIU 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 resulting
from activities of the CIU. The POTW must receive approval from the Approval Authority before
implementing the program update. To be authorized to forego this sampling, the IU must provide the
sampling data and meet the requirements in 40 CFR 403.12(e)(2). 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. This
monitoring waiver does not supersede certification processes and requirements established in categorical
pretreatment standards, except as otherwise specified in the categorical pretreatment standard.
For a CIU authorized by the POTW to forego sampling of a pollutant regulated by a categorical
pretreatment standard, the CIU must certify on each report, using the statement in 40 CFR
403.12(e)(2)(v), that there has been no increase in the pollutant in its wastestream from activities of the
IU. The monitoring waiver is valid only for the duration of the effective period of the lU's control
mechanism, but it may not be longer than 5 years. The CIU must submit a new request for the waiver
before the waiver can be granted for each subsequent control mechanism.
Upset Report [40 CFR 403.16]
An upset is defined as an exceptional incident in which there is unintentional and temporary
noncompliance with categorical standards due to factors beyond the reasonable control of the CIU. An
upset does not include noncompliance to the extent caused by operational error, improperly designed or
inadequate treatment facilities, lack of preventive maintenance, or careless or improper operation. CIUs
are allowed an affirmative defense for noncompliance with categorical standards if they can demonstrate
that the noncompliance was the result of an upset. The regulations in 40 CFR 403.16 detail the conditions
necessary to demonstrate that an upset has occurred, and they require the CIU to submit at least an oral
report to the POTW within 24 hours of becoming aware of the upset. The report must contain the
following information:
* A description of the indirect discharge and the cause of the noncompliance
* The date(s) and times of the noncompliance
-^ Steps being taken or planned to reduce, eliminate, and prevent reoccurrence of the
noncompliance.
If the CIU provides the notification orally, it must also submit a written report within 5 days. In
any enforcement action, the CIU has the burden of proof in establishing that an upset has occurred. EPA
is responsible for determining the technical validity of the claim.
Significant Industrial User Reporting Requirements
Periodic Compliance Report [40 CFR 403.12 (h)]
After the final compliance date, SIUs not subject to categorical pretreatment standards must
submit to the POTW at least once every 6 months (on dates specified by the POTW) a description of the
nature, concentration, and flow of the pollutants required to be reported by the POTW. EPA established a
minimum frequency of once every 6 months, determining that to be adequate for lUs that have little
potential to cause pass through or interference, to contaminate the sewage sludge, or to otherwise violate
pretreatment standards or requirements. EPA assumes that larger lUs and those that have more potential
to cause problems or violate standards would be required by the POTW to sample and report more often.
All results for self-monitoring performed must be reported to the POTW, even if the IU is monitoring
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Chapter 5: Industrial User Pretreatment Program Responsibilities
more frequently than required (40 CFR 403.12(g)(6)). Periodic compliance reports must include the
following:
* The nature and concentration of pollutants as required by the POTW
* Flow data (average and maximum daily) as required by the POTW
* Documentation required by the POTW necessary to determine the compliance status of the
IU (applies to SIUs with local limits or other requirements that require compliance with a
BMP).
Slug Control Plan [40 CFR 403.8(f)(2)(vi)]
POTWs must evaluate whether each SIU needs a plan or other action to control slug discharges.
A slug discharge is any discharge of a nonroutine, episodic nature, including an accidental spill or
noncustomary batch discharge that 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. For Ills identified as
SIUs before November 14, 2005, this evaluation must have been conducted at least once by October 14,
2006; additional SIUs must be evaluated within one year of being so designated. To accurately evaluate
the slug potential, POTWs likely will have to examine the SIU during its normal operating conditions. If
undetected, slug discharges can have serious effects on the POTW. EPA's 1991 Control of Slug Loadings
to POTWs Guidance Manual provides procedures for developing, implementing, and reviewing slug
control plans. If the POTW determines that a slug control plan is needed, the SIU must submit a plan that
contains at least the following elements [40 CFR403.8(f)(2)(vi)]:
* Description of discharge practices, including nonroutine batch discharges
* Description of stored chemicals
* Procedures for immediately notifying the POTW of slug discharges with procedures for
follow-up, written notification within 5 days
* If necessary, procedures to prevent adverse effects from accidental spills, including
inspecting and maintaining storage areas, handling and transferring materials, loading and
unloading operations, controlling plant site runoff, worker training, building containment
structures or equipment, measures for containing toxic organic pollutants (including
solvents), or measures and equipment for emergency response.
Bypass Report [40 CFR 403.17]
The General Pretreatment Regulations define bypass as the intentional diversion of wastestreams
from any portion of an lU's treatment facility. If a bypass results in noncompliance, even if it resulted
from performing essential maintenance, the IU must provide a report to the POTW detailing a description
of the bypass and the cause, the duration of the bypass, and the steps being taken or planned to reduce,
eliminate, and prevent reoccurrence of the bypass.
The IU must provide oral notice to the POTW within 24 hours of detecting an unanticipated
bypass; a written follow-up is due within 5 days. For an anticipated bypass, the IU must submit notice to
the POTW, if possible at least 10 days before the intent to bypass.
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Chapter 5. Industrial 4/29/2011 User Pretreatment Program Responsibilities
Signatory and Certification Requirements [40 CFR 403.12(1)]
Pursuant to 40 CFR 403.12(1), BMRs, 90-day compliance reports and periodic compliance reports
from CIUs must be signed by an authorized representative of the facility and must contain a certification
statement attesting to the integrity of the information reported. The reports must be signed by one of the
following:
-^ A responsible corporate officer if the IU is a corporation; a responsible corporate officer is
defined as either of the following:
A president, secretary, treasurer, or vice-president of the corporation in charge of a
principal business function
- 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 control mechanism requirements; and where authority to
sign documents has been assigned or delegated to the manager in accordance with
corporate procedures
* A general partner or proprietor if the IU is a partnership or sole proprietorship
-^ A duly authorized representative of the above-specified persons if such authorization is in
writing, is submitted to the POTW, and specifies a person or position having overall
responsibility for the facility where the discharge originates or having overall
responsibility for environmental matters for the facility.
As required in 40 CFR 403.6(a)(2)(ii), the certification statement must read as follows:
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.
Although federal regulations require POTWs to require these signatures and certifications from
CIUs only, many POTWs have found it important to impose the requirements for all IU reports. To
facilitate compliance, many POTWs have developed forms that include the certification statement and
signatory requirements for use by all lUs.
Cross-Media Electronic Reporting [40 CFR Part 3]
The Cross-Media Electronic Reporting Rule (CROMERR) promulgated in October 2005 provides
the legal framework for electronic reporting under all of EPA's environmental regulations. The POTW
that chooses to receive electronic documents must satisfy the requirements of 40 CFR Part 3, specifically,
the following electronic reporting provisions:
* Modify current requirements in the CFR to remove any obstacles to electronic reporting
Introduction to the National Pretreatment Program 5-7
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Chapter 5: Industrial User Pretreatment Program Responsibilities
* Allow regulated entities to submit any report electronically, but only after EPA announces
that electronic reporting is available for the specific report
-^ Require submission of electronic reports to EPA's Central Data Exchange (CDX) or to
another designated EPA system
A Require validation of electronic signatures on reports submitted to EPA through CDX (or
another designated EPA system) and ensure that valid electronic signatures have the same
legal force as their wet-ink counterparts
* Set forth requirements that EPA-authorized programs must satisfy when implementing
electronic reporting, and provide a streamlined process for these programs to obtain EPA
approval of their electronic reporting implementation.
SELF-MONITORING REQUIREMENTS
All SIUs, including CIUs, must conduct self-monitoring as part of several different reporting
requirements as noted earlier. For CIUs, that includes the BMR, 90-day compliance report, and periodic
compliance reports [40 CFR403.12(b), (d), and (e), respectively]. Noncategorical SIUs are required to
self-monitor as part of the periodic reporting requirements [40 CFR 403.12(h)]. Those reports must be
based on data that were obtained through appropriate sampling and analysis performed during the period
covered by the report and are representative of conditions occurring during the reporting period. The
monitoring must occur at a frequency necessary to assess and assure compliance by lUs with applicable
pretreatment standards and requirements. In cases where a violation is identified, the IU must repeat the
sampling and analysis for the pollutant in violation and submit the results within 30 days after becoming
aware of the violation. Resampling is not required if the conditions in 40 CFR 403.12(g)(2)(i) and (ii) are
met.
The POTW may choose to monitor in lieu of the lU's performing the self-monitoring. In cases
where a violation is identified and the POTW has assumed responsibility for sampling in lieu of the SIU,
the POTW must repeat sampling and analysis within 30 days of becoming aware of an exceedance. The
only exception to that requirement is if the POTW specifically requires the IU to perform the repeat
analysis.
As noted in 40 CFR 403.12(g)(5), sample collection and analysis for all required pretreatment
program reports must be conducted using 40 CFR Part 136 procedures (as amended) or with any other
test procedures approved by the EPA Administrator. To demonstrate compliance with those requirements,
lUs may have to submit information regarding sample handling and analytical procedures to the POTW.
Developing standardized forms for use by lUs and their testing labs can facilitate documentation and
submission of all required information and can streamline the IU and POTW review process. For
additional information on sample collection and analysis procedures, refer to chapter 4 of this manual and
EPA's Industrial User Inspection and Sampling Manual for POTWs.
On the basis of the specific pollutants regulated by categorical pretreatment standards, different
types of samples might have to be collected. Grab samples must be used for pH, cyanide, total phenols,
oil and grease, sulfide, and volatile organic compounds. For all other pollutants, 24-hour, flow-
proportional composite samples must be collected. The POTW may waive flow-proportional composite
sampling if an IU demonstrates that a different type of sampling will provide a representative sample. In
such cases, time-proportional composite or grab samples, if representative, may be collected. Multiple
grab samples collected during 24-hour period may be composited before 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
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Chapter 5. Industrial 4/29/2011 User Pretreatment Program Responsibilities
methodologies may be authorized by the POTW, as appropriate. The decision to allow time-proportional
composite or grab sampling must be documented in the IU file for the facility.
For BMR and 90-day compliance reports, a minimum of four grab samples must be collected for
pH, cyanide, total phenols, oil and grease, sulfide, and volatile organics. If those pollutants are not
regulated by the specific categorical standard, monitoring is not required. The POTW may authorize a
lower number of samples to be collected for facilities with historical sampling data. Samples should be
taken immediately downstream from pretreatment facilities if they exist or immediately downstream from
the regulated process if no pretreatment exists. If other wastewaters are mixed with the regulated
wastewater before pretreatment, the IU should measure the flows and concentrations necessary to allow
use of the CWF to evaluate compliance with the pretreatment standards. Where an alternate concentration
or mass limit has been calculated by the IU using the CWF, the adjusted limit along with supporting data
must be submitted to the POTW.
For periodic compliance reports [40 CFR 403.12(e) and (h)], the POTW must require the number
of grab samples necessary to assess and assure compliance by lUs with applicable pretreatment standards
and requirements. The POTW must ensure that each lU's control mechanism specifies sampling
location(s), required sampling frequencies, sample types to be collected, sampling and analytical
procedures (40 CFR Part 136), and associated reporting requirements.
In certain instances, CIUs subject to TTO (total toxic organics) standards may implement
alternatives in lieu of monitoring all regulated toxic organic compounds. A list of categories that contain
TTO standards is provided in chapter 3. For example, the electroplating and metal finishing standards
allow lUs to monitor for only those toxic organic compounds that are reasonably expected to be present.
Additional TTO guidance related to the electroplating and metal finishing categories is provided in EPA's
1984 Guidance Manual for Electroplating and Metal Finishing Pretreatment Standards.
For certain industries (e.g., electroplating, metal finishing, and electrical and electronic
components), POTWs have the option of allowing the CIU to prepare and implement a toxic organic
management program (TOMP) in lieu of periodic monitoring. In those instances, the TOMP should
identify all potential sources from which toxic organic materials could enter the wastestream and propose
control measures to eliminate the possibility. Where a TOMP is allowed, an IU can demonstrate
compliance by adhering to the TOMP and submitting periodic certification statements attesting to the
facts that no dumping of concentrated toxic organic pollutants has occurred and that the facility's TOMP
is being implemented.
TOMPs cannot be used in lieu of monitoring for BMRs and 90-day compliance reporting
requirements. In addition, the POTW may not waive the semiannual certification requirement or TTO
monitoring requirement through a mechanism such as a pollutants not present waiver.
The categorical standards for some industries (i.e., aluminum forming, copper forming, coil
coating, and metal molding and casting) allow lUs to monitor oil and grease as an alternative to TTO
monitoring. This option may be used to fulfill the TTO monitoring requirements of the BMR, 90-day
compliance report, and periodic compliance reports, and it allows the IU to determine whether it wants to
demonstrate compliance with the TTO or the oil and grease standards. A detailed description of TTO
monitoring requirements is provided in EPA's 1985 Guidance Manual for Implementing Total Toxic
Organics (TTO) Pretreatment Standards.
Introduction to the National Pretreatment Program 5-9
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Chapter 5: Industrial User Pretreatment Program Responsibilities
Categorical standards for certain industrial categories allow Ills to submit a certification to
exempt them from monitoring for one or more pollutants. For example,
* Ills from two categories (aluminum forming and coil coating) may choose to submit an
annual certification requesting exemption for cyanide from the second semiannual self-
monitoring event.
* Ills belonging to the pharmaceutical manufacturing category may choose to submit a
certification requesting exemption from monitoring for cyanide and other regulated
pollutants that are neither used nor generated at the facility..
A Ills belonging to the category of porcelain enameling may choose to submit an annual
certification requesting exemption from the second semiannual self-monitoring event for
chromium.
* Certain facilities in the pulp and paper categories may choose an alternative monitoring
program by certification once every 5 years if they use a totally chlorine free process.
Certain facilities in this category can also submit certifications in lieu of monitoring for
pentachlorophenol and trichlorophenol if they do not use those compounds in their
biocides.
* Ills belonging to the steam electric category may choose to provide a demonstration and
certification that regulated parameters are not detectable in the final discharge (except
chromium and zinc).
-^ Certain facilities in the electroplating, metal finishing, and electrical and electronic
components categories may choose to submit a TTO certification semiannually in lieu of
TTO monitoring, but such facilities must also develop and submit a TOMP.
-^ Centralized waste treatment facilities that opt for regulation under Subpart D must certify
annually that they are operating their treatment systems to provide equivalent treatment as
set forth in their initial certification.
Although the Streamlining Rule allows for reduced monitoring under the pollutants not present
provision [40 CFR 403.12(e)(2)], the Streamlining Rule does not supersede the applicable certification
processes and requirements established in the categorical pretreatment standards.
NOTIFICATION REQUIREMENTS
Notification of Production Level Change in the Equivalent Limit Calculation [40
CFR 403.6(0)(9)]
Any IU operating under a control mechanism that incorporates equivalent mass or equivalent
concentration limits calculated from a production-based standard must notify the POTW within 2
business days after the IU has a reasonable basis to know that the production level will significantly
change within the next calendar month.
Notification of Material/Significant Change in the Alternative Limit Calculation [40
CFR403.6(e)]
Where process effluent is mixed before treatment with wastewaters other than those generated by
the regulated process, fixed alternative discharge limits may be derived by the POTW or by the IU with
the written concurrence of the POTW. An IU must immediately report to the POTW any material or
significant change in the values used in the calculation.
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Chapter 5. Industrial 4/29/2011 User Pretreatment Program Responsibilities
Notification of Waived Pollutant Present [40 CFR 403.12(e)(2)(vi)]
The POTW may authorize the IU subject to a categorical pretreatment standard to forego
sampling of a pollutant regulated by the categorical pretreatment standard if the IU 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 increase in
the pollutant because of activities of the IU. This authorization is subject to the conditions listed in 40
CFR403.12(e)(2). If a waived pollutant is found to be present or is expected to be present because of
changes that occur in the lU's operation, the IU must immediately do the following:
A Begin self-monitoring twice per year or more frequently if required by the POTW.
^ Notify the POTW.
Notification of Middle-Tier Categorical Industrial User 40 CFR 403.12(e)(3)(iv)]
A CIU that the POTW has determined to be an MTCIU must notify the POTW if the CIU no
longer meets the conditions that qualify it as a middle-tier user. The CIU must also immediately begin
complying with the semiannual self-monitoring and reporting requirements.
Notification of Potential Problems Including Slug Loading [40 CFR 403.12(f)]
All lUs are required to notify the POTW immediately of any discharges that could cause
problems. The discharges include spills, slug loads, or any other discharge that could cause a problem at
the POTW.
Noncompliance Notification and Repeat Sampling Report [40 CFR 403.12(g)(2)]
If monitoring performed by an IU indicates noncompliance, the IU is required to notify the
POTW within 24 hours of becoming aware of the violation. In addition, the IU must repeat the sampling
and analysis for the pollutant in violation and report the results of the resampling within 30 days of
becoming aware of the original violation. The repeat sampling is not required if the POTW samples the
IU at least once per month or if the POTW samples the IU between the time of the original sample and
the time the results of the sampling were received.
Notification of Changed Discharge [40 CFR 403.120) and 40 CFR 122.42(b)]
All lUs are required to promptly notify the Control Authority (and the POTW if the POTW is not
the Control Authority) in advance of any substantial changes in the volume or character of pollutants in
their discharge. As a general rule, changes greater than 20 percent are considered substantial. An IU is
also required to notify the POTW immediately of any changes at its facility that affect the potential for a
slug discharge [40 CFR 403.8(f)(2)(vi)]. An IU must also provide notification if it expects to discharge a
pollutant for which it has been granted a waiver under the pollutants not present provision [40 CFR
403.12(e)].
Notification of Discharge of Hazardous Wastes [40 CFR 403.12(p)]
IUs discharging more than 15 kilograms per month of a waste that, if otherwise disposed of,
would be a hazardous waste pursuant to the Resource Conservation and Recovery Act (RCRA)
requirements under 40 CFR Part 261 are required to provide a one-time written notification of such
discharge to the POTW, state, and EPA. IUs discharging any amount of waste that, if disposed of
otherwise, would be an acutely hazardous waste pursuant to RCRA must also provide the notification.
The written notification must contain the EPA hazardous waste number and the type of discharge (i.e.,
Introduction to the National Pretreatment Program 5-11
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Chapter 5: Industrial User Pretreatment Program Responsibilities
batch, continuous). If the IU discharges more than 100 kilograms per month of the hazardous waste, the
written notification must also include, at a minimum the following:
* An identification of the hazardous constituent in the Ill's discharge
-^ An estimate of the mass and concentration of the constituents in the Ill's discharge
* An estimate of the mass and concentration of constituents in the Ill's discharge in a year.
Ills must also provide a certification accompanying this notification that a waste-reduction
program is in place to reduce the volume and toxicity of hazardous wastes to the greatest degree
economically practical. Within 90 days of the effective date of the listing of any additional hazardous
wastes pursuant to RCRA, Ills must provide a notification of the discharge of such wastes.
Notification of Upset [40 CFR 403.16]
A CIU must notify the POTW with the information required in 40 CFR 403.16(c)(3) within 24
hours of becoming aware of the upset. If CIU provides the information orally, it must also provide a
written submission within 5 days.
Notification of Bypass [40 CFR 403.17]
If an IU knows in advance of the need for a bypass, it must submit prior notice to the POTW, if
possible at least 10 days before the date of the bypass. An IU must submit oral notice of an unanticipated
bypass that exceeds applicable pretreatment standards to the POTW within 24 hours from the time the IU
becomes aware of the bypass.
RECORD-KEEPING REQUIREMENTS
IUs are required to maintain records of their monitoring activities (including documentation
associated with BMPs) [40 CFR403.12(O)]. At a minimum, information documented must include the
following:
A Sampling methods, dates and times
* Identity of the person(s) collecting the samples and of the sampling location(s)
* The dates the analyses were performed and the methods used
-^ The identity of the person(s) performing the analyses and the results of the analyses
* Other information necessary to document compliance with applicable BMPs
The IU must retain those records for at least 3 years, or longer in cases where there is pending
litigation involving the POTW or IU, or when requested by the Approval Authority. These records must
be available to the POTW and Approval Authority for review and copying. Historically, most POTWs do
not dispose of any records; rather, they archive older records at an off-site location.
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Chapter 5. Industrial 4/29/2011 User Pretreatment Program Responsibilities
ATTACHMENT 5-1: SUMMARY OF REPORTING AND NOTIFICATION
REQUIREMENTS FOR ALL IDs
Required
report/notification and
citation
Baseline Monitoring
Report (BMR)
40CFR403.12(b)(1-7)
Compliance Schedule
Progress Reports
40CFR403.12(c)(1-3)
90-Day Compliance
Report
40 CFR 403.1 2(d)
Periodic Compliance
Report
40 CFR 403.12(e)
Notification of
Potential Problems
including Slug
Loadings
40 CFR 403. 12(1)
Apply
to
ClUs
ClUs
ClUs
ClUs
All lUs
Report due date or notification
requirement
Existing source Within 180 days
of effective date of the regulation
or an administrative decision on
category determination.
New source At least 90 days
before beginning discharge.
Within 14 days of each milestone
date on the compliance schedule;
at least every 9 months.
Existing source Within 90 days
of the date for final compliance
with applicable categorical
pretreatment standard.
New source Within 90 days
after beginning wastewater
discharge to the POTW.
Existing source Every June and
December after the final
compliance date, unless
frequency is increased by the
POTW.
New source Every June and
December after beginning a
discharge, unless frequency is
increased by the POTW.
Facilities designated as MTCIUs
by the POTW may be authorized
to report annually. Facilities
designated as NSCIUs by the
POTW do not need to submit
periodic compliance reports.
NSCIUs must submit a
certification statement with the
alternative report required by the
POTW [40 CFR403.12(q)].
Notification to POTW
immediately after occurrence of
slug load, or any other discharge
that could cause problems at the
POTW.
Purpose of report or
notification
- To provide basic information
on the industrial facility to
the POTW
- To determine wastewater
discharge sampling points
- To determine compliance
status with categorical
pretreatment standards
- To track progress of the
industrial facility through the
duration of a compliance
schedule submitted with a
BMR
- To notify the POTW as to
whether compliance with the
applicable categorical
pretreatment standards has
been achieved
- If facility is noncompliant, to
specify how compliance will
be achieved
- To provide the POTW with
current information on the
discharge of pollutants to the
POTW from categorical
industries and the
compliance status of the
user
-To alert the POTW to the
potential hazards of the
discharge
Introduction to the National Pretreatment Program
5-13
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Chapter 5: Industrial User Pretreatment Program Responsibilities
Required
report/notification and
citation
Noncompliance
Notification and
Repeat Sampling
Report
40CFR403.12(g)(2)
Periodic Compliance
Reports for
Noncategorical Users
40 CFR 403.1 2(h)
Notification of
Changed Discharge
40 CFR 403.1 20)
Notification of
Hazardous Wastes
Discharge
40CFR403.12(p)
Notification of Upset
40 CFR 403. 16
Notification of Bypass
40 CFR 403. 17
Apply
to
All lUs
Non-
Cat.
SlUs
All lUs
All lUs
ClUs
All lUs
Report due date or notification
requirement
Notification to POTW within 24
hours of becoming aware of
violation. Repeat sampling and
analysis and submit the results to
the POTW 30 days after
becoming aware of the violation.
Every 6 months on dates
specified by the POTW unless
the frequency is increased by the
POTW.
Before any substantial changes
in the volume or character of
pollutants in the discharge. In
addition, 40 CFR 403.8(f)(2)(vi)
requires IDs to notify POTWs of
any changes at its facility
affecting potential for a slug
discharge.
Existing source Within 180 days
of effective date of rule.
New source Within 180 days
after commencement of
discharge.
Within 24 hours of becoming
aware of the upset.
(Five days where 24-hour
notification was provided orally,)
Ten days before the date of the
bypass or oral notice within 24
hours of the ILJ's becoming aware
of the bypass, with written
notification within 5 days.
Purpose of report or
notification
- To alert the POTW of a
known violation and
problems that could occur
- To provide the POTW with
current information on the
discharge of pollutants to the
POTW from lUs not
regulated by categorical
standards
- To notify the Control
Authority (and the POTW if
the POTW is not the Control
Authority) of anticipated
changes in wastewater
characteristics and flow that
could affect the POTW
- To notify the POTW, EPA,
and state of discharges of
hazardous wastes under 40
CFR Part 261
- To notify the POTW of
unintentional and temporary
noncompliance with
categorical standards
- To notify the POTW of
noncompliance and
problems that could occur
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Chapter 5. Industrial 4/29/2011 User Pretreatment Program Responsibilities
ATTACHMENT 5-2: SUMMARY OF NOTIFICATION AND CITATION
REQUIREMENTS THAT MIGHT NOT APPLY TO ALL IDs
Required
report/notification and
citation
Apply
to
Report due date or
notification requirement
Purpose of report or
notification
Notification of
Production Level
Change in the
Equivalent Limit
Calculation
40 CFR 403.6(c)(9)
ClUs
Within 2 business days after
the ID has a reasonable basis
to know that the production
level will significantly change
within the next calendar
month.
To notify the POTW of change
in the production level used to
calculate the equivalent mass
or equivalent concentration
limits in its control mechanism
Notification of
Material/Significant
Change in the
Alternative Limit
Calculation
40 CFR 403.6(e)
ClUs
Immediately report any
material or significant change
in the values used in the
calculation.
To notify the POTW of change
in the values used in
calculating alternative limit for
process effluent mixed before
treatment with wastewaters
other than those generated by
the regulated process
Notification of Waived
Pollutant Present
40 CFR 403.12(e)(2)(vi)
ClUs
Notify POTW of expected
discharge of a pollutant for
which it has been granted a
waiver under the pollutant not
present provision [40 CFR
403.12(e)] and immediately
comply with the monitoring
requirements in 40 CFR
403.12(e)(1) or more frequent
monitoring requirements
imposed by the POTW.
To alert the POTW that a
waived pollutant is found to be
present or is expected to be
present because of changes
that occur in the ILJ's
operations
Notification of Middle-
Tiered Categorical
Industrial User
40 CFR 403.12(e)(3)(iv)
ClUs
Immediately notify the POTW
of changes causing the IU to
no longer meet the conditions
for reduced reporting
requirements that it has been
granted. Upon notification,
comply with the minimum
reporting requirements in 40
CFR403.12(e)(1).
To alert the POTW that the IU
no longer meets the conditions
in 40 CFR 403.12(e)(3)(i) or (ii)
Introduction to the National Pretreatment Program
5-15
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Chapter 6. Hauled Wastes
CHAPTER 6.
HAULED WASTES
Chapter 6. Applicable EPA Guidance
CERCLA Site Discharges to POTWs Guidance Manual (EPA 540G90005)
Guidance Manual for the Identification of Hazardous Wastes Delivered to Publicly Owned Treatment Works by Truck,
Rail, or Dedicated Pipe (EPA July 1987)
Industrial User Inspection and Sampling Manual for POTWs (EPA 831 -B-94-001)
Industrial User Permitting Guidance Manual (EPA September 1989)
RCRA Information on Hazardous Wastes to Publicly Owned Treatment Works (EPA September 1985)
Guidance Manual for the Control of Waste Hauled to Publicly Owned Treatment Works
(EPA-833B-98-003)
In addition to receiving wastes through the collection system, many POTWs accept trucked
wastes and, in a few instances, wastes received by train. As stipulated in 40 CFR 403.1(b)(l), pollutants
from nondomestic sources that are transported to the POTW by truck or rail are also subject to the
General Pretreatment Regulations. They may also be subject to categorical pretreatment standards.
Therefore, hauled wastes from CIUs or hauled waste that otherwise qualifies the discharger as an IU must
be regulated in accordance with the requirements of the General Pretreatment Regulations, including any
applicable requirements for permitting and inspecting the generating facility. Hauled wastes, like wastes
received through the collection system, have the potential to negatively affect the POTW, making
regulatory control of the wastes necessary.
POTWs have seen an increase in the frequency of uncontrolled discharges to POTWs from waste
haulers. Because of their unique nature, waste haulers are not regulated in the same way as other types of
Ills. Because only minimal federal regulatory controls exist, some POTWs have developed hauled waste
control programs. In addition, hauled waste could be subject to RCRA requirements at 40 CFR 270.60(c).
For more information on hauled waste, refer to EPA's 1999 Guidance Manual for the Control of Waste
Hauled to Publicly Owned Treatment Works.
NATURE OF HAULED WASTES
Wastes are hauled to POTWs for several
reasons. By far, most hauled waste is domestic
septage (figure 6-1), typically from homes outside
the POTW's service area but compatible in nature.
Because such discharges are predominantly
compatible wastes, treatment at a POTW is the
Domestic septage is defined as the liquid or solid material
removed from a septic tank, cesspool, portable toilet, Type III
marine sanitation device, or similar system that holds only
domestic sewage. Domestic septage does not include liquid
or solid material removed from any system that receives
either commercial wastewater or industrial wastewater, and it
does not include grease removed from a restaurant grease
trap [40 CFR part 503.9(f)].
most appropriate disposal method. Wastes are
regularly hauled to POTWs for a variety of p w Defjnjtjon of domestic septage_
reasons, including the following:
A The facility is outside the POTW's service area (e.g., is in a rural area) and is not
connected to the collection system.
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Chapter 6. Hauled Wastes
* The wastes might be known to cause collection system problems but can be treated at the
wastewater treatment plant (e.g., grease trap cleanout wastes). Some wastes might even be
beneficial to the POTW (fats, oil, and grease, for example) for energy generation.
-^ The facility is connected to the sewer but does not have the capacity to discharge the
volume of waste generated (e.g., groundwater remediation activities at an IU).
* A POTW rejects acceptance of a waste from an IU, forcing the IU to haul the waste to a
different POTW that agrees to accept the waste.
Common to all of these wastes is the fact that the POTW cannot know for certain the nature and
concentration of the wastes as hauled without implementing some type of control or surveillance
program.
CONTROL PROGRAMS
Section 403.5(b)(8) of the General Pretreatment Regulations specifically prohibits the
introduction of any trucked or hauled pollutants to the POTW, except at discharge points designated by
the POTW. That is the only pretreatment requirement specifically addressing hauled wastes, although if
the type of hauled waste qualifies the discharger as a CIU or IU, program requirements for those types of
users would apply. However, even where only minimal regulatory requirements exist for the hauled
waste, many POTWs have determined that additional controls are necessary to further regulate such
discharges and to prevent adverse effects from them. These control programs include practices such as
permitting, sampling, manifesting, surveillance, and other forms of hauler documentation. In many
instances, these control programs have unintentionally shifted the hauling of waste from one POTW to
other POTWs that are not implementing such a program. Most often, it is the smaller POTWs that do not
have hauler control programs, including many POTWs that are not even required to implement a
pretreatment program. The effect of this change from larger to smaller POTWs and from more to less
control is that there has been an increase in negative effects on POTWs and receiving streams. Two
options for addressing that concern are (1) for the smaller and non-pretreatment POTWs to initiate waste
hauler control programs or (2) for the larger POTWs to institute sound control programs that adequately
regulate these wastes without driving haulers to search for other, less-restrictive disposal alternatives. Any
POTW waste hauler control program should address the following six elements:
* Effect on POTW. Before accepting new waste from a hauler, the POTW should evaluate
the potential effects on the treatment works from the waste. POTWs may require haulers or
generators of hauled waste to perform a treatability study to demonstrate the effectiveness
of treatment on the waste. POTWs must evaluate the potential effects of the waste when
developing local limits and when considering the adequacy of existing local limits or the
need to revise them. The POTW must include the hauled waste loadings as part of the
loading allowances in its local limits development process, even if the POTW decides that
the waste can be safely accepted for treatment purposes and separate permitting is not
applied.
-^ Permitting. A permit is the most direct and efficient method of regulating waste haulers.
Permits provide the opportunity to monitor and regulate haulers because of the nature of
the hauled waste and the potential effects of that waste on the POTW. Unique permit
conditions include right of refusal, daily flow limitations, discharge time limits, and
reporting and certification requirements.
* Discharge point. As specified in the General Pretreatment Regulations, hauled waste can
be discharged only at points designated by the POTW. This requirement provides the
POTW with the ability to control and observe these discharges at specified locations,
thereby minimizing the potential for adverse effects.
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Chapter 6. Hauled Wastes
^ Monitoring. The POTW should institute a monitoring program to evaluate the nature and
concentration of discharges. Both POTW monitoring and hauler self-monitoring may be
appropriate. Many POTWs require sampling of all loads of hauled waste (pH, temperature,
conductivity); however, they perform analyses on only a predetermined percentage of the
wastes or when problems occur as a result of the hauled waste discharge. Unanalyzed
samples are refrigerated and kept for several weeks or months until the POTW is certain
that the waste has not affected the POTW. The frequency of sampling may also depend on
the variability of the waste. Each load from a hauler that delivers highly variable loads
might have to be sampled and analyzed, whereas a much smaller percentage might be
appropriate for more consistent waste types. As noted earlier, all federal, state, and local
discharge limitations apply to such wastes. Even where the discharger is not a CIU or SIU,
the POTW could also consider inspecting the waste generators to confirm the source of the
wastes.
^ Hauler documentation. The POTW should require waste haulers to document the source
of wastes being discharged, potentially requiring manifests. Manifests should include
general hauler information, information on the waste generator (e.g., name, address, and
phone number), the type of wastes collected, volumes, known or suspected pollutants, and
certification that the load is not a hazardous waste. A useful technique is to contact the
waste generators to verify the information on the manifest.
-^ Legal authority. If not already in place, the POTW's local ordinance (and approved
pretreatment program) should be modified to add language specifying all the controls that
are applicable to waste haulers. Doing so ensures that waste haulers and POTW personnel
know the procedures, expectations, liabilities, and such, associated with the control
program.
In addition to the specific controls described above, POTWs should implement procedures to
identify and eliminate illegal discharges. Procedures can include periodic sewer line sampling,
surveillance of suspected unpermitted discharge points, education of industries regarding hauled waste,
increased enforcement, and public awareness of illegal dumping.
CONCERNS
Every discharge has the potential to affect the POTW. Unlike discharges from Ills directly
connected to the POTW, the makeup of a load of hauled waste is virtually unknown without some type of
monitoring, be it visual or analytical. Most waste haulers are reputable business people who provide a
valuable service to the public and industry; however, the unique attributes of hauled waste can be
devastating when unethical haulers dump incompatible wastes at POTWs. Even loads of domestic septage
can cause problems for a POTW due to high strength or discharge rate. Domestic septage can be partially
digested, can be higher in metals concentrations than normal domestic wastes, or can contain small
amounts of household contaminants (e.g., cleaners). Similarly, disinfectants used in portable toilets have
the potential to affect POTW operations.
Receipt of hauled hazardous waste (as defined in RCRA) not only might affect POTW operations
but also could subject the POTW to additional reporting requirements. The Domestic Sewage Exclusion,
specified in 40 CFR 261.4(a)(l)(ii), provides that hazardous wastes mixed with domestic sewage are
exempt from the RCRA waste regulations. However, hazardous wastes received by truck or rail (or
dedicated pipe) at the treatment plant are not exempt from the regulations. POTWs that accept hazardous
wastes from those sources are subject to permit by rule status under RCRA [40 CFR 270.60(c)] provided
that certain requirements are met. The two most significant conditions are that the POTW must be in
compliance with all its NPDES permit requirements and that the waste must comply with all federal,
Introduction to the National Pretreatment Program 6-3
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Chapter 6. Hauled Wastes
state, and local pretreatment requirements. Under 40 CFR 403.12(p), Ills are required to notify the POTW
and other waste management authorities of hazardous waste discharges into the POTW. Nationwide, very
few POTWs are knowingly accepting hauled hazardous waste.
POTWs should be aware that hauled process wastes from facilities subject to federal categorical
pretreatment standards are still subject to those standards. That condition highlights the need for POTWs
to have a clear understanding of the source of the waste because applicable standards can be based on the
origin of that waste.
Another potential problematic waste is that from remedial site cleanup operations. Groundwater
contaminated with gasoline or diesel fuel is by far the most common type of waste from those operations.
While the wastes can contain flammable and toxic compounds (e.g., benzene and toluene), another
concern is that large volumes of the waste at a small POTW can actually flush the treatment plant, thereby
interfering with treatment operations. Similar concerns also exist for landfill leachate, another commonly
hauled wastestream. Remedial wastes can also come from Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA) sites, also known as Superfund sites. For CERCLA
guidance, refer to EPA's 1990 CERCLA Site Discharges to POTWs Guidance Manual.
Other concerns for POTWs that accept hauled wastes include the following:
A Illegal dischargers could be discharging toxic pollutants that can pass through or interfere
with the POTW operations.
-^ Grease trap wastes can coat and inhibit POTW treatment equipment.
A Local limits might not have accounted for pollutant loading or the variability of certain
pollutants in hauled wastes.
* Hauled wastes could contain pollutants for which local limits do not exist, and thus the
effects of the waste are not readily identifiable.
* Hauled wastes could be unmixed or highly concentrated.
For more information on the acceptance of hazardous waste at POTWs, refer to EPA's June 1987
Guidance Manual for the Identification of Hazardous Wastes Delivered to Publicly Owned Treatment
Works by Truck, Rail, or Dedicated Pipe.
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Chapter 7. Pollution Prevention
CHAPTER 7.
POLLUTION PREVENTION
Chapter 7. Applicable EPA Guidance
Guides to Pollution Prevention: Municipal Pretreatment Program (EPA/625/R-93/006)
NPDES Compliance Inspection Manual (EPA July 2004)
Guide to Industrial Assessments for Pollution Prevention and Energy Efficiency (EPA-625-C-99-003)
Why Should You Care About Preventing Waste: Pollution Prevention Pocketbook (EPA-742-E-01 -001)
Introduction to Pollution Prevention: Training Manual (EPA-742-B-95-003)
Pollution Prevention at POTWs Case Studies (EPA 742-F-94-001)
Ensuring a Sustainable Future: An Energy Management Guidebook for Wastewater and Water Utilities (EPA January
2008)
One of the objectives of the National Pretreatment Program is to improve opportunities to recycle
and reclaim municipal and industrial wastewaters and sludges (40 CFR 403.2(c)). Recycling and
reclamation are forms of pollution prevention (P2). P2 is the practice of reducing or eliminating waste at
the source by modifying production processes, promoting the use of nontoxic or less-toxic substances,
implementing conservation techniques, and reusing materials rather than putting them into the
wastestream.15 P2 addresses all aspects of production processesfrom raw material usage and inventory
procedures to waste management and utilities conservation. Management techniques that incorporate P2
reduce or eliminate the generation of pollutants, wastes, and adverse ecological impacts through new
approaches, material substitutions, and optimizing processes and operating procedures.
The Pollution Prevention Act of 1990 (PPA) established P2 as a national objective. The PPA
equates P2 with source reduction, which it defines as "any practice [that] reduces the amount of any
hazardous substance, pollutant, or contaminant entering any wastestream or otherwise released into the
environment (including fugitive emissions) prior to recycling, treatment, or disposal, and reduces the
hazards to human health and the environment associated with the release."16 In defining P2, EPA has
clarified that in-process recycling might qualify as P2, that P2 approaches can be applied to all pollution-
generating activitiesincluding those found in the energy, agricultural, federal, consumer, and industrial
sectorsand that energy and water efficiency and conservation practices that reduce the creation of
pollutants conform to the PPA's definition of source reduction.17 Subsequently, Executive Orders
likewise define energy and water efficiency/conservation as within the definition of source reduction and
P2.
The PPA established a P2 hierarchy as national policy, declaring that
* Pollution should be prevented or reduced at the source.
* Pollution that cannot be prevented should be recycled in an environmentally safe manner.
15 EPA P2 website at www.epa.gov/p2.
16 42 U.S.C. chapter 133, section 13102 (5).
17 P2 Policy Statement, http://www.epa.gov/p2/pubs/p2policv/policv.htm.
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Chapter 7. Pollution Prevention
* Pollution that cannot be prevented or recycled should be treated in an environmentally safe
manner.
-^ Disposal or other release into the environment should be employed as a last resort only and
should be conducted in an environmentally safe manner.
The PPA also directs EPA to integrate P2 concepts fully into all of its regulatory programs. EPA activities
to promote and integrate P2 across all media programs include the following:
* Coordinating development of regulations that will help to identify the potential for
multimedia prevention strategies and that reduce end-of-pipe compliance costs.
* Examining the use of P2 in enforcement actions and negotiations. P2 can be incorporated
into environmental enforcement settlements through P2 supplemental environmental
projects, which are environmentally beneficial projects that a company agrees to undertake
when settling an enforcement action.
* Working with state and local governments and trade associations to promote P2 among
small- and medium-size businesses that often lack the capital to make changes.
A Investing in outside programs, usually at the state level, by providing grant funds for
reducing target chemicals from agricultural and transportation industries, and others.
-^ Providing the scientific and technical knowledge necessary to implement P2 initiatives on
a cross-media basis.
In February 2010, EPA released its 2010-2014
Pollution Prevention Program Strategic Plan. Figure 7-1
presents the broad mission of EPA's P2 Program. The P2
Program's strategy over the next 5 years is to identify and
, ,, . . ... , , j a sustainable society.
leverage pollution prevention opportunities to help reduce
The broad mission of EPA's P2 Program is to
prevent pollution at the source, promote the use of
greener substances, and conserve natural
resources, which are critical steps towards achieving
the emission of greenhouse gasses, the use of hazardous Figure 7-1 EPA's P2 mission (from
materials, and the use of natural resources, while 2010-2014 Strategic Plan).
contributing to a greener and more sustainable economy. In
addition, the Plan includes an appendix that describes the
P2 Program's 5-year strategy for each of five sector areas: Chemicals and Manufacturing Industries,
Hospitality, Electronics, Building and Construction, and Municipalities and Institutions. Figure 7-2 lists
EPA's P2 goals from the 2010-2014 Pollution Prevention Program Strategic Plan.
Goal 1: Reduce the generation of greenhouse gas emissions to mitigate climate change.
Goal 2: Reduce the manufacture and use of hazardous materials to improve human and ecological health.
Goal 3: Reduce the use of water and conserve other natural resources to protect ecosystems.
Goal 4: Create business efficiencies that derive economic benefits and improve environmental performance.
Goal 5: Institutionalize and integrate pollution prevention practices through government services, policies, and
initiatives.
Figure 7-2. EPA's P2 goals (from 2010-2014 Strategic Plan).
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Chapter 7. Pollution Prevention
P2 AND THE PRETREATMENT PROGRAM
POTW personnel have many opportunities to encourage industries to adopt P2 measures. More
than any other public authority, POTWs maintain close contact with local Ills and have an understanding
of the Ills' specific industrial process operations and wastestreams.
Source reduction is an inherent element of the National Pretreatment Program. The program is
designed to prevent toxic pollutants from being discharged to POTWs through controls on the Ills that
discharge the pollutants. Thus, P2 could be considered an extension of current pretreatment program
implementation activities. For example, pretreatment programs have the authority to require and enforce
IU management practices to ensure that the POTW meets its NPDES permit requirements and to prevent
interference with its POTW treatment facilities. POTWs are already involved in promoting P2 by
requiring Ills to reduce pollutants in the wastestream before discharging to the POTW. By further
integrating P2 concepts into existing pretreatment program activities, POTW personnel can help industrial
and commercial facilities identify P2 opportunities, encourage them to assess the opportunities in greater
detail, and, in general, heighten their awareness of P2 as another means of meeting their permit
requirements. Pretreatment program implementation tools available to make P2 a more integral part of a
pretreatment program are presented in figure 7-3.
IU Permits. Where local regulations allow, information about P2 measures and plans may be obtained as part of
the permit application process. Also, where authorized a permittee may be required to perform a P2 assessment
or develop a P2 plan (or both) as a condition of the permit. In issuing IU permits, POTWs may also require slug
control plans, compliance schedules for improved operation and maintenance procedures, spill-prevention plans
and TOMPs, and BMP conditions in the permits.
Inspections. POTW personnel are usually quite familiar with processes performed at their local industrial
facilities and have exposure to a variety of industries performing the same or similar processes; therefore, they
can easily disseminate nonconfidential information about actual P2 measures implemented and identify new P2
opportunities.
Local limits. POTWs near or above MAHLs may institute P2 programs for their users to reduce specific
pollutants.
Enforcement negotiations. A P2 audit may be required through a consent or compliance order, or
implementation of P2 measures may be required as part of a settlement.
Outreach. POTWs can develop and disseminate information about P2 opportunities and success stories to ILJs
and the public. POTWs can hold workshops for ILJs and disseminate information at public gatherings, such as
Earth Day festivals.
Figure 7-3. Pretreatment program P2 implementation tools.
A P2 measure often employed by POTWs is requiring dental offices to switch from using
mercury amalgams to alternative types of amalgams to reduce the discharge of mercury before the
discharge enters the wastestream. Another P2 measure is encouraging industrial laundries to switch to
alternative detergents that have lower levels of phosphates and endocrine-disrupting chemicals such as
alkylphenol ethoxylates, which are common constituents in some detergents. Also, water and heat/energy
conservation has been achieved at industrial laundries by reconfiguring some of the rinse cycles. Many
healthcare facilities previously using film-generating X-ray and magnetic resonance imaging technology
have now converted to digital imagery, eliminating wastewater-generating processes entirely. Another
example of P2 at Ills is dry sweeping process area floors before they are washed.
Many POTWs have also implemented fats, oils, and grease (FOG) programs to prevent blockages
in the sewer system, primarily caused by grease buildup from restaurants. FOG programs promote
educating the public about how pouring fats, oils, and greases down the drain can harm the POTW and
the environment. Restaurants can also train restaurant employees to wipe down cookware before putting it
in the dishwasher and wipe up FOG before mopping with water. Effective FOG programs include
Introduction to the National Pretreatment Program 7-3
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Chapter 7. Pollution Prevention
enforcement authority for the POTWs. Increasingly, federal pretreatment regulations are incorporating P2
measures. The Pretreatment Standards for the Transportation Equipment Cleaning Industry, for example,
include a regulatory alternative to numeric effluent limits based on a pollutant management plan and a
low-flow exclusion to encourage water conservation and reuse.
KEY ELEMENTS OF A SUCCESSFUL POTW P2 PROGRAM
Although P2 activities can be unique to each POTW, the following are key elements of successful
P2 programs:
^ Integrate P2 into existing activities. POTWs that view P2 as an enhancement (instead of
an additional requirement) to their existing pretreatment programs modify their existing
pretreatment activities efficiently and effectively.
^ Start small. POTWs that slowly phase in new P2 activities overcome impediments such as
limited resources and resistance. Small changes (such as dry sweeping the process area floor
before washdown, or switching to environmentally friendly detergents or lubricants) can be
implemented gradually with minimal resources. Such an approach enables P2 activities to
become an accepted integral part of the pretreatment program.
^ Define attainable goals and measure success. Short-term, narrowly focused efforts have a
greater chance of succeeding. For example, POTWs have targeted a specific pollutant and
group of industries, established specific P2 activities, and monitored the progress and
success of those activities. With each new success recorded, the benefits of P2 are
illustrated, and resistance to change might be overcome by the demand for further success.
^ Provide incentives. Incentives are effective tools for persuading users to investigate P2
opportunities. POTWs have used a wide range of tools, such as publicly recognizing P2
achievements and reducing regulatory requirements.
^ Train POTW field personnel. POTW inspectors that are knowledgeable about P2
opportunities can work closely with Ills to encourage them to implement P2. Cross-media
training of POTW staff about P2 opportunities in all media (e.g., water, stormwater, air,
solid waste) provides that much more opportunity for POTW personnel to notice and
promote P2 opportunities.
^ Learn from others. A vast amount of information has been acquired and compiled about
practical implementation of P2 measures. Conduct research on the Internet, and use other
resources to learn more about P2 measures applicable to specific circumstances. Showing
managers case studies and cost savings realized with P2 measures can gain management
support of P2 programs. EPA provides grant monies for researching P2 opportunities and
makes the reports available to the public. For more detail on this program, see
http://www.epa.gov/p2/pubs/grants/index.htm.
BENEFITS OF P2 FOR POTWs
P2 offers substantial benefits to POTWs. By incorporating P2 into pretreatment programs and
reducing the quantity and toxicity of user discharges, P2 can help POTWs
A Meet federal and state environmental quality standards, including sludge disposal
requirements, current or future toxic air emission requirements, and NPDES permit
requirements
* Reduce influent pollutant loadings and wastewater flows to POTWs, resulting in lower
operation and maintenance costs and reduced or eliminated need for capital expenditures
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Chapter 7. Pollution Prevention
* Improve biosolids quality through reduced loadings of heavy metals and refractory
organics
-^ Realize energy, chemical, and sludge management savings because of reduced wastewater
treatment needs
A Reduce the transfer of influent contaminants from one environmental medium (e.g.,
wastewater) to others (e.g., land, surface and groundwater, and air)
* Increase POTW personnel safety and reduce collection system hazards from toxic or
hazardous gases
* Further reduce the occurrences of interference and pass through
A Enable continued or expanded growth in the community without harm to the environment
A Improve public image
-^ Reduce future liabilities.
BENEFITS OF P2 FOR IDs
Industrial and commercial facilities also can benefit from P2. In many cases, P2 might be the least
expensive means of reducing unacceptable toxic discharges. Pretreatment personnel can point out the
benefits of P2 to their sewer users. Through P2, Ills can
-^ Achieve compliance with pretreatment program requirements
* Minimize emissions to all media and reduce water consumption
* Reduce wastewater monitoring, treatment, and disposal costs
A Reduce raw-material use, feedstock purchases, and manufacturing costs
A Reduce operation and maintenance costs
* Increase productivity and manufacturing efficiency and reduce off-specification products
-^ Reduce regulatory compliance costs
* Reduce hazards to employees through exposure to chemicals
* Reduce costs of environmental impairment insurance
A Improve public image and employee morale
* Reduce potential liability associated with toxic waste
* Decrease regulatory requirements by eliminating the need for permits, hazardous waste
manifests, monitoring, and reporting.
Figure 7-4 summarizes the types of activities IU can implement to realize P2 benefits at their
facility.
To realize P2 benefits industrial facilities can
«> Modify equipment or technology
* Modify process or procedure
«> Reformulate or redesign products
«> Substitute raw materials
* Improve housekeeping, maintenance, training, or inventory control
Figure 7-4. Types of P2 activities IDs can implement.
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Chapter 7. Pollution Prevention
WATER CONSERVATION AS P2
One important form of P2 is water conservation. Some of the main drivers of water conservation
practices are (1) the economic considerations that result from higher operating costs of using more water
(e.g., increased water bills and wastewater treatment costs, pumping costs, wastewater sludge generation
and disposal costs) and (2) water source restrictions (e.g., widespread regional droughts, increasing water
demands of urban populations). Cost savings also include decreasing the energy needed to heat or chill
water and reducing or delaying the need for wastewater treatment capacity expansion. (For more
information on energy conservation, refer to Ensuring a Sustainable Future: Energy Management
Guidebook for Wastewater and Water Utilities, EPA, January 2008
(http://www.peercenter.net/ewebeditpro/items/O73F22367.pdf).
The cost savings realized from implementing water reuse18 and reduction technologies and P2
practices can be significant. The monetary savings of implementing water-conservation measures can be
substantial, with payback periods often measured within a few months or years. They are compelling
reasons for Ills to consider enhancing their water-conservation efforts. Furthermore, encouraging
nondomestic users to reconfigure industrial operations to eliminate process wastewaters altogether (zero
discharge) assists in meeting the ultimate goal of the Clean Water Act to restore and maintain the
chemical, physical, and biological integrity of the nation's waters.
EPA's ELG rulemaking records identify when water-conservation practices are being used in
existing industrial processes. The rulemaking process compares and contrasts treatment and cost
efficiency for a variety of treatment options per industrial sector. The findings support that, for a variety
of industrial sectors with well-designed and operated on-site treatment systems, the systems are more
efficient at treating and removing pollutants from wastewater when the wastewater is more highly
concentrated. That is because wastewater treatment technologies operating within their design
specifications are limited solely by the physical/chemical properties of the pollutants in the wastewater,
not necessarily by influent concentrations. Flow reduction generally increases the pollutant concentrations
to on-site wastewater treatment systems, thereby increasing the efficiency of the wastewater treatment
system.19 Consequently, a properly managed wastewater treatment system operating within its design
specifications can produce a consistent effluent despite fluctuations or increases in influent concentration.
EPA also notes that implementing water-conservation measures requires a systematic approach
because changes in industrial processes could require adjustments in downstream operations. The water
systems of many plants are already complex as a result of plant changes and improvements to existing
systems. Isolated attempts to reuse water or change the water system are often stop-gap solutions that can
cause more problems in the long term and even lead to unexpected or undesirable surprises in plant
operations. Therefore, water management strategies, industrial water reclamation technologies, and a
systematic approach to using them are necessary if plant-wide water reuse and effluent discharge
reduction goals are to be reached.
A number of new tools are available for implementing water-conservation measures through a
systematic approach, e.g., water-pinch technology and mathematical optimization. Such tools seek to
identify a pinch point, called the freshwater pinch, on the basis of a key contaminant's concentration.
Within a given process plant, water-using operations that can tolerate contaminant levels above that
concentration do not require freshwater; they can instead reuse water streams from elsewhere in the
process. Analogously, plant water streams with contaminant levels below that pinch concentration do not
18 U.S. Environmental Protection Agency, Guidelines for Water Reuse (September 2004),
http://www.epa.qov/ORD/NRMRL/pubs/625r04108/625r04108.htm.
19W. Wesley Eckenfelder, Industrial Water Pollution Control, McGraw-Hill, Inc., New York (1989), p. 60.
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Chapter 7. Pollution Prevention
need to be sent for disposal but can be reused elsewhere in the plant. Using that information, system
designers and retrofitters can maximize water reuse and minimize wastewater generation on-site.20 For
example, segregating processes wastewaters for pretreatment of that key contaminant or decentralized
water reuse can reduce costs and simplify and improve the performance of end-of-pipe wastewater
treatment and reuse by avoiding cross-contamination by difficult-to-treat chemical compounds.21
POTENTIAL IMPEDIMENTS TO P2
Although the numerous benefits make pursuing P2 attractive, implementing source reduction
might not be possible in some situations. Before implementing a P2 practice, the benefits and barriers of
the potential opportunity must be evaluated. Any such change could be met with resistance because of
institutionalized practice. Common impediments could arise in any of the following categories:
A Technology
Decrease in product quality.
Unable to change raw materials because of available technology or contractual
requirements.
A Financial
Potentially high costs associated with implementing alternatives (i.e., new equipment or
materials, or personnel and training) without examining the cost's rate of return.
Losses from downtime during switchovers and startups.
- Foreign competitors might have an economic advantage if they are not obligated to
comply with U.S. regulations.
- Binding contracts with existing waste haulers and treatment, storage and disposal
facilities may exist.
-^ Organizational
Lack of or poor communication between persons who possess the knowledge and ideas
for improvements and those who can actually implement the changes.
- Limited personnel or internal resources available to investigate or make changes.
Lack of coordination and cooperation among divisions in the corporation.
A Behavioral
Personnel might consider alternatives as inconvenient (e.g., dry sweeping followed by a
washdown as opposed to a washdown alone).
Companies might be skeptical of the benefits or might be unwilling or unable to invest
the necessary funds.
POTW personnel might have difficulty persuading municipal officials that activities
promoting P2 are integral to meeting the goals of the local pretreatment program. POTW
personnel might also have to educate officials and managers that funding for P2
initiatives is needed to meet the program goals and that doing so might lead to significant
returns on investment.
20 Y.A. Liu, Bruce Lucas, and James G. Mann, Up-to-date Tools for Water-System Optimization, Chemical Engineering
(January 2004).
21 B. Durham and L. Patria, Wastewater: A Reliable Water Resource, Chemical Engineering (October 2006).
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Chapter 7. Pollution Prevention
^ Regulatory
- Concentrating a pollutant for recycling could classify it as a hazardous waste (e.g.,
silver). Consequently, an IU could choose to discharge the pollutant rather than be
subject to regulations regarding the handling, treatment, and disposal of a hazardous
waste. However, concentrating wastewaters generally reduces treatment costs and might
enable the IU to recover its costs (e.g., recovery of silver through electrowinning).
- POTWs might need to expand their authority to incorporate P2 planning or other P2
requirements into permitting and enforcement actions.
P2 ASSISTANCE
EPA, states, industry trade associations, and university technology transfer and outreach
departments provide P2 information through direct technical assistance, training courses, and a variety of
publications. For more information on POTWs integrating P2 into their pretreatment programs, refer to
EPA's 1993 Guides to Pollution PreventionMunicipal Pretreatment Programs and the 2QQ4NPDES
Compliance Inspection Manual. Specific industry trade associations and university technology transfer
and outreach departments are usually aware of P2 assistance materials, specific P2 opportunities, and the
costs and success of implementing them. Some further sources that disseminate P2 information follow:
-^ EPA's Pollution Prevention (P2) website. Provides general information about P2 policies
and programs, P2 technical assistance information, case studies, and P2 resources. The
annual Pollution Prevention Grant Programs information is also featured on the site. See
http://www.epa.gov/p2/index.htm and Pollution Prevention at POTWs, Case Studies
(winter 1994) at http://www.epa.gov/p2/pubs/potw.pdf
^ Pollution Prevention Information Clearinghouse. A free information service dedicated to
reducing and eliminating industrial pollutants through technology transfer, source
reduction, education, and public awareness. See http://www.epa.gov/oppt/ppic.
-^ State programs. Provide technical assistance to conduct P2 assessments, develop guidance
manuals on conducting these assessments; actually conduct these assessments; provide
assistance in developing P2 plans for all the POTW's users; provide training for industry,
state, and POTW personnel; and offer grants for P2 projects.
-^ National Institute of Standards and Technology (NIST). An office of the U.S.
Department of Commerce that develops technology to improve product quality, modernize
manufacturing processes, ensure product reliability, and facilitate rapid commercialization
of products that are based on new scientific discoveries. You can search the NIST websites
(www.nist.gov) for different industry sectors.
-^ EPA technical support documents. EPA's technical support documents
(http://www.epa.gov/guide/plan.html) and records supporting EPA's biennial ELG
program plans also provide useful information. They provide a sample of the current
limitation and latest developments in industrial pollutant prevention, water conservation,
and wastewater treatment. The technical support documents also identify the industrial
sectors not regulated by effluent guidelines.
^ Design for the Environment publications. EPA is working with individual industry
sectors to compare and improve the performance and human health and environmental
risks and costs of existing and alternative products, processes, and practices
(http://www.epa.gov/dfe/pubs).
^ EPA National Service Center for Environmental Publications (NSCEP). The NSCEP
maintains and distributes EPA publications in hard copy, CD-ROM, and other multimedia
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Chapter 7. Pollution Prevention
formats. NSCEP also develops and distributes the annual EPA National Publications
Catalog. The website allows users to search the catalog for P2 documents and other related
topics. Order documents online or through the Government Printing Office, as described
below (http://www.epa.gov/nscep). Note that you must have the EPA publication number
or title of the document available when ordering.
A Industry sector notebooks. EPA's Office of Compliance has developed a series of profiles
or "notebooks" containing information on selected major industries, including dry
cleaning, printing, and wood furniture. Each notebook provides comprehensive industrial
process information, regulatory requirements, and P2 techniques. View the documents
online or order printed copies for a fee (between $6 and $25 depending on length) from the
Government Printing Office by calling (202) 512-1800
(http://www.epa.gov/Compliance/resources/publications/assistance/sectors/notebooks/inde
x.html#industry).
^ Association websites. Many associations, including industrial sector associations, provide
training and information related to P2. Examples are the California Water Environment
Association (http://cwea.org/p3s) and the Water Environment Federation
(http ://www .wef.org).
In addition to getting the available information about P2, Ills can become involved in several
EPA voluntary programs. Information on these programs is available from the Office of Pollution
Prevention and Toxics:
-^ Design for the Environment. A voluntary partnership program that helps businesses
design or redesign products, processes, and management systems that are cleaner, more
cost-effective, and safer for workers and the public.
^ Environmental Labeling. Covers a broad range of activities from business-to-business
transfers of product-specific environmental information to environmental labeling in retail
markets. Provides an opportunity to inform consumers about product characteristics that
might not be readily apparent and guide their use in an environmentally beneficial manner.
A Environmentally Preferable Purchasing. A federal government-wide program managed
by the EPA Office of Pollution Prevention and Toxics (OPPT) that requires and helps
executive agencies to purchase environmentally preferable products and services.
A Electronic Product Environmental Assessment Tool. A procurement tool to help
institutional purchasers in the public and private sectors evaluate, compare, and select
desktop computers, notebooks and monitors on the basis of their environmental attributes.
^ Green Chemistry. An initiative under OPPT's DfE program that focuses on P2 through the
environmentally conscious design of chemical products and processes.
^ Green Engineering. An initiative under the DfE program designed to promote the
development and commercialization of environmentally beneficial design methods, risk-
based design tools, and green technologies through education, outreach, and partnering
with the academic, research, and industrial communities.
^ Green Suppliers Network. A collaborative venture between industry and EPA that works
with all levels of the manufacturing supply chain to achieve environmental and economic
benefits, improve performance, minimize waste generation, and remove institutional
roadblocks through its innovative approach to leveraging a national network of
manufacturing technical assistance resources.
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Chapter 7. Pollution Prevention
^ Hospitals for a Healthy Environment (H2E). A voluntary program working with the
healthcare industry to reduce its environmental impact. In 2006 this program became
EPA's first voluntary program to become an independent nonprofit organization.
-^ Sustainable Futures. A pilot project designed to encourage industry to use EPA-
developed chemical risk screening tools and P2 principles in making decisions about new
chemicals at the research and development stage before submittal as premanufacture
notices.
-^ Suppliers Partnership for the Environment. A trade association composed of small, mid-
sized, and large automotive and vehicle suppliers that are working in partnership with EPA
to create new and innovative business-centered approaches to environmental protection
that improve the environment while providing value to the participants.22
For additional information on these voluntary pollution programs, see EPA's P2 website at
www.epa.gov/p2.
One of the ways EPA promotes P2 is by supporting the development of a network of state and
tribal P2 programs. The OPPT P2 Grant Program, created under the authority of the PPA, provides
matching funds to states and tribes to support P2 activities and develop state programs. The majority of
the P2 grants fund projects in the areas of technical assistance and training, education and outreach,
regulatory integration, data collection and research, demonstration projects, and recognition programs.
Additional information on OPPT's grant programs that promote P2 activities is at
http://www.epa.gov/p2/pubs/grants/index.htm.
22 Overview: Office of Pollution Prevention and Toxics Programs (January 2007).
http://www.epa.gov/oppt/pubs/oppt101c2.pdf.
7-10 Introduction to the National Pretreatment Program
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