United States Environmental Protection Agency Office of Water ( 4203) EPA 833 B 96 003 December 1996 U. S. EPA NPDES Permit Writers' Manual Contents Page List of Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A 1 Glossary of Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . G 1 Chapter 1   Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1.1 History and Evolution of the NPDES Program . . . . . . . . . . . . . . . . . . . 2 Chapter 2   Regulatory Framework and Scope of the NPDES Program . . . . . . . . 7 2.1 Regulatory Framework of the NPDES Program . . . . . . . . . . . . . . . . . . 7 2.2 Scope of the NPDES Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 2.3 NPDES Program Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 2.3.1 NPDES Program Areas Applicable to Municipal Sources . . . . . 14 2.3.2 NPDES Program Areas Applicable to Industrial Sources . . . . . 18 Chapter 3   Overview of the NPDES Permitting Process . . . . . . . . . . . . . . . . . . . 21 3.1 Types of Permits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 3.2 Major Components of a Permit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 3.3 Overview of the Development/ Issuance Process for NPDES Individual Permits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 3.4 Overview of the Development/ Issuance Process for NPDES General Permits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 3.5 Roles and Responsibilities of the Federal and State Authorities . . . . . . 27 Chapter 4   The Permit Application Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 4.1 NPDES Permit Application Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 4.1.1 Municipal Application Requirements ( Form A and Short Form A) . . . . . . . . . . . . . . . . . . 31 4.1.2 Non Municipal Permit Application Requirements . . . . . . . . . . . 32 4.1.3 Application Requirements for NPDES General Permits . . . . . . . 36 4.2 Application Deadlines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 4.3 Review of the Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 4.3.1 The Complete Application . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 4.3.2 Common Omissions and Errors in Applications . . . . . . . . . . . . 39 4.3.3 The Accurate Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 NPDES Permit Writers' Manual  i Contents 4.4 Facility Information Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 4.4.1 Background Information Review . . . . . . . . . . . . . . . . . . . . . . . 43 4.4.2 Facility Site Visits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 4.5 Confidential Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Chapter 5   Technology Based Effluent Limits . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 5.1 Application of Technology Based Effluent Limitations for Non Municipal Dischargers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 5.1.1 Statutory and Regulatory Foundation . . . . . . . . . . . . . . . . . . . 50 5.1.2 Development of National Effluent Limitations Guidelines and Performance Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 5.1.3 General Considerations Concerning the Use of Effluent Limitation Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 5.1.4 Best Professional Judgment Permit Limits . . . . . . . . . . . . . . . . 68 5.2 Application of Technology Based Effluent Limitations for Municipal Dischargers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 5.2.1 Secondary Treatment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 5.2.2 Equivalent to Secondary Treatment Definition . . . . . . . . . . . . . 79 Chapter 6   Water Quality Based Effluent Limits . . . . . . . . . . . . . . . . . . . . . . . . . 87 6.1 Overview of Water Quality Standards . . . . . . . . . . . . . . . . . . . . . . . . . 88 6.1.1 Components of Water Quality Standards . . . . . . . . . . . . . . . . . 89 6.1.2 Establishing Water Quality Criteria . . . . . . . . . . . . . . . . . . . . . 91 6.1.3 Future Directions for Water Quality Standards . . . . . . . . . . . . . 93 6.2 Approaches to Implementing Water Quality Standards . . . . . . . . . . . . 94 6.2.1 Chemical Specific Approach . . . . . . . . . . . . . . . . . . . . . . . . . . 94 6.2.2 Whole Effluent Toxicity ( WET) Approach . . . . . . . . . . . . . . . . . 94 6.2.3 Biological Criteria or Biological Assessment Approach . . . . . . . 98 6.3 Determining the Need for WQBELs . . . . . . . . . . . . . . . . . . . . . . . . . . 99 6.3.1 Defining " Reasonable Potential" to Exceed Applicable Criteria . 99 6.3.2 Determining Reasonable Potential With Effluent Monitoring Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 6.3.3 Determining Reasonable Potential Without Effluent Monitoring Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103 6.4 Exposure Assessment and Wasteload Allocation . . . . . . . . . . . . . . . 104 6.4.1 Total Maximum Daily Loads . . . . . . . . . . . . . . . . . . . . . . . . . 104 6.4.2 Calculating Wasteload Allocations . . . . . . . . . . . . . . . . . . . . 106 6.4.3 Selecting a Water Quality Model . . . . . . . . . . . . . . . . . . . . . . 107 6.5 Permit Limit Derivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 6.5.1 Expression of Permit Limits . . . . . . . . . . . . . . . . . . . . . . . . . 112 6.5.2 Limits Derived from Steady State Model Outputs . . . . . . . . . . 112 6.5.3 Limits Derived from Dynamic Model Outputs . . . . . . . . . . . . . 114 6.5.4 Special Considerations Permits Protecting Human Health . . . 114 ii  NPDES Permit Writers' Manual Contents Chapter 7   Monitoring and Reporting Conditions . . . . . . . . . . . . . . . . . . . . . . . 115 7.1 Establishing Monitoring Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . 116 7.1.1 Monitoring Location . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 7.1.2 Monitoring Frequency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 7.1.3 Sample Collection Methods . . . . . . . . . . . . . . . . . . . . . . . . . 122 7.1.4 Analytical Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125 7.1.5 Other Considerations in Establishing Monitoring Requirement . 127 7.1.6 Establishing Monitoring Conditions for Unique Discharges . . . 129 7.2 Reporting and Recordkeeping Requirements . . . . . . . . . . . . . . . . . . 134 Chapter 8   Special Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137 8.1 General Types of Special Conditions . . . . . . . . . . . . . . . . . . . . . . . . 138 8.1.1 Special Studies and Additional Monitoring . . . . . . . . . . . . . . . 138 8.1.2 Best Management Practices ( BMPs) . . . . . . . . . . . . . . . . . . . 141 8.1.3 Pollution Prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146 8.1.4 Compliance Schedules . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148 8.2 Permit Conditions Addressing Storm Water Discharges Associated With Industrial Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 8.3 Special Conditions for Municipal Facilities . . . . . . . . . . . . . . . . . . . . . 151 8.3.1 The National Pretreatment Program . . . . . . . . . . . . . . . . . . . 151 8.3.2 Municipal Sewage Sludge . . . . . . . . . . . . . . . . . . . . . . . . . . 156 8.3.3 Combined Sewer Overflows ( CSOs) . . . . . . . . . . . . . . . . . . . 159 8.3.4 Sanitary Sewer Overflows . . . . . . . . . . . . . . . . . . . . . . . . . . 164 8.3.5 Municipal Separate Storm Sewer Systems ( MS4) . . . . . . . . . 164 Chapter 9   Standard Conditions of NPDES Permits . . . . . . . . . . . . . . . . . . . . . 167 9.1 Types of Standard Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 9.2 Other Standard Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170 Chapter 10   Variances to Permit Requirements and Other Regulatory Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171 10.1 Variances to Technology Based Permit Requirements . . . . . . . . . . . . 171 10.1.1 Economic Variances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172 10.1.2 Variances Based on Localized Environmental Factors . . . . . . 173 10.1.3 Marine Discharge Variances . . . . . . . . . . . . . . . . . . . . . . . . . 174 10.1.4 Fundamentally Different Factors Variances . . . . . . . . . . . . . . 175 10.1.5 Thermal Discharge Variances . . . . . . . . . . . . . . . . . . . . . . . . 175 10.1.6 Net Credits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176 10.2 Variances to Water Quality Based Permit Requirements . . . . . . . . . . 176 10.2.1 Site Specific Water Quality Criteria Modification . . . . . . . . . . . 177 10.2.2 Designated Use Reclassification . . . . . . . . . . . . . . . . . . . . . . 177 10.2.3 Water Quality Standard Variance . . . . . . . . . . . . . . . . . . . . . 177 NPDES Permit Writers' Manual  iii Contents 10.3 Additional Programmatic Considerations and Requirements . . . . . . . . 178 10.3.1 Anti Backsliding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178 10.3.2 Considerations for Other Federal Laws . . . . . . . . . . . . . . . . . 185 Chapter 11   Administrative Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191 11.1 Documentation For Development of the Draft Permit . . . . . . . . . . . . . 192 11.1.1 Administrative Record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193 11.1.2 Fact Sheets and Statements of Basis . . . . . . . . . . . . . . . . . . 194 11.2 Items to Address Prior to Issuance of a Final Permit . . . . . . . . . . . . . 197 11.2.1 Public Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198 11.2.2 Public Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 11.2.3 Public Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201 11.2.4 State/ Tribal Roles in Reviewing Draft Permit . . . . . . . . . . . . 202 11.2.5 Schedule for Final Permit Issuance . . . . . . . . . . . . . . . . . . . . 203 11.3 Administrative Actions After Final Permit Issuance . . . . . . . . . . . . . . 203 11.3.1 Permit Appeals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204 11.3.2 Permit Modification, Revocation, Termination, and Transfer . . 206 11.3.3 Termination of Permits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208 11.3.4 Transfer of Permits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209 Chapter 12   Permit Compliance and Enforcement . . . . . . . . . . . . . . . . . . . . . . 211 12.1 Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 12.2 Compliance Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212 12.2.1 Compliance Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212 12.2.2 Compliance Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213 12.3 Quarterly Noncompliance Reports . . . . . . . . . . . . . . . . . . . . . . . . . . 214 12.4 Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216 12.5 Public Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218 12.6 Compliance Assistance and Voluntary Compliance Policies . . . . . . . . 218 Appendix A Index to NPDES Regulations Appendix B Effluent Guidelines and Standards Appendix C List of SIC Codes Appendix D How to Obtain Additional EPA Documents iv  NPDES Permit Writers' Manual List of Exhibits Page EXHIBIT 1 1 Organization of the Clean Water Act . . . . . . . . . . . . . . . . . . . . . . 4 EXHIBIT 2 1 Federal NPDES Regulations ( 40 CFR Part 122) . . . . . . . . . . . . . . 9 EXHIBIT 2 2 Sources of Discharge to Waters of the United States . . . . . . . . . . 11 EXHIBIT 2 3 NPDES Program Areas and Applicable Regulations . . . . . . . . . . . 12 EXHIBIT 3 1 NPDES Permit Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 EXHIBIT 3 2 Major Steps Involved in Developing and Issuing an Individual NPDES Permit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 EXHIBIT 4 1 Applications Forms Required for NPDES Discharges . . . . . . . . . . 30 EXHIBIT 4 2 Permit Application Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 EXHIBIT 5 1 Statutory Deadlines for BPT, BAT, and BCT . . . . . . . . . . . . . . . . 53 EXHIBIT 5 2 Effluent Guidelines Flowchart . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 EXHIBIT 5 3 ELGs for Iron and Steel Manufacturing . . . . . . . . . . . . . . . . . . . . 57 EXHIBIT 5 4 OCPSF Effluent Limitations Guidelines . . . . . . . . . . . . . . . . . . . . 62 EXHIBIT 5 5 BPJ Permitting Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72 EXHIBIT 5 6 Secondary Treatment Standards . . . . . . . . . . . . . . . . . . . . . . . . . 76 EXHIBIT 5 7 State Specific ASRs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 EXHIBIT 6 1 Components of an Integrated Approach to Water Quality Based Toxics Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95 EXHIBIT 6 2 Basic Mass Balance Water Quality Equation . . . . . . . . . . . . . . . 102 EXHIBIT 6 3 Components of a TMDL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 EXHIBIT 7 1 Examples of Specifying Sampling Locations in Permits . . . . . . . . 120 EXHIBIT 7 2 Compositing Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 EXHIBIT 7 3 Estimated Costs for Common Analytical Procedures . . . . . . . . . . 128` EXHIBIT 7 4 Minimum Requirements for Sewage Sludge Monitoring, Based on Method of Sludge Use or Disposal . . . . . . . . . . . . . . . 133 EXHIBIT 7 5 Discharge Monitoring Report ( DMR) . . . . . . . . . . . . . . . . . . . . . 135 EXHIBIT 8 1 Categories of CSO Permitting Conditions . . . . . . . . . . . . . . . . . . 162 EXHIBIT 8 2 Nine Minimum CSO Controls . . . . . . . . . . . . . . . . . . . . . . . . . . 163 EXHIBIT 8 3 Elements of the Long Term CSO Control Plan . . . . . . . . . . . . . . 163 NPDES Permit Writers' Manual  v List of Exhibits EXHIBIT 10 1 Anti Backsliding Rules Relating to Water Quality Based Effluent Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 EXHIBIT 11 1 NPDES Permitting Administrative Process . . . . . . . . . . . . . . . . . 192 EXHIBIT 11 2 Elements of the Draft NPDES Permit Administrative Record . . . . 194 EXHIBIT 11 3 Elements of the Administrative Records for a Final Permit . . . . . 195 EXHIBIT 11 4 Required Contents of a Fact Sheet . . . . . . . . . . . . . . . . . . . . . . 196 EXHIBIT 11 5 Actions That Must Receive Public Notice . . . . . . . . . . . . . . . . . . 198 EXHIBIT 11 6 Contents of the Public Notice . . . . . . . . . . . . . . . . . . . . . . . . . . 199 EXHIBIT 11 7 Conditions Requiring Major Modification . . . . . . . . . . . . . . . . . . 207 EXHIBIT 11 8 Conditions Requiring Minor Modification . . . . . . . . . . . . . . . . . . 208 vi  NPDES Permit Writers' Manual Chapter 3 Overview of the NPDES Permitting Process This chapter presents an overview of the different types of NPDES permits,

permit components, the permitting development and issuance process, and the roles and responsibilities of the Federal and State governments. The intent of this chapter is to give the permit writer an introduction to the elements of a NPDES permit and to provide a brief overview of the process of writing a permit. The process is illustrated by the use of flow charts. The tasks identified within the flow charts are described in detail in subsequent chapters.

3.1 Types of Permits A permit is typically a license for a facility to discharge a specified amount of a pollutant into a receiving water under certain conditions; however, permits may also authorize facilities to process, incinerate, landfill, or beneficially use sewage sludge.

The two basic types of NPDES permits that can be issued are individual and general permits.

An individual permit is a permit specifically tailored for an individual facility.

Upon submitting the appropriate application( s), the permitting authority develops a permit for that particular facility based on the information contained in the permit NPDES Permit Writers' Manual  21 Chapter 3 Overview of the NPDES Permitting Process application ( e. g., type of activity, nature of discharge, receiving water quality). The permit is then issued to the facility for a specific time period ( not to exceed 5 years)

with a requirement to reapply prior to the expiration date.

A general permit is developed and issued by a permitting authority to cover multiple facilities within a specific category. General permits may offer a cost effective option for agencies because of the large number of facilities that can be covered under a single permit. According to 40 CFR § 122.28, general permits may be written to cover categories of point sources having common elements, such as:

° Storm water point sources ° Facilities that involve the same or substantially similar types of operations ° Facilities that discharge the same types of wastes or engage in the same types of sludge use or disposal ° Facilities that require the same effluent limitations or operating conditions, or standards for sewage sludge use or disposal ° Facilities that require the same monitoring where tiered conditions may be used for minor differences within class ( e. g., size or seasonal activity)

° Facilities that are more appropriately regulated by a general permit.

General permits, however, may only be issued to dischargers within a specific geographical area such as the following:

° Designated planning area ° Sewer district ° City, county, or State boundary ° State highway system ° Standard metropolitan statistical area ° Urbanized area.

The use of general permits allows the permitting authority to allocate resources in a more efficient manner and to provide more timely permit coverage. For example,

a large number of facilities that have certain elements in common may be covered under a general permit without expending the time and money necessary to issue an individual permit to each of these facilities. In addition, the use of a general permit ensures consistency of permit conditions for similar facilities.

22  NPDES Permit Writers' Manual Overview of the NPDES Permitting Process Chapter 3 3.2 Major Components of a Permit All NPDES permits, at a minimum, consist of five general sections:

° Cover Page   Typically contains the name and location of the permittee, a statement authorizing the discharge, and a listing of the specific locations for which a discharge is authorized.

° Effluent Limitations   The primary mechanism for controlling discharges of pollutants to receiving waters. The majority of the permit writer's time is spent deriving appropriate effluent limitations based on applicable technology and water quality standards.

° Monitoring and Reporting Requirements   Used to characterize wastestreams and receiving waters, evaluate wastewater treatment efficiency, and determine compliance with permit conditions.

° Special Conditions   Conditions developed to supplement effluent limitations guidelines. Examples include best management practices ( BMPs), additional monitoring activities, ambient stream surveys, toxicity reduction evaluations ( TREs), etc.

° Standard Conditions   Pre established conditions that apply to all NPDES permits and that delineate the legal, administrative, and procedural requirements of the NPDES permit.

Although these sections compose all permits, the contents of some of these sections will vary depending on whether the permit is to be issued to a municipal or industrial facility, and whether the permit will be issued to an individual facility or to multiple dischargers ( i. e., a general permit). Exhibit 3 1 shows the components of a permit and highlights some of the distinctions between the contents of NPDES permits for industrial and municipal permits.

3.3 Overview of the Development/ Issuance Process for NPDES Individual Permits While the limits and conditions in an individual NPDES permit are unique to the permittee, the process used to develop the limits and conditions, and issue the permit,

generally follows a common set of steps. Exhibit 3 2 illustrates the major steps involved in developing and issuing an individual NPDES permit. Exhibit 3 2 also serves as an index for the subsequent chapters of this manual by identifying the chapters where more detailed information for each step is presented.

NPDES Permit Writers' Manual  23 Chapter 3 Overview of the NPDES Permitting Process The permitting process begins when an application is submitted by the operator EXHIBIT 3 1 NPDES Permit Components Industry Specific Components Components of All NPDES Permits Municipal Specific Components Cover Page Technology Based: ° Effluent Guidelines ° Best Professional Judgment ( BPJ). Effluent Limitations:

  Technology Based   Water Quality Based Technology Based: ° Secondary Treatment ° Equivalent to Secondary Treatment.

Monitoring and Reporting Requirements Other Requirements: ° Best Management Practices ( BMP). Special Conditions:

  Compliance Schedules   Storm Water   Special Studies, Evaluation, and Other Requirements Other Requirements: ° Pretreatment Program ° Combined Sewer Overflow ° Municipal Sewage Sludge.

Standard Conditions of a facility. After receiving the application and making a decision to proceed with the permit, the permit writer reviews the application for completeness and accuracy.

When the application is determined to be complete, the permit writer begins to develop the draft permit and the justification for the permit conditions ( referred to as the fact sheet or statement of basis) based, in part, on the application data.

The first major step in the permit development process is the derivation of technology based effluent limits. Following this step, the permit writer derives effluent limits that are protective of State water quality standards ( i. e., water quality based effluent limits ( WQBEL)). The permit writer then compares the technology based limits with the WQBELs and applies the more stringent limits in the NPDES permit. The 24  NPDES Permit Writers' Manual Overview of the NPDES Permitting Process Chapter 3 EXHIBIT 3 2 Major Steps Involved in Developing and Issuing an Individual NPDES Permit [ flow chart w/ index ]

NPDES Permit Writers' Manual  25 Chapter 3 Overview of the NPDES Permitting Process decision making process for deriving limits is documented in the permit fact sheet. It is quite possible that a permit may have limitations that are technology based for some parameters and water quality based for others. For example, a permit may contain an effluent limit for TSS based on national effluent limitations guidelines ( technology based), a limit for ammonia based on prevention of aquatic toxicity ( water quality based), and a BOD 5 limit based for part of the year on effluent limitations guidelines ( technology based) and for the remainder of the year on water quality considerations.

Following the development of effluent limits, the permit writer develops appropriate monitoring and reporting conditions, facility specific special conditions, and includes standard conditions that are the same for all permits.

The next step is to provide an opportunity for public participation in the permit process. A public notice is issued announcing the permit and interested parties may submit comments regarding the draft permit. Based on the comments, the permitting authority then finalizes the permit, with careful attention to documenting the process and decisions for the administrative record, and issues the final permit to the facility.

3.4 Overview of the Development/ Issuance Process for NPDES General Permits The process for developing and issuing general NPDES permits is similar to the process for individual permits, however, there are certain differences. In the general permit development/ issuance process, the permitting authority first identifies the need for a general permit, and collects data that demonstrate that a group or category of dischargers have similarities that warrant a general permit. In deciding whether to develop a general permit, permitting authorities should consider the following:

° Are there a large number of facilities to be covered?

° Do the facilities have similar production processes or activities?

° Do the facilities generate similar pollutants?

° Do only a small percentage of the facilities have the potential for water quality standards violations?

26  NPDES Permit Writers' Manual Overview of the NPDES Permitting Process Chapter 3 The remaining steps of the permit process are the same as the individual permits. A draft permit and fact sheet are developed, a public notice is issued and public comments are addressed, the issues are documented for the administrative record, and the final permit is issued. After the general permit has been issued,

facilities that wish to be covered under the general permit then generally submit a Notice of Intent ( NOI) to the permitting authority. The permitting authority may then either request additional information describing the facility, notify the facility that it is covered by the general permit, or require the facility to apply for an individual permit.

3.5 Roles and Responsibilities of the Federal and State Authorities EPA is authorized under the CWA to directly implement the NPDES Program.

EPA, however, may authorize States, Territories, or Tribes to implement all or parts of the national program. States, Territories, or Tribes applying for authorization may seek the authority to implement the base program ( i. e., issue individual NPDES permits for industrial and municipal sources), and may seek authorization to implement other parts of the national program including, Federal facilities, the national pretreatment program, general permits, and/ or the municipal sewage sludge program.

If the State has only partial authority ( e. g., only the base NPDES permits program),

EPA will implement the other program activities ( e. g., pretreatment program, Federal facilities, and sewage sludge program). For example, where a State has an approved NPDES Program but has not received EPA approval of its State sludge management program, the EPA Region is responsible for including conditions to implement the Part 503 Standards for the Use or Disposal of Sewage Sludge in NPDES permits issued to treatment works in that State. EPA may issue a separate NPDES permit with the applicable sewage sludge standards and requirements, or negotiate with the State on joint issuance of NPDES permits containing the Part 503 sewage sludge standards.

The same process also applies where a State has not received approval of its pretreatment program or Federal facilities. One exception to this process is where a NPDES authorized State, Territory, or Tribe is not approved to implement the general permit program. In these cases, EPA may not issue a general permit in that State,

Territory, or Tribe.

In general, once a State, Territory, or Tribe is authorized to issue permits, EPA is prohibited from conducting these activities. However, EPA must be provided with NPDES Permit Writers' Manual  27 Chapter 3 Overview of the NPDES Permitting Process an opportunity to review each permit issued by the State, Territory, or Tribe and may formally object to elements that conflict with Federal requirements. If the permitting agency does not address the objection points, EPA will issue the permit directly.

Once a permit is issued through a government agency, it is enforceable by the approved State, Territorial, and Federal agencies ( including EPA) with legal authority to implement and enforce the permit, and by private citizens ( in Federal court).

28  NPDES Permit Writers' Manual Chapter 2 Regulatory Framework and Scope of the NPDES Program This chapter provides a discussion of the regulatory framework of the NPDES Program, identifies the types of activities regulated under the NPDES Program, and discusses the program areas that address the various types of regulated activities.

2.1 Regulatory Framework of the NPDES Program Chapter 1 discussed how Congress, in Section 402 of the CWA, required EPA to develop and implement the NPDES permit program. While Congress' intent was established in the CWA, EPA had to develop specific regulations to carry out the congressional mandate. The primary regulations developed by EPA to implement and administer the NPDES Program are found in Title 40 of the Code of Federal Regulations ( CFR) Part 122.

The CFR is a set of documents listing all regulations issued by every United States government agency. The CFR is published by the National Archives and Records Service of the General Services Administration. The CFR is updated annually based on the regulations published daily in the Federal Register ( FR).

NPDES Permit Writers' Manual  7 Chapter 2 Regulatory Framework and Scope of the NPDES Program The FR is the vehicle by which EPA and other branches of the Federal government provide notice of, propose, and promulgate regulations. Although all of the regulations can be found in the CFR, the background and implementation information related to these regulations can be found in the preamble to the regulations contained in the FR. This information is important to the permit writer because it explains the regulatory basis upon which permitting decisions are made.

An outline of the Federal NPDES regulations ( 40 CFR Part 122) is provided in Exhibit 2 1. Other parts of 40 CFR that are related to the NPDES Program include:

° 40 CFR Part 123 ( State program requirements)

° 40 CFR Part 124 ( procedures for decision making)

° 40 CFR Part 125 ( technology based standards)

° 40 CFR Part 129 ( toxic pollutant standards)

° 40 CFR Part 130 ( water quality management plans)

° 40 CFR Part 131 ( water quality based standards)

° 40 CFR Part 133 ( sewage secondary treatment regulations)

° 40 CFR Part 135 ( citizen suits)

° 40 CFR Part 136 ( analytical procedures)

° 40 CFR Part 257 ( State sludge disposal regulations)

° 40 CFR Part 401 ( general effluent guidelines provisions)

° 40 CFR Part 403 ( general pretreatment regulations)

° 40 CFR Parts 405 471 ( effluent limitations guidelines)

° 40 CFR Part 501 ( State sludge permitting requirements)

° 40 CFR Part 503 ( sewage sludge disposal standards).

An index to the NPDES regulations is provided in Appendix A. This index groups the regulatory requirements by subject area to provide the permit writer easier access to specific provisions.

2.2 Scope of the NPDES Program Under the NPDES Program, all facilities which discharge pollutants from any point source into waters of the United States are required to obtain a NPDES permit.

Understanding how each of the key terms (" pollutant," " point source," and " waters of 8  NPDES Permit Writers' Manual Regulatory Framework and Scope of the NPDES Program Chapter 2 EXHIBIT 2 1 Federal NPDES Regulations ( 40 CFR Part 122)

Subpart A  Definitions and General Program Requirements 122.1 Purpose and Scope of NPDES Program 122.2 Definitions 122.3 Exclusions 122.4 Prohibitions 122.5 Effect of a Permit 122.6 Continuation of Expired Permits 122.7 Confidentiality of Information Subpart B  Permit Application and Special NPDES Program Requirements 122.21 Applications 122.22 Signatures Requirements for Applications 122.23 Animal Feeding Operations 122.24 Aquatic Animal Production 122.25 Aquaculture 122.26 Storm Water Discharges 122.27 Silviculture 122.28 General Permits 122.29 New Sources and New Discharges Subpart C  Permit Conditions 122.41 Standard Conditions 122.42 Standard Conditions Applicable to Specified Categories 122.43 Permit Conditions 122.44 Permit Limitations ( a) Technology Basis ( b) Other Basis ( not WQ) ( c) Reopeners ( d) Water Quality Basis ( e) Priority Pollutants ( f) Notification Levels ( g) 24 Hour Reporting ( h) Duration of Permits ( i) Monitoring ( j) Pretreatment Program ( k) Best Management Practices ( l) Anti Backsliding ( m) Private Treatment Works ( n) Grants ( o) Sludge ( p) Coast Guard ( q) Navigation 122.45 Calculating Limitations ( a) Discharge Points ( b) Production Basis ( c) Metals ( d) Continuous Discharges ( e) Non continuous Discharges ( f) Mass Based Limits ( g) Intake Water Pollutants ( h) Internal Waste Streams ( i) Discharge into Wells 122.46 Duration of Permits 122.47 Schedules of Compliance 122.48 Reporting 122.49 Consideration of Other Federal Laws 122.50 Disposal to Other Points Subpart D  Transfer, Modification, Revocation and Reissuance, and Termination of Permit 122.61 Transfer of Permits 122.62 Modification or Revocation and Reissuance of Permits 122.63 Minor Modifications of Permits 122.64 Termination of Permits NPDES Permit Writers' Manual  9 Chapter 2 Regulatory Framework and Scope of the NPDES Program the United States") have been defined and interpreted by the regulations is the key to defining the scope of the NPDES Program.

Pollutant The term " pollutant" is defined very broadly by the NPDES regulations and includes any type of industrial, municipal, and agricultural waste discharged into water ( see glossary). For regulatory purposes, pollutants have been grouped into three general categories under the NPDES Program: conventional, toxic, and nonconventional. By definition, there are five conventional pollutants: 5 day biochemical oxygen demand ( BOD 5), total suspended solids ( TSS), fecal coliform, pH,

and oil and grease. Toxic or " priority" pollutants are those defined in Section 307( a)( 1)

of the CWA ( and listed in 40 CFR § 401.15) and include metals and manmade organic compounds. Nonconventional pollutants are those which do not fall under either of the above categories and include such parameters as ammonia, nitrogen, phosphorus,

chemical oxygen demand ( COD), and whole effluent toxicity ( WET).

Point Source Pollutants can enter waters of the United States from a variety of pathways including agricultural, domestic and industrial sources ( see Exhibit 2 2). For regulatory purposes these sources are generally categorized as either " point sources"

or " non point sources." Typical point source discharges include discharges from publicly owned treatment works ( POTWs), industrial facilities, and discharges associated with urban runoff. While provisions of the NPDES Program do address certain specific types of agricultural activities ( i. e., concentrated animal feeding operations), the majority of agricultural facilities are defined as non point sources and are exempt from NPDES regulation.

Pollutant contributions to waters of the United States may come from both " direct" and " indirect" sources. " Direct" sources discharge wastewater directly into the receiving waterbody, whereas " indirect" sources discharge wastewater to a POTW,

which in turn discharges into the receiving waterbody. Under the national program,

NPDES permits are issued only to direct point source discharges. Industrial and commercial indirect dischargers are controlled by the national pretreatment program ( see Section 8.3.1).

10  NPDES Permit Writers' Manual Regulatory Framework and Scope of the NPDES Program Chapter 2 As indicated above, the primary focus of the NPDES permitting program is EXHIBIT 2 2 Sources of Discharge to Waters of the United States [ ducks, deer, and sewage picture ]

municipal and non municipal ( industrial) direct dischargers. Within these major categories of dischargers, however, there are a number of more specific types of discharges that are regulated under the NPDES Program. Exhibit 2 3 provides an overview of the scope of the NPDES Program and identifies the program areas that control various categories of wastewater discharges.

Municipalities ( e. g., POTWs receive primarily domestic sewage from residential and commercial customers. Larger POTWs will also typically receive and treat wastewater from industrial facilities ( indirect dischargers) connected to the POTW sewerage system. The types of pollutants treated by a POTW, therefore, will always include conventional pollutants ( BOD 5, TSS, pH, oil and grease, fecal coliform), and will include nonconventional and toxic pollutants depending on the unique characteristics of the commercial and industrial sources discharging to the POTW.

The treatment typically provided by POTWs includes physical separation and settling ( e. g., screening, grit removal, primary settling), biological treatment ( e. g., trickling filters, activated sludge), and disinfection ( e. g., chlorination, UV, ozone). These processes produce the treated effluent and a biosolids ( sludge) residual. An additional NPDES Permit Writers' Manual  11 Chapter 2 Regulatory Framework and Scope of the NPDES Program concern to some older POTWs are " combined sewer" systems ( i. e., sewerage systems EXHIBIT 2 3 NPDES Program Areas and Applicable Regulations Source Activity Program Areas Applicable Regulations Municipal Municipal Effluent Discharge NPDES Point Source Control Program 40 CFR 122 40 CFR 125 40 CFR 133 Indirect Industrial/ Commercial Discharges Pretreatment Program 40 CFR 122 40 CFR 403 40 CFR 405 499 Municipal Sludge Use and Disposal Municipal Sewage Sludge Program 40 CFR 122 40 CFR 257 40 CFR 501 40 CFR 503 Combined Sewer Overflow ( CSO) Discharges CSO Control Program 40 CFR 122 40 CFR 125 Storm Water Discharges ( Municipal) Storm Water Program 40 CFR 122 40 CFR 125 Industrial Process Wastewater Discharges NPDES Point Source Control Program 40 CFR 122 40 CFR 125 40 CFR 405 499 Non process Wastewater Discharges NPDES Point Source Control Program 40 CFR 122 40 CFR 125 Storm Water Discharges ( Industrial) Storm Water Program 40 CFR 122 40 CFR 125 that are designed to collect both sanitary sewage and storm water). Exhibit 2 3 illustrates how the NPDES Program is structured to control all of the various types of pollutant sources and wastestreams that contribute to municipal point sources.

Non municipal sources, which include industrial and commercial facilities, are unique with respect to the products and processes present at the facility. Unlike municipal sources, the types of raw materials, production processes, treatment technologies utilized, and pollutants discharged at industrial facilities vary widely and are dependent on the type of industry and specific facility characteristics. The 12  NPDES Permit Writers' Manual Regulatory Framework and Scope of the NPDES Program Chapter 2 operations, however, are generally carried out within a more clearly defined plant area;

thus, collection system considerations are generally much less complex than for POTWs. In addition, residuals ( sludge) generated by industrial facilities are not currently regulated by the NPDES Program. Industrial facilities may have discharges of storm water that may be contaminated through contact with manufacturing activities,

or raw material and product storage. Industrial facilities may also have non process wastewater discharges such as non contact cooling water. As illustrated in Exhibit 2 3, the NPDES Program addresses each of these potential wastewater sources for industrial facilities.

Waters of the United States The term " waters of the United States," has been defined by EPA to include:

° Navigable waters ° Tributaries of navigable waters ° Interstate waters ° Intrastate lakes, rivers, and streams:

  Used by interstate travelers for recreation and other purposes; or   Which are the source of fish or shellfish sold in interstate commerce; or   Which are utilized for industrial purposes by industries engaged in interstate commerce.

The intent of this definition is to cover all possible waters within Federal jurisdiction under the framework of the Constitution ( i. e., Federal versus State authorities). The definition has been interpreted to include virtually all surface waters in the United States, including wetlands and ephemeral streams. As a general matter, groundwater is not considered a waters of the United States. Therefore discharges to groundwater are not subject to NPDES requirements. If, on the other hand, there is a discharge to groundwater that results in a " hydrological connection" to a nearby surface water, the Director may require the discharger to apply for an NPDES permit. [ Note: Because States maintain jurisdiction over groundwater resources, they may choose to require NPDES permits for discharges to groundwater.]

NPDES Permit Writers' Manual  13 Chapter 2 Regulatory Framework and Scope of the NPDES Program 2.3 NPDES Program Areas As indicated in Exhibit 2 3, the national NPDES Program includes provisions that address several different types of discharges from municipal and industrial sources. This section provides a brief description of how the NPDES Program addresses each of these program areas.

2.3.1 NPDES Program Areas Applicable to Municipal Sources The NPDES permitting program focuses on the development of effluent limits and conditions for the discharge of treated effluent. The NPDES Program, however,

also incorporates other control measures to address certain types and categories of discharges that may be present at some municipal facilities. A description of these control measures, and a discussion of how they are incorporated into the permitting process is provided below.

National Pretreatment Program The national pretreatment program regulates the discharges of wastewater from non domestic ( i. e., industrial and commercial) facilities that discharge to POTWs ( i. e.,

" indirect" discharges). The pretreatment program requires industrial and commercial indirect dischargers to " pretreat" their wastes, as necessary, prior to discharge to POTWs, to prevent interference or upset to the operation of the POTW. The Federal program also requires many indirect dischargers to meet technology based requirements similar to those for direct dischargers. The pretreatment program is generally implemented directly by the POTW receiving indirect discharges, under authority granted through the NPDES permit. The Federal regulations specifying which POTWs must have pretreatment programs, and the authorities and procedures that must be developed by the POTW prior to program approval are found in 40 CFR Part 403. The implementation of a local pretreatment program is typically included as a special condition in NPDES permits issued to POTWs. The incorporation of pretreatment special conditions is discussed in Chapter 8.

Municipal Sewage Sludge Program Section 405 of the CWA requires that all NPDES permits issued to POTWs and other Treatment Works Treating Domestic Sewage ( TWTDS) contain conditions 14  NPDES Permit Writers' Manual Regulatory Framework and Scope of the NPDES Program Chapter 2 implementing 40 CFR Part 503 Standards for the Use and Disposal of Sewage Sludge. Thus, POTWs and other TWTDS must submit permit applications for their sludge use or disposal practices. TWTDS include sewage sludge incinerators,

sewage sludge surface disposal sites, and facilities that do not discharge to waters of the United States ( sludge only facilities such as sludge composting facilities that treat sewage sludge).

The permitting regulations can be found at 40 CFR Part 122 for the Federal program. Regulations for State program approval are found at 40 CFR Parts 123 or 501 ( depending on whether the State wishes to administer the sewage sludge program under its NPDES Program or under another program, e. g., a solid waste program). The technical regulations governing sewage sludge use and disposal are contained in 40 CFR Part 503. Where applicable, sludge management requirements are included as a special condition in permits issued to POTWs. The incorporation of special conditions that address sludge requirements is discussed in Chapter 8.

Combined Sewer Overflows Combined sewer systems ( CSS) are wastewater collection systems designed to carry sanitary wastewaters ( commercial and industrial wastewaters) and storm water through a single conduit to a POTW. As of 1995, CSSs serve about 43 million people in approximately 1,100 communities nationwide. During dry weather, CSSs collect and convey domestic, commercial, and industrial wastewater to a POTW; however,

during periods of rainfall or snowmelt, these systems can become overloaded. When this occurs, the CSS overflows at designed relief points, discharging a combination of untreated sanitary wastewaters and storm water directly to a surface water body.

These overflows, called combined sewer overflows ( CSOs), can be a major source of water pollution in communities served by CSSs. CSOs often contain high levels of suspended solids ( SS), pathogenic microorganisms, toxic pollutants, floatables,

nutrients, and other pollutants, causing exceedances of water quality standards.

To address CSOs, EPA issued the National CSO Control Strategy on August 10, 1989 ( 54 FR 37370). While the 1989 Strategy resulted in some progress in controlling CSOs, significant public health risks and water quality impacts remained.

To expedite compliance with the CWA and to elaborate on the 1989 Strategy, EPA, in collaboration with other CSO stakeholders ( communities with CSSs, State water NPDES Permit Writers' Manual  15 Chapter 2 Regulatory Framework and Scope of the NPDES Program quality authorities, and environmental groups), developed and published the CSO Control Policy on April 19, 1994 ( 59 FR 18688). The Policy establishes a uniform,

nationally consistent approach to developing and issuing NPDES permits that address CSOs. With respect to NPDES permittees, State water quality standards authorities,

and NPDES permitting and enforcement authorities, the CSO Policy states the following:

° Permittees should immediately implement the nine minimum controls ( NMCs), which are technology based actions or measures designed to reduce CSOs and their effects on receiving water quality, as soon as practicable, but no later than January 1, 1997.

° Permittees should give priority to environmentally sensitive areas.

° Permittees should develop long term control plans ( LTCPs) for controlling CSOs. A permittee may use one of two approaches: ( 1) demonstrate that its plan is adequate to meet the water quality based requirements of the CWA (" demonstration approach"), or ( 2) implement a minimum level of treatment ( e. g., primary clarification of at least 85% of the collected combined sewage flows) that is presumed to meet the water quality based requirements of the CWA, unless data indicate otherwise (" presumptive approach").

° Water quality standards authorities should review and revise, as appropriate, State water quality standards during the CSO long term planning process.

° NPDES permitting authorities should consider the financial capability of permittees when reviewing CSO control plans.

The CSO Policy recommends that NPDES permitting authorities utilize a phased approach in addressing CSOs. Phase I permits should require the permittee to implement the NMC within two years of notice from the NPDES permitting authority and to develop a LTCP. Phase II permits should require continued implementation of the NMC and implementation of a LTCP.

Prior to issuing a permit that requires conditions that address CSOs, permit writers should consult the CSO Control Policy and associated guidance materials.

The incorporation of permit conditions that address CSOs is provided in Chapter 8.

16  NPDES Permit Writers' Manual Regulatory Framework and Scope of the NPDES Program Chapter 2 Storm Water Program ( Municipal)

EPA has determined that storm water runoff from major metropolitan areas is a significant source of pollutants discharged to waters of the United States. While rainfall and snow are natural events, the nature of runoff and its impact on receiving waters is highly dependent on human activities and use of the land. Runoff from lands modified by human activities ( i. e., metropolitan areas) can affect surface water resources in two ways: ( 1) natural flow patterns can be modified; and ( 2) pollution concentrations and loadings can be elevated.

To address these discharges, the 1987 amendments to the CWA added a provision [ Section 402( p)] that directed EPA to establish phased NPDES requirements for storm water discharges. Section 402( p)( 2) of the Act identifies discharges covered under Phase I of the Storm Water Program and includes discharges from municipal separate storm sewer systems ( MS4s) serving a population of 100,000 or more.

Section 402( p)( 3) identifies the standards for MS4 permits. These standards mark the significant difference in permits that address storm water discharges from MS4s versus permits that address other more traditional sources ( i. e., POTWs and nonmunicipal sources). In general, Congress provided that permits for discharges from MS4s:

° May be issued on a system or jurisdiction wide basis;

° Shall effectively prohibit non storm water discharges into the MS4; and ° Shall require controls to reduce the discharge of pollutants to maximum extent practicable ( MEP).

In response, EPA published regulations addressing storm water discharges from municipal separate storm sewer systems on November 16, 1990 ( 55 FR 47990).

The regulations define a MS4 as any conveyance or system of conveyances that is owned or operated by a State or local government entity designed for collecting and conveying storm water. Under Phase I of the Storm Water Program, only those MS4s which served a population of 100,000 or more were required to apply for a NPDES permit. Unlike permits that are developed and issued to individual POTWs ( also referred to as " municipals"), permits that address storm water discharges from MS4s may be issued on a jurisdiction wide basis to the operator of the storm water collection NPDES Permit Writers' Manual  17 Chapter 2 Regulatory Framework and Scope of the NPDES Program system ( e. g., a county or city public works department). Chapter 8 discusses considerations for developing NPDES permits for storm water discharges from MS4s.

2.3.2 NPDES Program Areas Applicable to Industrial Sources In addition to the development of effluent limits and conditions for discharges of process and non process wastewater from direct dischargers, the NPDES Program also includes provisions for control of storm water discharges from industrial sources.

A description of this program area and a discussion of how it is incorporated into the permitting process is provided below.

Storm Water Program ( Industrial)

All storm water discharges associated with industrial activity that discharge through municipal separate storm sewer systems or that discharge directly into the waters of the United States are required to obtain NPDES permit coverage, including those which discharge through MS4s located in municipalities with a population of less than 100,000. Discharges of storm water to a sanitary sewer system or to a POTW are excluded. As with the Municipal Storm Water Program discussed in Section 2.3.1 above, EPA published the initial permit application requirements for certain categories of storm water discharges associated with industrial activity on November 16, 1990 ( 55 FR 48065).

The regulations define storm water discharges associated with industrial activity as discharges from any conveyance used for collecting and conveying storm water directly related to manufacturing, processing, or raw materials storage areas at an industrial plant. The NPDES permitting regulations at 40 CFR § 122.26 were promulgated on November 16, 1990 ( 55 FR 48065) to identify the following 11 industrial categories required to apply for NPDES permits for storm water discharges:

° Facilities subject to storm water effluent limitations guidelines ( ELG), new source performance standards ( NSPS), or toxic pollutant effluent standards under 40 CFR Subchapter N ° Certain heavy manufacturing facilities ( lumber, paper, chemicals, petroleum refining, leather tanning, stone, clay, glass, concrete, ship construction) ° Active and inactive mining operations and oil and gas operations with contaminated storm water 18  NPDES Permit Writers' Manual Regulatory Framework and Scope of the NPDES Program Chapter 2 ° Hazardous waste treatment, storage, or disposal facilities, including Resource Conservation and Recovery Act ( RCRA) Subtitle C facilities ° Landfills, open dumps, and RCRA Subtitle D facilities ° Recycling facilities, including metal scrapyards, battery reclaimers, salvage yards, and automotive junkyards ° Steam electric power generating facilities, including coal handling sites ° Transportation facilities that have vehicle maintenance shops, equipment cleaning operations, or airport de icing operations ° Major POTW sludge handling facilities, including onsite application of sewage sludge ° Construction activities that disturb five acres or more ° Light industrial manufacturing facilities.

Operators of industrial facilities that are federally, state or municipally owned or operated that meet the description of the facilities listed in 40 CFR 122.26( b)( 14)( 1)

( xi) must also submit applications ( note: the Transportation Act of 1991 provides exceptions for certain municipally owned or operated facilities). EPA published final rules regarding the NPDES Storm Water Regulations on both April 1, 1992 ( 57 FR 11394) and December 18, 1992 ( 57 FR 60444). The rule promulgated on April 2,

1992 was, in part, to codify provisions of the Transportation Act of 1991. The December 18, 1992 rule was in response to the mandate of the Ninth Circuit United States Court of Appeals in NRDC v. EPA ( June 4, 1992). Each of these final rules are summarized below:

° Transportation Act of 1992   The Transportation Act of 1991 provides an exemption from Phase I storm water permitting requirements for certain industrial activities owned or operated by municipalities with a population of less than 100,000 ( note: population threshold not tied to a service population for a MS4). Such municipalities must submit storm water discharge permit applications only for airports, powerplants, and uncontrolled sanitary landfills that they own or operate.

° Ninth Circuit Court Decision   The Ninth Circuit United States Court of Appeals' opinion in NRDC v. EPA ( June 4, 1992) invalidated and remanded for further proceedings two regulatory exemptions from the definition of " storm water discharges associated with industrial activity":

1. The exemption for construction sites disturbing less than five acres of land ( category x), and 2. The exemption of certain " light" manufacturing facilities without exposure of materials and activities to storm water ( category xi).

NPDES Permit Writers' Manual  19 Chapter 2 Regulatory Framework and Scope of the NPDES Program In response to these two remands, EPA intends to conduct further rulemaking proceedings on construction activities under five acres and light industry without exposure. As ordered by the Court, EPA will not require permit applications for construction sites disturbing less than five acres of land and category xi facilities without exposure until this further rulemaking is completed.

Generally, storm water discharges from industrial sources are regulated by Federal or State issued general permits ( see Section 3.1 for a description of the types of NPDES permits). However, in some cases, storm water conditions may be incorporated into a comprehensive individual NPDES permit for a facility, or a storm water specific individual NPDES permit. The incorporation of permit conditions that address storm water discharges from industrial facilities is provided in Chapter 8. For more information regarding the scope of the NPDES Storm Water Program, refer to EPA's storm water regulations at 40 CFR 122.26 and the Overview of the Storm Water Program. 2 2USEPA ( 1996). Overview of the Storm Water Program. EPA 833 R 96 008. Office of Water.

20  NPDES Permit Writers' Manual Chapter 1 Introduction The purpose of this manual is to provide the basic regulatory framework and technical considerations that support the development of wastewater discharge permits as required under the National Pollutant Discharge Elimination System ( NPDES) Program. It is designed for new permit writers, but may also serve as a reference for experienced permit writers. In addition, the manual will serve as a useful source of information for anyone interested in learning about the legal process and technical aspects of developing NPDES permits. This manual updates the Training Manual for NPDES Permit Writers. 1 It is recognized that each United States Environmental Protection Agency ( EPA)

Regional office or approved State will have NPDES permitting procedures adapted to address local situations. Therefore, it is the objective of this manual to explain the minimum national NPDES Program elements common to any State or Regional office that issues NPDES permits. The specific objectives and functions of this training manual are to:

Provide an overview of the scope and regulatory framework of the NPDES Program 1USEPA ( 1993). Training Manual for NPDES Permit Writers. EPA/ B 93 003. Office of Wastewater Management.

NPDES Permit Writers' Manual  1 Chapter 1 Introduction Describe the components of a permit and provide an overview of the permitting process Describe the different types of effluent limits and the legal and technical considerations involved in limit development Describe other permit conditions including:

  special conditions   standard conditions   monitoring and reporting requirements Describe other permitting considerations including:

  variances   anti backsliding   other applicable statutes ( e. g., National Environmental Policy Act, Endangered Species Act, National Historic Preservation Act)

Explain the administrative process for issuing, modifying, revoking and terminating NPDES permits.

This manual is not intended to be a stand alone reference document. Instead,

it is intended to establish the framework for NPDES permit development and should be supplemented, where necessary, by additional EPA and State guidance applicable to specific types of dischargers and circumstances. To this end, the NPDES Permit Writers' Manual identifies and references other guidance documents throughout the text and provides information on how these documents can be obtained. Appendix D of this manual provides the reader with detailed information on how to obtain comprehensive lists of available EPA publications and how these documents can be ordered.

1.1 History and Evolution of the NPDES Program The NPDES Program has evolved from numerous legislative initiatives dating back to the mid 1960s. In 1965, Congress enacted legislation requiring States to develop water quality standards for all interstate waters by 1967. However, despite increasing public concern and increased Federal spending, only about 50 percent of the States had established water quality standards by 1971. Enforcement of the Federal legislation was minimal because the burden of proof lay with the regulatory agencies in demonstrating that a water quality problem had implications for human health or violated water quality standards. Specifically, the agencies had to demonstrate a direct link between a discharger and a water quality problem in order to enforce against a discharger. The lack of success in developing adequate water 2  NPDES Permit Writers' Manual Introduction Chapter 1 quality standards programs, combined with ineffective enforcement of Federal water pollution legislation prompted the Federal government to advance the 1970 Refuse Act Permit Program ( RAPP), under the Rivers and Harbors Act of 1899, as a vehicle to control water pollution.

RAPP required any facility that discharged wastes into public waterways to obtain a Federal permit specifying abatement requirements from the United States Army Corps of Engineers. The Administrator of EPA endorsed the joint program with the Corps of Engineers, and on December 23, 1970, the permit program was mandated through Presidential Order. EPA and the Corps of Engineers rapidly began to prepare the administrative and technical basis for the permit program. However, in December 1971, RAPP was struck down by a decision of the Federal District Court in Ohio ( Kalur v. Resor), which held that the issuance of a permit for an individual facility could require the preparation of an environmental impact statement under the National Environmental Policy Act ( NEPA) of 1969. The concept of a permit program survived,

however, and, in November 1972, Congress passed a comprehensive recodification and revision of Federal water pollution control law, known as the Federal Water Pollution Control Act amendments of 1972. These amendments included the NPDES permit program as the centerpiece of the efforts for national water pollution control.

The enactment of the 1972 amendments marked a distinct change in the philosophy of water pollution control in the United States. The amendments maintained the water quality based controls, but added an equal emphasis on a technology based, or end of pipe, control strategy. The 1972 Act established a series of goals or policies in Section 101 that illustrated Congressional intent. Perhaps the most notable was the goal that the discharge of pollutants into navigable waters be eliminated by 1985. This goal was not realized, but remains a principle for establishing permit requirements. The Act had an interim goal to achieve " water quality which provides for the protection and propagation of fish, shellfish, and wildlife and provides for recreation in and on the water" by July 1, 1983. This is more commonly known as the " fishable, swimmable" goal. The Act also contained four important principles:

The discharge of pollutants to navigable waters is not a right.

A discharge permit is required to use public resources for waste disposal and limits the amount of pollutants that may be discharged.

NPDES Permit Writers' Manual  3 Chapter 1 Introduction Wastewater must be treated with the best treatment technology economically achievable   regardless of the condition of the receiving water.

Effluent limits must be based on treatment technology performance, but more stringent limits may be imposed if the technology based limits do not prevent violations of water quality standards in the receiving water.

More specifically, Title IV of the Act created a system for permitting wastewater discharges ( Section 402), known as the National Pollutant Discharge Elimination System ( NPDES), with the objective to implement the goals and objectives of the Act.

An outline of the Titles contained in the Act is provided as Exhibit 1 1.

EXHIBIT 1 1 Organization of the Clean Water Act Title I   Research and Related Programs Title II   Grants for Construction of Treatment Works Title III   Standards and Enforcement ° Section 301 Effluent Limitations ° Section 302 Water Quality Related Effluent Limitations ° Section 303 Water Quality Standards and Implementation Plans ° Section 304 Information and Guidelines [ Effluent] ° Section 305 Water Quality Inventory ° Section 307 Toxic and Pretreatment Effluent Standards.

Title IV   Permits and Licenses ° Section 402 National Pollutant Discharge Elimination System ( NPDES) ° Section 405 Disposal of Sewage Sludge.

Title V   General Provisions ° Section 502 Definitions ° Section 510 State Authority ° Section 518 Indian Tribes.

Title VI   State Water Pollution Control Revolving Funds 4  NPDES Permit Writers' Manual Introduction Chapter 1 The first round of NPDES permits issued between 1972 and 1976 provided for control of a number of traditionally regulated pollutants, but focused on 5 day biochemical oxygen demand ( BOD 5), total suspended solids ( TSS), pH, oil and grease,

and some metals, by requiring the use of the Best Practicable Control Technology currently available ( BPT). The Act established a July 1, 1977, deadline for all facilities to be in compliance with BPT. Additionally, the Act established the compliance deadline for installing Best Available Technology Economically Achievable ( BAT) as July 1, 1983. Most of the major permits issued to industrial facilities in the first round of NPDES permitting contained effluent limitations based on Best Professional Judgment ( BPJ) because regulations prescribing nationally uniform, technology based effluent limitations were generally unavailable. The second round of permitting in the late 1970s and early 1980s began to emphasize the control of toxics, but, due to a lack of information on treatability, failed to complete the task.

EPA's failure to develop adequate controls for toxic discharges under the 1972 Act prompted the Natural Resources Defense Council ( NRDC) to sue EPA. [ NRDC v.

Train, 8 E. R. C. 2120 ( D. D. C. 1976)]. The suit was settled through a court supervised " consent decree" in 1976. The consent decree identified ( 1) the " priority" pollutants to be controlled; ( 2) the " primary industries" for technology based control; and ( 3) the methods for regulating toxic discharges through the authorities of the 1972 Act. The provisions of the consent decree were incorporated into the framework of the 1977 amendments of the Act, and resulted in the Act's refocus toward toxics control.

The 1977 amendments to the legislation, known formally as the Clean Water Act ( CWA) of 1977, shifted emphasis from controlling conventional pollutants to controlling toxic discharges. This era of toxic pollutant control is referred to as the second round of permitting. The concept of BAT controls was clarified and expanded to include toxic pollutants. Hence, the compliance deadline for BAT was extended to July 1, 1984. The conventional pollutants ( BOD 5, TSS, pH, fecal coliform, and oil and grease) controlled by BPT in the first round of permitting were now subject to a new level of control, termed Best Conventional Pollutant Control Technology ( BCT). The compliance deadline for meeting BCT was also July 1, 1984.

On February 4, 1987, Congress amended the CWA with the Water Quality Act ( WQA) of 1987. The amendments outlined a strategy to accomplish the goal of NPDES Permit Writers' Manual  5 Chapter 1 Introduction meeting water quality standards set by the States. The WQA required all States to identify waters that were not expected to meet water quality standards after technology based controls on point sources have been imposed. The State must then prepare an individual control strategy to reduce toxics from point and nonpoint sources in order to meet the water quality standards. Among other measures, these plans were expected to address control of pollutants beyond technology based levels.

The WQA once again extended the time to meet BAT and BCT effluent limitations. The new compliance deadline was no later than March 31, 1989. The WQA also established new schedules for industrial and municipal storm water discharges to be regulated by NPDES permits. Industrial storm water discharges must meet the equivalent of BCT/ BAT effluent quality. Discharges from municipal separate storm sewer systems ( MS4) required controls to reduce the discharge of pollutants to the maximum extent practicable ( MEP). Additionally, the WQA required EPA to identify toxics in sewage sludge and establish numerical limits to control these pollutants. The WQA also established a statutory anti backsliding requirement that would not allow an existing permit to be modified or reissued with less stringent effluent limitations, standards, or conditions than those already imposed. There were a few exceptions for technology based limits, but in no case could the limits be less stringent than existing effluent guidelines ( unless a variance has been granted) or violate water quality standards.

6  NPDES Permit Writers' Manual List of Acronyms Acronym Full Phrase ACR Acute to Chronic Ratio ANPRM Advanced Notice of Proposed Rulemaking ASR Alternative State Requirement ASTM American Society for Testing and Materials BAT Best Available Technology Economically Achievable BCT Best Conventional Pollutant Control Technology BMP Best Management Practice BOD Biochemical Oxygen Demand BOD 5 5 day BOD BPJ Best Professional Judgment BPT Best Practicable Control Technology Currently Available CBOD Carbonaceous BOD CERCLA Comprehensive Environmental Response, Compensation and Liabilities Act CERI Center for Environmental Research Information CFR Code of Federal Regulations ChV Chronic Value COD Chemical Oxygen Demand CSO Combined Sewer Overflow CSS Combined Sewer System CV Coefficient of Variation CWA Clean Water Act DMR Discharge Monitoring Report DO Dissolved Oxygen DWO Dry Weather Overflow EIS Environmental Impact Statement ELG Effluent Limitations Guidelines EMMI Environmental Monitoring Methods Index EPA Environmental Protection Agency ESA Endangered Species Act FDF Fundamentally Different Factor FR Federal Register FWS Fish and Wildlife Service GC Gas Chromatography GC/ MS Gas Chromatography/ Mass Spectroscopy gpd Gallons per Day IC Inhibition Concentration NPDES Permit Writers' Manual  A 1 List of Acronyms I/ I Infiltration/ Inflow LA Load Allocation LC Lethal Concentration LC 50 Concentration at which 50% of test organisms die in a specified time period LD 50 Dose at which 50% of test organisms die in a specific time period LOEC Lowest Observed Effect Concentration LTA Long Term Average LTCP Long Term Control Plan MCL Maximum Contaminant Level MDL Method Detection Limit MEP Maximum Extent Practicable mg/ l Milligram per Liter mgd Million Gallons per Day MPN Most Probable Number MS4 Municipal Separate Storm Sewer System NEPA National Environmental Policy Act NHPA National Historic Preservation Act NMC Nine Minimum Controls NMFS National Marine Fisheries Service NOEC No Observable Effect Concentration NOI Notice of Intent NPDES National Pollutant Discharge Elimination System NSPS New Source Performance Standards NTIS National Technical Information Service O& M Operations and Maintenance PCS Permit Compliance System PL Public Law POTW Publicly Owned Treatment Works PPETS Pretreatment Permits and Enforcement Tracking System PPIC Pollution Prevention Information Clearinghouse PQL Practical Quantification Limit PSD Prevention Significant Deterioration PSES Pretreatment Standards for Existing Sources PSNS Pretreatment Standards for New Sources QA Quality Assurance QC Quality Control QNCR Quarterly Noncompliance Report RAPP Refuse Act Permit Program R& D Research and Development RCRA Resource Conservation and Recovery Act RNC Reportable Noncompliance SIC Standard Industrial Classification SIP State Implementation Plan SNC Significant Noncompliance SPCC Spill Prevention Control and Countermeasure Plan A 2  NPDES Permit Writers' Manual List of Acronyms SS Suspended Solids SSO Sanitary Sewer Overflow STORET EPA Storage and Retrieval Database TCLP Toxicity Characteristic Leaching Procedure TIE Toxicity Identification Evaluation TKN Total Kjeldahl Nitrogen TOC Total Organic Carbon TMDL Total Maximum Daily Load TRC Technical Review Criteria TRE Toxicity Reduction Evaluation TRI Toxic Release Inventory TS Total Solids TSCA Toxic Substances Control Act TSD Technical Support Document TSDF Treatment, Storage, and Disposal Facility TSS Total Suspended Solids TTO Total Toxic Organics TUa acute Toxic Units TUc chronic Toxic Units TVS Total Volatile Solids TWTDS Treatment Works Treating Domestic Sewage USC United States Code USGS United States Geological Survey VOC Volatile Organic Compound WET Whole Effluent Toxicity WLA Waste Load Allocation WQA Water Quality Act of 1987 WQBEL Water Quality Based Effluent Limit( s) WQS Water Quality Standard( s)

NPDES Permit Writers' Manual  A 3 United States Office of Water Environmental Protection Washington, DC Agency NPDES Permit Writers' Manual December 1996 The statements in this document are intended solely as guidance. This document is not intended, nor can it be relied on, to create any rights enforceable by any party in litigation with the United States. EPA and State officials may decide to follow the guidance provided in this document, or to act at variance with the guidance, based on an analysis of specific site circumstances. This guidance may be revised without public notice to reflect changes in EPA's policy.

Office of Wastewater Management U. S. Environmental Protection Agency Washington, DC 20460 Acknowledgements The revisions to this manual were made possible through a cooperative team effort led by Dan Weese, Office of Wastewater Management. EPA gratefully acknowledges the contributions of the team members involved in this effort ( Greg Currey and Pat Bradley) for the countless hours spent and determination in bringing this effort to completion. Their commitment and dedication to this product was key to the NPDES Program's mission of providing comprehensive programmatic guidance and technical support to its stakeholders. The revisions to this manual would not have been realized without their assistance. EPA also wishes to thank Dave Hair and Jim Parker of Science Applications International Corporation for their contributions and invaluable support provided under contract 68 C4 0034.

The primary contact regarding questions or comments to this manual is:

Dan Weese, Environmental Engineer Office of Wastewater Management Permits Division ( 4203) U. S. Environmental Protection Agency 401 M Street, SW Washington, DC 20460 Cover Photo: Lower Yellowstone Falls Yellowstone National Park Photograph by Dave Hair Foreword Since its establishment in the 1972 amendments to the Federal Water Pollution Control Act, the National Pollutant Discharge Elimination System ( NPDES) Program has achieved significant reductions in pollutant discharges, which in turn has resulted in tremendous improvement to the quality of our Nation's water resources. As we move into the 21st century, the objective of the national program will not only be to develop solutions which address remaining impacts to surface waters, but to do so in ways that continue to improve the effectiveness of the NPDES Program and allow us to measure environmental progress and results.

As EPA and States take steps to improve the NPDES Program and how it is implemented, it is essential that all parties involved understand the fundamental basis of the NPDES Program. The NPDES Permit Writers' Manual is principally designed to help permit writers prepare legally defensible and enforceable NPDES permits. Its purpose is to serve as a useful resource in providing the technical and legal considerations which support the development of NPDES permits. However, the manual is also intended to serve as a resource for others, including stakeholders and the regulated community, interested in the NPDES permitting process. Only after reaching some common level of understanding of the NPDES Program and the issues surrounding the permitting process, can EPA, State permitting authorities, and stakeholders develop optimal solutions to improve the quality of our surface water resources. To that end, I would like to take this opportunity to highlight some of the changes taking place within the NPDES Program:

° Stakeholder Involvement and Public Participation   EPA is committed to getting permittees and other interested parties involved at an early stage of the permit development and decision making process. For example, several NPDES authorities involve permittees and stakeholders in the permit development phase before the public notice process. This early involvement provides an opportunity for the permitting authorities, permittees and stakeholders to identify errors, address questions and develop optimal solutions.

° Watershed Approach   The Watershed Approach is EPA's renewed emphasis to address all stressors within a hydrologically defined drainage basin instead of viewing individual pollutant sources in isolation of other stressors. The watershed approach allows us to recognize that the health of our water resources are the result of complex interactions of various pollution sources, habitat conditions, flow and many other factors. EPA believes that these problems are best addressed through the development of watershed plans that integrate controls of point and nonpoint sources and provide decision makers with an opportunity to consider issues such as Foreword protection and restoration of habitats, drinking water sources, ground water protection and other environmental and social objectives. EPA strongly encourages innovative approaches that implement NPDES requirements in ways that achieve greater environmental results at the least cost.

° Refining of Point Source Focus   As we place greater emphasis on environmental results we realize that certain sources of pollution may require increased national attention to achieve local watershed goals. EPA is actively engaged with States, environmental groups and the regulated community to address pollution problems from wet weather sources ( CSOs, storm water and sanitary sewer overflows), mining operations, concentrated animal feeding operations and other key point sources where substantial pollution reduction may be possible. EPA is confident that involving stakeholders in the development of solutions for these remaining sources of pollution will provide optimal solutions.

° Burden Reduction   EPA is also pursuing regulatory reforms to eliminate unnecessary regulations and to reduce administrative burdens. For example, in June 1995, EPA promulgated a rule to eliminate obsolete rules. In 1996, EPA finalized national guidance on ways to reduce reporting and monitoring for permittees that have good historical compliance records.

As we move forward, we will continue to explore ways to promote watershed, streamlining, and reinvention concepts discussed above to facilitate the continual evolution and success of the NPDES Program. As such, this manual is expected to be revised periodically to reflect improvements, regulatory changes, and policy decisions. Thank you for using this permit writers' guide. We hope that it serves as a valuable resource and tool for helping to achieve healthy water resources throughout the Nation. Chapter 4 The Permit Application Process This chapter describes the NPDES permit application process including the permit writer's role in reviewing the application and evaluating background information about the applicant. Through this process, the permit writer gains an understanding of the circumstances of the discharge and the characteristics of the proposed effluent that will allow proper development of permit limits and conditions.

4.1 NPDES Permit Application Forms When it is determined that a facility needs an individual NPDES permit, the facility must submit an application for a permit. Application forms and requirements are specific to the type of facility and discharge. NPDES permit application regulations are contained in 40 CFR Part 122, Subpart B. Most application requirements are contained in forms developed by EPA. Exhibit 4 1 provides an overview of the types of dischargers required to submit NPDES application forms, identifies the form( s) that they must submit, and references the corresponding NPDES regulation citation. It should be noted that authorized States are not required to use the EPA application forms. However, any alternative form used by an authorized State must contain the information required in 40 CFR Part 122, Subpart B. An application form must also be submitted for permit renewals. Permits may no longer be renewed by submitting a NPDES Permit Writers' Manual  29 Chapter 4 The Permit Application Process EXHIBIT 4 1 Applications Forms Required for NPDES Discharges Type of Facility Status Forms Regulatory Citation ( 40 CFR Part 122)

All NPDES Applicants ( except MS4s) New and Existing Form 1 122.21( f)

Municipal Facilities   Major POTWs ( Facilities with flows greater than 1.0 mgd or populations greater than 10,000, or receive industrial process wastewater) New and Existing Standard A 122.21( j) ( reserved)

  Minor POTWs New and Existing Short A 122.21( j) ( reserved)

Industrial Facilities   Manufacturing Facilities   Commercial Facilities   Mining Activities   Silvicultural Activities   Water Treatment Facilities New 2D 122.21( f) and ( k)

Existing 2C 122.21( f) and ( g)

Non Process Wastewater 2E 122.21( f) and ( h)

Concentrated Animal Production Facilities   Animal Feedlots   Hatcheries New and Existing 2B 122.21( f) and 122.21( i)

Storm water discharges associated with industrial activities New and Existing 2F 122.26( c)

Storm water discharges from MS4s serving a population greater than 100,000 New and Existing None 122.26( d)

Key: Form 1  General Information. Standard Form A  Municipal ( new and existing major municipal facilities). Short Form A  Municipal ( new and existing minor municipal facilities). Form 2B  Concentrated Animal Feeding Operations and Aquatic Animal Production Facilities. Form 2C  Existing Manufacturing, Commercial, Mining, and Silvicultural Operations. Form 2D  New Sources and New Dischargers Application for Permit to Discharge Process Wastewater. Form 2E  Facilities Which Do Not Discharge Process Wastewater. Form 2F  Application for Permit To Discharge Storm Water Discharges Associated With Industrial Activity.

30  NPDES Permit Writers' Manual The Permit Application Process Chapter 4 letter stating that no significant changes occurred at the facility during the term of the expiring permit.

Form 1  General Information All facilities applying for an individual NPDES permit, with the exception of MS4s applying for a municipal storm water permit, must submit Form 1. Form 1 requires general facility information including:

° Name, mailing address, facility contact, and facility location ° Standard industrial classification ( SIC) code and a brief description of nature of business ° Topographic map showing the location of the existing or proposed intake and discharge structures.

4.1.1 Municipal Application Requirements ( Form A and Short Form A)

All new and existing POTWs must submit Form A or Short Form A ( used for minor POTWs). POTWs with design influent flows equal to or greater than 1 million gallons per day ( mgd) and POTWs with approved pretreatment programs, or POTWs required to develop a pretreatment program are required to submit Form A. Form A requires submission of the following types of information:

° Name, mailing address, authorized agent, and facility location ° Collection system type, areas served, and total population served ° Description of influent, including major industrial facilities discharging to the system ° Description of treatment practices and plant design, schedule of improvements, number of discharge points, total volume discharged, and receiving water name.

Although testing of the influent and effluent for specific pollutants is not required, Form A does request any available data on the following parameters: flow,

pH, temperature, fecal coliform, BOD 5, COD or total organic carbon ( TOC), total residual chlorine, total solids, total dissolved solids, settleable matter, ammonia,

Kjeldahl nitrogen, nitrate, nitrite, phosphorus, and dissolved oxygen. The municipal application regulations also require POTWs with design influent flows equal to or NPDES Permit Writers' Manual  31 Chapter 4 The Permit Application Process greater than 1.0 mgd, and POTWs with approved pretreatment programs, to submit results of whole effluent toxicity ( WET) testing ( 40 CFR § 122.21( j)( 1)). In addition,

POTWs with approved pretreatment programs are also required to submit a written technical evaluation of the need to revise local limits ( 40 CFR § 122.21( j)( 4)).

POTWs with design flows of less than 1.0 mgd, and which are not required to have an approved pretreatment program, may generally use Short Form A. Short Form A requires only general information such as the name, mailing address, and facility location as well as a description of any major changes at the facility.

Reg Update:

On December 6, 1995, EPA proposed revisions to the municipal application requirements and accompanying application forms [ 60 FR 62545]. The proposed regulation replaces Form 1, Form A, and Short Form A with a new Form 2A for use by all municipal dischargers. Form 2A is divided into five individual sections that must be completed depending on the characteristics of the municipal discharger. In the same proposal, EPA introduced Form 2S to obtain information on municipal sewage sludge such as volume, characteristics, and sludge use or disposal practices. The Form 2S regulations will replace the interim sludge use and disposal application requirements that are currently in use.

4.1.2 Non Municipal Permit Application Requirements In addition to Form 1, which requests general information, non municipal dischargers applying for an individual NPDES permit are required to submit additional detailed facility information. The types of forms required depend upon the activities of the facility applying for a permit. Each of the forms and the types of activities for which they apply are briefly described below.

Form 2B  New and Existing Animal Feeding Operations and Aquatic Animal Production Facilities Owners of new and existing animal feeding operations and aquatic animal production facilities must submit Application Form 2B. The types of information required by Form 2B include:

° Animal feeding operations   Type and number of animals in open confinement and housed under roof   Number of acres used for confinement feeding 32  NPDES Permit Writers' Manual The Permit Application Process Chapter 4   Calendar month of maximum feeding and total mass of food fed during that month ° Aquatic animal production facilities   Maximum daily and average monthly flow from each outfall   Number of ponds, raceways, and similar structures   Total yearly and maximum harvestable weight for each species of aquatic animal.

Form 2C  Existing Manufacturing, Commercial, Mining, and Silvicultural Discharges Operators of existing ( i. e., currently permitted) manufacturing, commercial,

mining, and silvicultural discharges must submit Application Form 2C. The types of information required in Form 2C include:

° Outfall location( s)

° Flow characteristics ° Sources of pollutants ° Intake and effluent characteristics ° Pollutants expected to be present ° Treatment technologies ° Production information ( if applicable).

Quantitative effluent data requirements for existing industrial dischargers varies depending on the facility's discharge characteristics and the types of pollutants expected to be present in the discharge.

Form 2D  New Manufacturing, Commercial, Mining, and Silvicultural Discharges Operators of new manufacturing, commercial, mining, and silvicultural discharges must submit Application Form 2D. " New" dischargers are those that have not previously obtained permits for a discharge and have not commenced operation.

The types of information required in Form 2D include:

° Expected outfall location( s)

° Date of expected commencement of discharge NPDES Permit Writers' Manual  33 Chapter 4 The Permit Application Process ° Expected flow characteristics ° Sources of pollutants ° Treatment technologies ° Production information ( if applicable)

° Expected intake and effluent characteristics.

Form 2E  Manufacturing, Commercial, Mining, and Silvicultural Facilities that Discharge Only Nonprocess Wastewater Operators applying for an individual NPDES permit for manufacturing,

commercial, mining, and silvicultural facilities that are not regulated by an effluent limitation guideline or new source performance standard, and which discharge only non process wastewaters, must submit Application Form 2E. " Nonprocess wastewaters" include sanitary wastes, restaurant or cafeteria wastes, and non contact cooling water, but do not include storm water. Storm water is specifically excluded from the definition of " non process wastewater." The types of information required in Form 2E include:

° Outfall location( s)

° Type of waste discharged ° Effluent characteristics, including quantitative data for selected parameters ° Flow characteristics ° Treatment technologies.

Form 2F  Storm Water Discharges Associated with Industrial Activities Operators applying for an individual NPDES permit for discharges of storm water associated with industrial activity must submit Application Form 2F. The types of information required in Form 2F include:

° A topographic map and estimates of impervious surfaces ° Descriptions of material management practices and control measures ° A certification that outfalls have been evaluated for non storm water discharges ° Descriptions of past leaks and spills ° Analytical data from each outfall for several specified parameters.

34  NPDES Permit Writers' Manual The Permit Application Process Chapter 4 Storm Water Discharges from Municipal Separate Storm Sewers Serving a Population of Greater Than 100,000 The 1990 Storm Water application regulations ( 55 FR 48062), list the application requirements for operators of a large or medium MS4 to submit a two part application. Part 1 application information was required to be submitted by large MS4s ( serving a population > 250,000) by November 18, 1991 and by medium MS4s ( serving a population > 100,000 but £ 250,000) by May 18, 1992. Part 2 application information was required to be submitted by large MS4s by November 16, 1992 and by medium MS4s by May 17, 1993. The following summarizes the key requirements of each part of the application:

° Part 1 of the application must include:

  General information ( e. g., name, address)   Existing legal authorities and any additional authority required   Source identification information   Discharge characterization, including results from dry weather flow screening   Identification of 5 to 10 representative outfalls for storm water sampling   Description of existing storm water management practices   Descriptions of existing financial budget and resources available to complete Part 2 of the application.

° Part 2 of the application must include:

  Demonstration of adequate legal authority   Identification of any major storm sewer outfalls   Discharge characterization data from sampling three representative storm events   Proposed storm water management program   Assessment of controls, including expected reductions in pollutant loadings   Fiscal analysis, including necessary capital and operation and maintenance expenditures for each year of the permit.

Under the NPDES regulations, permittees are required to reapply for a new NPDES permit prior to the expiration of their existing permit. However, in the case of storm water permits for MS4s, Part 1 and Part 2 application requirements were intended only for the initial issuance of a MS4 permit and specific requirements for reapplication have not been defined in the regulations. On May 17, 1996, EPA issued NPDES Permit Writers' Manual  35 Chapter 4 The Permit Application Process a policy which sets forth a streamlined approach for reapplication requirements for operators of MS4s. It allows municipalities to use recommended changes submitted in their fourth annual report as the principal component of their reapplication package. It also encourages changes to monitoring programs to make them appropriate and useful to storm water management decisions. With the policy, EPA seeks to improve municipal storm water management efforts by allowing municipalities to target their resources for the greatest environmental benefit.

4.1.3 Application Requirements for NPDES General Permits As previously discussed, general permits ( see 40 CFR § 122.28) are permits that are developed for storm water dischargers or a specific category of dischargers within a specified geographic or political boundary. The use of a general permit may simplify the permitting process for both EPA and the permittee. Unlike individual permits, however, operators can only apply for coverage under a general permit if one has been issued that is applicable to the type of facility for which coverage is sought and covers the facility's activities. In addition, the permitting authority may determine that a general permit is not appropriate for a particular facility applying for coverage under the general permit, and can require the facility to apply for an individual permit.

Furthermore, a facility that otherwise qualifies for a general permit may opt to apply for an individual permit.

An applicant for a general permit, in almost all cases, must apply by submitting a Notice of Intent ( NOI) to be covered under the permit. The contents of a NOI, and any additional information requirements, must be specified in the general permit and in the fact sheet or instructions, and at a minimum must include the following:

° Name and address of the owner or operator ° Name and address of the facility ° Type of facility or discharges ° The receiving stream( s).

4.2 Application Deadlines The Federal regulations contained in 40 CFR § 122.21 require that applications for new discharges be made no later than 180 days before discharges actually begin.

36  NPDES Permit Writers' Manual The Permit Application Process Chapter 4 Applications for permit renewals ( i. e., for existing dischargers) must be made at least 180 days before the expiration of the existing NPDES permit. Authorized states,

however, may have slightly different schedules but generally no less stringent.

Furthermore, the State Director or the Regional Administrator may allow individual applications to be submitted at dates later than these but not later than the expiration date of the existing permit.

It should be noted that according to 40 CFR § 122.6, an expired NPDES permit remains in effect until the new permit is issued as long as the application for permit renewal was submitted on time and complete ( per 40 CFR § 122.21). However, if State law does not allow expired permits to remain in effect until a permit is reissued,

or if the permit application is not on time and complete, the facility is considered to be discharging without a permit from the time the permit expired until the effective date of the new permit.

4.3 Review of the Application The contents of individual NPDES permits are based in part upon the information included in the application. Thus, the application must be complete and accurate before a permit writer can properly develop a permit. Exhibit 4 2 depicts a general process for reviewing a permit application.

After the initial review of an application, the permit writer may request that an applicant submit other information which may be needed in deciding whether to issue a permit. The requested information may include:

° Additional information, quantitative data, or recalculated data ° Submission of a new form ( if an inappropriate form was used) ° Resubmission of application ( if incomplete or outdated information was initially submitted).

A considerable amount of correspondence, therefore, may be required before the permit writer obtains an application that can be considered complete and accurate.

NPDES Permit Writers' Manual  37 Chapter 4 The Permit Application Process Review Permit Application Require new application on correct form 981B 08 Is the application on the correct form?

Does the application include all outfalls, priority pollutant, sludge and toxicity data when required?

Does the application have all of the information necessary to adequately characterize the nature and quantity of pollutants in the effluent and their impact on the receiving water?

Are all calculation and flow diagrams correct May begin public notice of application now or after facility inspection Establish schedule for submittal of required information Establish schedule for submittal of required information Request recalculation and resubmittal No No No No Review Activities Applicant Follow Up *

* ( as necessary) EXHIBIT 4 2 Permit Application Review 38  NPDES Permit Writers' Manual The Permit Application Process Chapter 4 4.3.1 The Complete Application Regulations under 40 CFR § 122.21( e) state that the Director " shall not issue a permit before receiving a complete application...." At a minimum, the application form must have all applicable spaces filled in. Instructions for the application form states that all items must be completed and that the statement " not applicable" ( NA) be used to indicate that the item had been considered by the applicant. Blanks on a form can occur for a number of reasons, such as:

° The response was inadvertently left out; or ° The applicant had difficulty determining the correct response and rather than provide misleading or incorrect information, left the space blank.

A response to the blank items must be obtained by contacting the facility in writing or, in some cases, by telephone. Because of the administrative record ( discussed in Chapter 11) that must be maintained in processing an application, and the possibility of legal challenges regarding permit decisions, it is recommended that only minor items be handled by telephone, and even these should be documented in writing.

If the changes or corrections to any application are extensive, the permit writer may require the permit applicant to submit a new application. Supplementary information, such as more detailed production information or maintenance and operating data for a treatment system, may also be required to process the permit.

Supplementary information can also be obtained at a later date when the permit writer is actually drafting the permit. According to 40 CFR § 122.21( e), an application is considered to be complete when the permit writer is satisfied that all required information has been submitted.

4.3.2 Common Omissions and Errors in Applications This section identifies some of the most common omissions and errors found in NPDES permit applications. Examples of ways to identify missing information and of verifying the accuracy of some of the data are also provided.

One of the most common items overlooked is the provision of a topographic map which is required as an attachment to Form 1. Other industrial or municipal

NPDES Permit Writers' Manual  39 Chapter 4 The Permit Application Process specific information is also often omitted. For example, industrial applicants sometimes fail to submit a process line diagram required by Part II A of Form 2C.

The process line diagram is important for ensuring that the location and description of the outfalls and the description of processes ( Parts I and II B of Form 2C) given by the applicants are accurate.

Often, applicants do not properly submit the effluent characterization data required for the permit applications. Applicants may fail to submit data necessary to properly characterize the facility. The following highlights some of the data requirements that are required in applications:

° POTWs with design flows greater than 1 mgd or those with a pretreatment program are required to submit valid WET testing data. This requirement may be satisfied if the expiring permit contains a requirement for effluent characterization of WET. The permit writer should note the use of this option on the fact sheet.

° POTWs and other treatment works treating domestic sewage ( TWTDS) must submit any sludge monitoring data; a description of sludge use and disposal procedures at the facility; annual sludge production volumes; and for land application sites, information on the suitability of the site and a description of the site management. A land application plan is required for any sites not identified in the application.

° Every non POTW applicant must submit data for BOD, COD, TOC, TSS, ammonia, temperature ( winter and summer), and pH.

° Non municipal dischargers categorized as " primary industries" have some mandatory testing requirements for toxic pollutants ( see 40 CFR § 122.21, Appendix D, Table I and Table II; also listed in Application Form 2C). Primary industries are identified in Appendix A of 40 CFR Part 122. Primary industries that are also small businesses [ see 40 CFR § 122.21( g)( 8)] may be exempted from these testing requirements. Existing dischargers who believe certain pollutants may be present in their effluent must test for those pollutants ( 40 CFR § 122.21 Appendix D, Table IV and Table V).

° Industrial facilities that are subject to production or flow based effluent guidelines must report production rates and flow data, using units of measure corresponding to applicable effluent limitations guidelines, that will allow calculation of effluent limits.

° Sample types for all required pollutants and parameters must be appropriate for the parameter being analyzed ( as per 40 CFR Part 136; see Sections 7.1.3 and 7.1.4 for more information). For example, only grab samples may be used for pH, temperature, cyanide, total phenols, volatile 40  NPDES Permit Writers' Manual The Permit Application Process Chapter 4 organics, residual chlorine, oil and grease, fecal coliform, and fecal streptococcus.

Examples of the types of data that the permit writer will need to obtain before the application can be considered complete are given in the text boxes which follow.

Are required toxic organic pollutants ( gas chromatograph/ mass spectrometer [ GC/ MS] fractions) listed?

Example:

An application from a plastics processor fails to list any GC/ MS fraction.

Discussion:

The plastics processor is required to test for the volatile GC/ MS fraction ( Table 2C 2 in the application form instructions and 40 CFR § 122.21( g)( 7)( ii)( A) of the NPDES regulations).

Are required heavy metals listed?

Example:

A primary felt producer marks thallium and beryllium as believed absent in the wastewater.

Discussion:

Although thallium and beryllium are not expected to be found in a felt producer's discharge, page 2C 3 of the application form instructions and 40 CFR § 122.21( g)( 7)( ii)( B) require testing for these metals. Occasionally, unexpected contaminants will be present in a waste stream due to poor housekeeping, unusual production methods, etc.

The comprehensive testing requirements that apply to the various categories of industry are designed to determine whether any unexpected contaminants are present in significant quantities, as well as to determine levels of pollutants that are known to be present. In the above example, the submission is incomplete because additional information is needed and " believed absent" is wrongly indicated.

Are all expected pollutants listed?

Example:

A producer of wood resin based derivatives does not indicate the presence of zinc in his wastewater.

Discussion:

Testing for zinc is required. Zinc is used as a catalyst in the production of wood resin based derivatives. This type of information can be found in the effluent limitations guidelines development documents.

NPDES Permit Writers' Manual  41 Chapter 4 The Permit Application Process What pollutant data are needed to characterize the industries above?

Example:

Consider the plastics processor, the felt producer, and the producer of wood resin based derivatives, mentioned above, and answer the following questions:

° For which toxic organic pollutants are they required to test? ° For which heavy metals are they required to test? ° Which metals would you expect to find in their wastewaters regardless of whether testing is required or not?

Discussion:

The application form in Table 2C 2 and 40 CFR § 122.21( g)( 7)( ii)( A) of the NPDES regulations require testing of the volatile GC/ MS fraction by the plastics processor, and testing of all four GC/ MS fractions by the felt producer and the producer of wood resin based derivatives. Page 2C 3 of the application instructions and 40 CFR § 122.21( g)( 7)( ii)( B) require testing of all of the metals listed in item V part C1 of the application form by all three manufacturers. For the expected metals, see the effluent limitations guidelines development documents for information.

4.3.3 The Accurate Application All information submitted on a permit application should be accurate, in addition to being complete. Although it may be difficult to detect certain inaccuracies, a number of common mistakes can be readily detected. When mistakes are detected,

they must be corrected. The permit writer should follow the same procedures for correcting inaccurate information as used for obtaining missing information. The following text boxes contain examples that reflect the types of questions that the permit writer may consider while reviewing the permit application.

Can we verify flow data using a water balance calculation?

Example:

An industrial user has estimated a wastestream flow of 50,000 gpd using water usage records. However, a review of historical water usage records and an old permit application indicates wastewater flows ranged from 100,000 to 150,000 gpd. The facility had not instituted any water reduction measures, significantly changed its process operations, or decreased its number of employees.

Discussion:

An inspection of the facility revealed two separate water meters ( one for sanitary and one for process water); the industrial user had overlooked the sanitary meter. Further, the process water meter was found to be defective. Subsequent flow monitoring of the total wastestream recorded a flow of 125,000 gpd. A new water meter was installed and concurrent wastestream flow monitoring and water meter readings resulted in the following water balances:

° Water In ( based on both water meter readings): 148,000 gpd ( 131,000 gpd process line and 17,000 gpd sanitary line)

° Water Out ( based on wastestream flow monitoring): 125,000 gpd total wastestream discharged to sewer system. Evaporative and consumption losses were estimated at 23,000 gpd ( 15 percent of total water usage).

42  NPDES Permit Writers' Manual The Permit Application Process Chapter 4 Do the concentration, mass, and flow values correspond?

Example:

Suppose the maximum daily flow is shown as 1.2 million gallons per day ( MGD), the maximum daily suspended solids concentration is 23 milligrams per liter ( mg/ l), and the maximum daily mass discharge is reported as 690 pounds per day ( lbs/ day).

23 mg/ l x 8.34 x 1.2 MGD = 230 lb/ d The mass corresponding to the solids concentration ( 23 mg/ l) and flow ( 1.2 MGD) is 230 pounds per day. However, the maximum daily mass discharge is 690 pounds per day.

Discussion:

Assuming that the maximum daily flow and the maximum daily concentration occurred on the same day ( worst case scenario), the highest mass discharge should not exceed 230 pounds per day. Since the applicant reported a maximum mass discharge of 690 pounds per day, a significant discrepancy is indicated. The permit writer should contact the facility to resolve the discrepancy.

Do concentration values correspond with analytical detection limits?

Example:

The acid GC/ MS fraction ( phenols) compounds are all reported as less than 1 mg/ l.

Discussion:

According to 40 CFR Part 136, the detection limits for the compounds in this organic fraction are all near 0.01 mg/ l. Probably the 4AAP method for phenols was used, rather than the required testing procedure using GC/ MS.

4.4 Facility Information Review In addition to the submitted application form, the permit writer should consider collecting other information that could be utilized for development of permit limits and conditions.

4.4.1 Background Information Review Prior to developing permit conditions, the permit writer should collect and review any additional background information on the facility. Much of this information may already be available in the permit file. In house file information typically includes:

° The current permit ° The fact sheet or statement of basis for the current permit NPDES Permit Writers' Manual  43 Chapter 4 The Permit Application Process ° Discharge Monitoring Reports ( DMRs)

° Compliance inspection reports ° Engineering reports ° Correspondence or information on changes in plant conditions or problems, and compliance issues.

Much of this information, particularly DMR data, may be already stored in an interoffice automated data tracking system such as the EPA Permit Compliance System ( PCS).

The permit writer may check with other permit writers who have permitted similar types of facilities to see if there are any special considerations related to the facility to be permitted. A permit writer also may wish to discuss compliance issues,

changes, or history of complaints with compliance personnel who conducted previous inspections of the facility. Examples of some other sources of information that could be used by the permit writer include:

° EPA development documents that contain detailed information that was collected by the EPA for the purpose of developing effluent guidelines and categorical pretreatment standards for a variety of industrial categories ° Reference textbooks, which address specific industry categories and which are available from the National Technical Information Service ( NTIS), United States EPA library and other libraries. These technical documents provide information about manufacturing processes and wastestreams.

° EPA's Treatability Manual, 3 which is a five volume guidance ( also refer to glossary) and which provides detailed descriptions of industrial processes, potential pollutants from each process, appropriate treatment technologies, and cost estimating procedures ° Receiving water quality data ( e. g., the EPA Storage and Retrieval data base [ STORET])

° Related environmental permits that could provide site specific background information about the types of pollutants and wastestreams at a facility, including, for example:

  RCRA permit   which regulates the management of hazardous waste from its generation through ultimate disposal for waste generators,

3USEPA ( 1980). Treatability Manual, Volumes I  V. EPA 600/ 8 80 042a e. Office of Research and Development.

44  NPDES Permit Writers' Manual The Permit Application Process Chapter 4 transporters, and owners and operators of treatment, storage, and disposal facilities [ 42 USC 6901 et seq.]   Clean Air Act permit   which regulates the discharge of atmospheric pollutants.

° The Toxic Release Inventory ( TRI), which is accessible on EPA's mainframe and through a public online service. TRI contains facility information on over 300 listed toxic chemicals released by specific facilities, including chemical identification, quantity of chemical released to various environmental media, offsite waste transfer and waste treatment and minimization information.

If the permit writer must address special conditions in the permits for municipal dischargers for development or implementation of a pretreatment program, combined sewer overflows ( CSOs), sanitary sewer overflows ( SSOs), sewage sludge use or disposal, or storm water discharges, information relevant to these issues would need to be obtained. Such information may be found in:

° Annual pretreatment reports, pretreatment compliance inspections and audits ° CSO reports ° Bypass notifications or SSOs reports ° Storm water discharge applications or NOI for a general permit.

4.4.2 Facility Site Visits Facility site visits can be invaluable to update information on manufacturing processes, obtain information about the facility's operations, equipment or management, and to verify application information. A site visit also acquaints the permit writer with the people who will be operating under the permit and participating in the permit development process.

Site visits may also allow the permit writer to gain a better understanding of more complex facilities. Site visits are especially warranted if significant pollution control or treatment improvements will be required, if there have been frequent problems in complying with the present permit, if there are known problems with spills or leaks or with contaminated surface runoff, or if there are other onsite activities that may impact the characteristics of the discharge from the facility.

NPDES Permit Writers' Manual  45 Chapter 4 The Permit Application Process The site visit should include a detailed review of production processes in order to evaluate the types of toxic or hazardous substances that may be present in raw materials, as well as in products and byproducts. The water uses, the resulting wastewater streams, and any in process pollution controls should be reviewed. This review is needed to assist in selecting toxic and other pollutants to be limited and in evaluating possible in process control improvements.

In addition, the site visit should include a review of the performance, operation and maintenance practices of wastewater treatment facilities. This review is useful in evaluating the adequacy of existing treatment performance and assessing the feasibility of improvements and performance. Effluent monitoring points, sampling methods, and analytical techniques should also be examined to identify any needed changes to monitoring requirements and to evaluate the quality of DMR data.

Raw material and product storage and loading areas, sludge storage and disposal areas, hazardous waste management facilities, including onsite disposal areas, and all process areas should be observed to determine the need for controls on surface runoff and for specific best management practices ( BMPs). As noted previously, the information from other environmental programs ( e. g., Comprehensive Environmental Response, Compensation, and Liabilities Act [ CERCLA]; RCRA) may be important in this regard.

While onsite, the permit writer should note any needs for spill prevention and housekeeping problems, which are not usually well described in permit applications. If allowed, photographs of problem areas should be taken for future use during permit preparation. A meeting with management should be included if necessary to ask questions and clarify information on the permit application. If any inaccuracies in the application were found as a result of the site visit, corrected information should be requested at this time.

The time required to conduct a site visit will vary according to the complexity of the facility. For facilities with only a few basic processes, one main waste treatment system, limited in process controls, few surface runoff outfalls, and limited onsite management of sludges or hazardous wastes, an adequate site visit can most likely 46  NPDES Permit Writers' Manual The Permit Application Process Chapter 4 be completed in 1 day. Complex, larger plants with several treatment systems,

numerous outfalls, and extensive ancillary activities may require several days.

Time spent on site visits often results in time savings during permit preparation.

However, time and/ or travel resources are generally not adequate to allow viewing of all facilities to be permitted. In such cases, the permit writer may be able to obtain much of the desired information from the next ( or previous) compliance inspection performed at the facility.

Aerial photographs are also an excellent aid for conducting a plant visit and may provide much of the needed information on the potential for contamination of surface runoff and on ancillary activities in the absence of a site visit or inspection. In addition, comparison of aerial photographs with site and process diagrams provided with the application may provide the permit writer with a complete visual description of the facility. Aerial photographs may be obtained from a variety of sources, including the United States Geological Survey ( USGS), Environmental Services Division in some EPA Regions, the National Enforcement Investigation Center, Las Vegas, Nevada; the Environmental Photo Interpretation Lab, Vint Hill, Virginia; and private contractors.

4.5 Confidential Information In accordance with 40 CFR Part 2, information submitted to EPA pursuant to the NPDES permitting regulations under 40 CFR Part 122 may be claimed as confidential by the submitter. However, EPA has determined that the following information will not be held confidential:

° Name and address of the applicant ° Permit applications and information submitted with applications ° Permits ° Effluent data.

Any claims of confidentiality must be made at the time of submission or the information will not be considered confidential.

Information that may be treated as confidential includes material related to manufacturing processes unique to the applicant, or if such information might NPDES Permit Writers' Manual  47 Chapter 4 The Permit Application Process adversely affect the competitive position of the applicant if released to the public.

Under these circumstances, the permit writer will be required to treat the information as confidential in accordance with the requirements in 40 CFR Part 2.

48  NPDES Permit Writers' Manual Chapter 5 Technology Based Effluent Limits When developing effluent limits for a NPDES permit, a permit writer must consider limits based on both the technology available to treat the pollutants ( i. e.,

technology based effluent limits), and limits that are protective of the designated uses of the receiving water ( water quality based effluent limits). This chapter discusses considerations for deriving technology based effluent limitations for both non municipal ( i. e., industrial) and municipal discharges.

There are two general approaches for developing technology based effluent limits for industrial facilities: ( 1) using national effluent limitations guidelines ( ELGs)

and ( 2) using Best Professional Judgment ( BPJ) on a case by case basis ( in the absence of ELGs). Technology based effluent limits for municipal facilities ( POTWs)

are derived from secondary treatment standards. The intent of a technology based effluent limitation is to require a minimum level of treatment for industrial/ municipal point sources based on currently available treatment technologies while allowing the discharger to use any available control technique to meet the limitations.

For industrial sources, the national ELGs are developed based on the demonstrated performance of a reasonable level of treatment that is within the NPDES Permit Writers' Manual  49 Chapter 5 Technology Based Effluent Limits economic means of specific categories of industrial facilities. Where national ELGs have not been developed, the same performance based approach is applied to a specific industrial facility based on the permit writer's BPJ. In some cases, effluent limits based on ELGs and BPJ ( as well as water quality considerations) may be included in a single permit.

5.1 Application of Technology Based Effluent Limitations for Non Municipal Dischargers When developing technology based effluent limitations for non municipal dischargers, the permit writer must consider all applicable standards and requirements for all pollutants discharged. As indicated above, applicable technology based requirements may include national standards and requirements applicable to all facilities in specified industrial categories, or facility specific technology based requirements based on the permit writer's BPJ. It is important, therefore, that permit writers understand the basis of the national standards and the differences between the various required levels of treatment performance. This section describes the statutory and regulatory foundation of the performance based standards, and discusses considerations in the application of these standards for non municipal dischargers.

5.1.1 Statutory and Regulatory Foundation Originally, the Federal Water Pollution Control Act amendments of 1972 directed EPA to develop standards of performance ( effluent limitation guidelines) for industrial categories. Specifically, for " existing" industrial dischargers, the Act directed the achievement:

"... by July 1, 1977, of effluent limitations which will require application of the best practicable control technology currently available [ BPT], and by July 1, 1983, of effluent limitations which will require application of the best available technology economically achievable [ BAT]."

EPA defined BPT performance as the " average of the best existing performance by well operated plants within each industrial category or subcategory." The BAT level of performance was defined as the " very best control and treatment measures that have been or are capable of being achieved." The 1972 amendments, however, made no distinction regarding the application of BPT or BAT to different types of pollutants ( i. e.,

50  NPDES Permit Writers' Manual Technology Based Effluent Limits Chapter 5 BPT and BAT applied to all pollutants). The CWA did provide additional guidance for determining the economic achievability of BPT and BAT. The BPT standards required that effluent limits be justified in terms of the " total cost of [ industry wide] application of the technology in relation to the effluent reduction benefits to be achieved." Thus,

BPT required EPA to consider a cost benefit test that considered a broad range of engineering factors relating to a category's ability to achieve the limits. For BAT, the Agency must still consider the cost of attainability, however, it is not required to balance cost against the effluent reduction benefit.

In addition to BPT and BAT requirements, Section 306 of the 1972 amendments established more restrictive requirements for " new sources." EPA has defined " new source" as any facility that commenced construction following the publication of the proposed standards of performance. The intent of this special set of guidelines is to set limitations that represent state of the art treatment technology for new sources because these dischargers have the opportunity to install the latest in treatment technology at the time of start up. These standards, identified as new source performance standards ( NSPS), are described as the best available demonstrated control technology, processes, operating methods, or other alternatives including, where practicable, standards permitting no discharge of pollutants. NSPSs are effective on the date of the commencement of a new facility's operation and the facility must demonstrate compliance within 90 days [ see 40 CFR § 122.29( d)]. A major difference between NSPS and either BPT or BAT, is the absence of the kind of requirements for a detailed consideration of costs and benefits when establishing the technology requirements.

As noted above, the 1972 amendments tasked EPA with developing ELGs representing application of BPT, BAT, and NSPS; however, EPA was unable to complete development of all effluent guidelines within the statutory deadlines. In addition, EPA did not fully address toxic discharges in the guidelines it did promulgate.

As a result, EPA was sued by several environmental groups for failing to accomplish the promulgation of effluent guidelines as directed by the 1972 amendments. As a consequence of the suit, EPA and the environmental groups entered into a settlement agreement that required EPA to develop a program and adhere to a schedule for promulgating BAT effluent guidelines, pretreatment standards, and NSPSs ( NRDC v.

Train, 1976). The standards focused on 65 toxic " priority pollutants" ( including classes NPDES Permit Writers' Manual  51 Chapter 5 Technology Based Effluent Limits of pollutants) for 21 major categories of industries ( known as " primary" industries).

This settlement was incorporated in the 1977 amendments to the Act. This settlement was further amended to include a total of 34 major categories of industries and 129 priority pollutants ( NRDC v. Costle, March 1979). [ Note: The list of priority pollutants was subsequently revised to include 126 specific parameters which are listed in Appendix A of 40 CFR § 423.]

In light of the settlement agreement, the 1977 amendments to the Federal Water Pollution Control Act ( renamed the Clean Water Act [ CWA]) revised the scope and application of BAT requirements to focus solely on toxic and nonconventional pollutants. The amendments also required the application of the best conventional pollutant control technology ( BCT) for conventional pollutants. Both the BAT and BCT standards were defined to represent the best control and treatment measures that have been developed or that are capable of being developed within the industrial category or subcategory. With respect to the cost reasonableness, the 1977 CWA left the BAT definition relatively unchanged. For BCT, EPA was to consider the reasonableness of the relationship between the cost of attaining a reduction in effluent discharge and the benefits that would result. The cost of meeting BCT limits was expected by Congress to be comparable to the costs of achieving secondary treatment [ see discussion in Section 5.2] for POTWs.

As noted in the discussion of the statutory evolution of the technology based standards, deadlines for development of the various standards were established by the CWA and amendments. Due to technical and administrative difficulties, most of the initial deadlines were postponed. A summary of final statutory deadlines for the different required levels of treatment technologies is provided in Exhibit 5 1.

When applying applicable ELGs in permits, permit writers need to be aware that they do not have the authority to extend statutory deadlines in a NPDES permit; thus,

all applicable technology based requirements ( i. e., ELGs and BPJ) must be applied in NPDES permits without the benefit of a compliance schedule.