Information Collection Request for the National Pretreatment Program August 12, 2003 U. S. Environmental Protection Agency Office of Water Office of Wastewater Management Water Permits Division EPA East, 7th Floor MC: 4203M 1200 Pennsylvania Avenue, NW Washington, DC 20460 i TABLE OF CONTENTS 1 IDENTIFICATION OF THE INFORMATION COLLECTION 1( a) Title and Number of the Information Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1( b) Short Characterization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2 NEED FOR AND USE OF THE COLLECTION 2( a) Need/ Authority for the Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 2( b) Use/ Users of the Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 3 NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA 3( a) Nonduplication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 3( b) Public Notice Required Prior to ICR Submission to OMB . . . . . . . . . . . . . . . . . . . . . . . . 13 3( c) Consultations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 3( d) Effects of Less Frequent Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 3( e) General Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 3( f) Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 3( g) Sensitive Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 4 RESPONDENTS AND THE INFORMATION REQUESTED 4( a) Respondents/ NAICS Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 4( b) Information Requested . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 4( b)( i) Data Items . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 4( b)( ii) Respondent Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 5 INFORMATION COLLECTED  AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT 5( a) Agency Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 5( b) Collection Methodology and Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 5( c) Small Entity Flexibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 5( d) Collection Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 6 ESTIMATING BURDEN AND COST OF COLLECTION 6( a) Respondent Burden . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 6( b) Respondent Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 6( c) Agency Burden and Cost . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 6( d) Estimating the Respondent Universe and Total Burden and Costs . . . . . . . . . . . . . . . . . . . 55 6( e) Bottom Line Burden Hours And Cost Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 6( f) Reasons For Change In Burden . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 6( g) Burden Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57 ii LIST OF EXHIBITS Exhibit 1: Authority Under the Pretreatment Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Exhibit 2: Responsibilities for Each Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Exhibit 3a: Uses of Data Collected for Program Development . . . . . . . . . . . . . . . . . . . . . . . 9 Exhibit 3b: Uses of Data Collected for Program Implementation . . . . . . . . . . . . . . . . . . . . 10 Exhibit 3c: Uses of Data Collected for Program/ Categorical Determination . . . . . . . . . . . 12 Exhibit 4: Affected Industries and Industrial Classifications . . . . . . . . . . . . . . . . . . . . . . . . 18 Exhibit 5: Reporting and Recordkeeping Requirements for the Pretreatment Program . . 22 Exhibit 6: Average Annual State Burden and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 Exhibit 7: Average Annual POTW Burden and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 Exhibit 8: Average Annual Industrial User Burden and Costs . . . . . . . . . . . . . . . . . . . . . . 53 Exhibit 9: Bottom Line Average Annual Burden and Costs . . . . . . . . . . . . . . . . . . . . . . . . 56 Exhibit 10: Reasons for Change in Burden . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57 APPENDICES APPENDIX A 2000 Information Collection Request for the National Pretreatment Program APPENDIX B Federal Register Notice Associated with the National Pretreatment Program ICR APPENDIX C Assumptions for Developing Burden and Cost Estimates APPENDIX D Burden and Cost Spreadsheets iii ACRONYMS AA Approval Authority AMSA Association of Metropolitan Sewerage Agencies ANPR Advanced Notice of Proposed Rulemaking BLS Bureau of Labor Statistics BMR Baseline Monitoring Report CA Control Authority CBI Confidential Business Information CFR Code of Federal Regulations CWA Clean Water Act CWT Centralized Waste Treatment DSS Domestic Sewage Study ELG Effluent Limitation Guideline EPA Environmental Protection Agency FDF Fundamentally Different Factors FR Federal Register ICR Information Collection Request IU Industrial User IWS Industrial Waste Survey kg kilogram MAIL Maximum Allowable Industrial Loading MGD Million Gallons per Day MP& M Metal Products and Machinery NAICS North American Industry Classification System NPDES National Pollutant Discharge Elimination System NRDC Natural Resources Defense Council O& M Operations and Maintenance OA Oversight Authority OH Overhead OMB Office of Management and Budget OST EPA's Office of Science and Technology OW Office of Water OWM Office of Wastewater Management P2 Pollution Prevention PCS Permit Compliance System PFPR Pesticide Formulating, Packaging, and Repackaging PIPES Point Source Information Provision Exchange System PIRT Pretreatment Implementation Review Task Force POTW Publicly Owned Treatment Works PRA Paperwork Reduction Act QNCR Quarterly Noncompliance Report RCRA Resource Conservation and Recovery Act SBA Small Business Administration SBREFA Small Business Regulatory Enforcement Fairness Act SCP Slug Control Plan SIC Standard Industrial Classification SIU Significant Industrial User SNC Significant Noncompliance TEC Transportation Equipment Cleaning WEF Water Environment Federation National Pretreatment Program ICR August 12, 2003 1 1 IDENTIFICATION OF THE INFORMATION COLLECTION 1( a) Title and Number of the Information Collection Title: National Pretreatment Program OMB Control Number: 2040 0009 EPA Tracking Number: 0002.11 1( b) Short Characterization This Information Collection Request ( ICR) calculates the burden and costs associated with managing the National Pretreatment Program mandated by Sections 402( a) and ( b) and 307( b) of the Clean Water Act ( CWA or the Act). This ICR is a renewal of the Revision of the Information Collection Request for the National Pretreatment Program ( OMB Control No. 2040 0009, EPA Tracking No. 0002.09), approved by the Office of Management and Budget ( OMB) on September 28, 2000.

Management of the National Pretreatment Program is the responsibility of the Office of Wastewater Management ( OWM) in the Office of Water ( OW), Environmental Protection Agency ( EPA). The CWA requires EPA to develop national pretreatment standards to control discharges from Industrial Users ( IUs) into sewage systems or publicly owned treatment works ( POTWs). These standards restrict the levels of certain pollutants in IU discharges. EPA administers the Pretreatment Program through the National Pollutant Discharge Elimination System ( NPDES) permit program. Under the NPDES Permit Program, EPA can delegate authority for monitoring and enforcement of the pretreatment standards to approved States or individual POTWs. OWM uses the data collected under the Pretreatment Program to monitor and enforce compliance with the regulations, as well as to authorize program administration at the State or local ( POTW) level. The data collected from IUs include the mass, frequency, and content of their discharges, their schedules for installing pretreatment equipment, and actual or anticipated discharges of wastes that may violate pretreatment standards, have the potential to cause problems at the POTW, or are considered hazardous under the Resource Conservation and Recovery Act ( RCRA). States and POTWs applying for approval of a pretreatment program submit data concerning their legal, procedural, and administrative bases for establishing such a program. For example, data from POTWs applying for approval of their pretreatment programs are surveys of IUs, local limits for pollutant concentrations, and proposed schedules for completing major project requirements. IUs and POTWs submit written reports, and either States with approved pretreatment programs or EPA Regions enter data into the NPDES database.

This ICR was prepared in accordance with the February 1999 version of EPA's Guide to Writing Information Collection Requests Under the Paperwork Reduction Act ( PRA) of 1995 ( or " ICR Handbook") prepared by EPA's Office of Environmental Information, Office of Information Collection, Collection Strategies Division. The ICR Handbook provides the most current instructions for ICR preparation to ensure compliance with the 1995 PRA amendments and Office of Management and Budget's ( OMB's) implementing guidelines. National Pretreatment Program ICR August 12, 2003 2 This ICR updates the burden and cost estimates provided in the ICR for the National Pretreatment Program, approved September 28, 2000, which expires on September 30, 2003 ( see Appendix A). Section 6( f) summarizes the change in burden between the previous ICR and this ICR. Sections 2( a) and 4( b)( ii) detail the recordkeeping and reporting requirements associated with the National Pretreatment Program. This ICR estimates program burden and costs for October 1, 2003, through September 30, 2006.

The total annual respondent burden associated with this ICR is estimated to be 2.16 million hours per year. The total annual respondent costs associated with this ICR are estimated to be approximately $ 85.9 million. The estimated annual costs and burden are distributed as follows: 0.13 million hours and $ 4.1 million for States, 1.04 million hours and $ 25.8 million for POTWs, and 0.99 million hours and $ 56.0 million for industrial users ( IUs).

The Agency burden for this ICR totals 13,742 hours annually or approximately $ 0.44 million.

The total number of respondents for this ICR is 28,285; 34 of these respondents are States, 1,464 are POTWs, and 26,787 are IUs. The total annual number of responses for these respondents is 213,779. National Pretreatment Program ICR August 12, 2003 3 2 NEED FOR AND USE OF THE COLLECTION 2( a) Need/ Authority For The Collection Section 402( b) of CWA requires EPA to develop national pretreatment standards to control industrial discharges into sewage systems. The purpose of these standards is to prevent contaminant pass through or interference with treatment plant operations that may result in either damage to the environment or a threat to public health. As detailed below, several serious problems can occur when industrial wastes are discharged into sewage systems.

° Pass through of toxic pollutants into receiving waters. Industrial pollutants that pass through treatment systems into receiving waters can cause fish kills, destroy aquatic habitat, increase the risk of cancer in humans, and render receiving waters unsuitable for drinking or recreation.

° Interference with treatment plant operations. Municipal wastewater treatment systems are designed to handle typical household wastes and biodegradable commercial and industrial wastes. Toxic industrial compounds that do not pass directly through the system may interfere with plant operations.

° Contamination of sewage sludge. Toxic compounds remaining in sewage sludge may render it unsuitable for certain disposal methods, such as land application, placement on a surface disposal site, or incineration.

° Corrosion of pipes and equipment. Industrial discharges with extremely high or low pH values can cause corrosion in the sewage collection system or the treatment plant, resulting in the need for premature repair or replacement of pipes and equipment.

° Explosion of highly volatile wastes. Industrial wastes can explode during treatment operations as a result of inadvertent mixing of highly volatile compounds, causing widespread damage to treatment facilities and posing a serious risk to plant operators.

° Interaction of wastes to produce toxic gases. Industrial discharges such as highly acidic wastes can interact with other wastes in the collection system, resulting in the release of toxic gases.

EPA has developed National Pretreatment Program standards for circumstances common to all sewage systems, as well as those served by specific industries. National standards apply regardless of whether the source is subject to other Federal, State, or local pretreatment standards. The regulations establish general and specific discharge standards ( 40 CFR 403.5( a) and ( b)) that apply to all IUs. The general prohibitions forbid the addition of inadequately National Pretreatment Program ICR August 12, 2003 4 treated wastes and forbid the discharge of pollutants that may interfere with or pass through the treatment works, thereby causing upset of treatment capability. The specific prohibitions forbid the discharge of pollutants that:

° Create a fire or explosion hazard. ° Are highly corrosive. ° Obstruct the treatment processes or system flows. ° Cause interference or pass through. ° Increase the temperature of wastewater entering the plant to above 104 ° F. ° Cause worker health or safety problems. ° Are trucked or hauled to the POTW ( except as allowed by the POTW).

In addition to the national pretreatment standards, specific standards have been developed for certain industrial categories and are called categorical pretreatment standards. These categorical standards specify quantities or concentrations of certain pollutants or pollutant properties that IUs in certain industrial categories may discharge to a POTW; the categorical standards may also specify other steps that these IUs must take to protect POTWs. EPA develops these categorical standards to restrict the discharge of certain toxic pollutants that the Agency has identified as posing the greatest threat to human health or the environment. Facilities subject to categorical pretreatment standards must also comply with national pretreatment standards.

Lastly, EPA requires the Control Authority ( CA), which is usually the POTW, to develop and enforce limits according to local, site specific situations. These local limits ensure that IUs meet general and specific prohibitions detailed in 40 CFR 403.5( c). They are federally enforceable pretreatment standards, as defined in Section 307( d) of the CWA. If local limits are more stringent than categorical standards, the more stringent limit applies and is enforceable as a Federal standard. The monitoring, recordkeeping, and reporting requirements for these three types of pretreatment standards ( i. e., general, specific, and local limits) are summarized in Exhibit 5 and are explained in more detail in Section 4.

EPA, together with the various Approval and Control Authorities, implements these standards through the National Pretreatment Program. The information collected under this program is needed to:

° Authorize State and local programs. ° Monitor and enforce compliance with the national standards. ° Determine applicability of the categorical standards. ° Develop and enforce local limits. ° Administer the awards program.

The information collection requirements discussed in this ICR are authorized by Sections 301, 307( b), 308, 402( a), and 402( b) of the CWA. These sections provide for State administration of the NPDES Program, which controls point source discharges of pollutants to waters of the United States. According to the Act, States must also develop a program to ensure POTW compliance with the requirements of the General Pretreatment Regulations. Under the same authority, certain POTWs must identify all IUs that discharge pollutants subject to National Pretreatment Program ICR August 12, 2003 5 categorical standards under Section 307( b) of the Act and must develop a pretreatment program to ensure compliance with these standards.

The administration of the National Pretreatment Program involves three levels of authority, as described below.

° Oversight Authority ( OA): EPA Regional Offices oversee State pretreatment programs. They can also assume the responsibilities of the Approval Authority ( AA) or Control Authority if States or POTWs do not have authorized pretreatment programs.

° Approval Authority: A State with an approved NPDES program must obtain Approval Authority for its pretreatment program. The AA grants pretreatment program approval to POTWs, oversees POTW program implementation, and assumes the responsibility of the Control Authority for those POTWs that do not have a pretreatment program.

° Control Authority: The Control Authority is responsible for implementing the pretreatment program, including establishment of control mechanisms for compliance assessment and enforcement of the national standards, categorical standards, and local limits. A POTW with a pretreatment program that is approved by the AA becomes the CA. If the POTW does not obtain such approval, either the State or the EPA Region becomes the CA.

Exhibit 1 indicates the possible combinations of authority. Exhibit 2 outlines the responsibilities of each authority.

Exhibit 1 Authority Under the Pretreatment Program POTW with Approved Pretreatment Program State with Approved Pretreatment Program Control Authority Approval Authority Oversight Authority Yes Yes POTW State EPA Yes No POTW EPA EPA No Yes State State EPA No No EPA EPA EPA National Pretreatment Program ICR August 12, 2003 6 Exhibit 2 Responsibilities for Each Authority Oversight Authority ( EPA) ° Evaluates Pretreatment Program on a national basis and oversees State pretreatment programs to ensure that they meet Federal requirements. ° Approves State pretreatment program requests. ° Acts as AA or CA in cases where States or POTWs do not have pretreatment programs.

Approval Authority ( Approved States or EPA Regions) ° Reviews POTW pretreatment programs to determine adequacy. ° Assists POTWs in ensuring compliance with pretreatment requirements. ° Audits/ inspects approved POTWs to assess compliance ( may also inspect IUs). ° Takes appropriate action against POTWs that fail to implement or enforce pretreatment standards at IUs not in compliance ( where POTW does not take action). ° Acts as CA in cases where the POTW does not have a pretreatment program.

Control Authority ( Approved POTWs, Approved States, or EPA Regions) ° Has primary responsibility for implementing the pretreatment program. ° Ensures that IUs comply with discharge limitations and reporting requirements. ° Inspects or reviews self monitoring reports from IUs. ° Enforces against non complying IUs.

The Pretreatment Program procedures and requirements are established in 40 CFR Part 403 as follows:

403.1 Purpose and Applicability 403.2 Objectives of General Pretreatment Regulations 403.3 Definitions 403.4 State or Local Law 403.5 National Pretreatment Standards: Prohibited Discharges 403.6 National Pretreatment Standards: Categorical Standards 403.7 Removal Credits 403.8 Pretreatment Program Requirements: Development and Implementation by POTW 403.9 POTW Pretreatment Programs and/ or Authorization to Revise Pretreatment Standards: Submission for Approval 403.10 Development and Submission of NPDES State Pretreatment Programs 403.11 Approval Procedures for POTW Pretreatment Programs and POTW Granting of Removal Credits 403.12 Reporting Requirements for POTWs and Industrial Users 403.13 Variances from Categorical Pretreatment Standards for Fundamentally Different Factors National Pretreatment Program ICR August 12, 2003 1 Project XL is covered by a separate ICR, the " Regulatory Reinvention Pilot Projects under Project XL: Pretreatment Program," OMB Control Number 2010 0026, EPA ICR Number 1755.05.

7 403.14 Confidentiality 403.15 Net/ Gross Calculation 403.16 Upset Provision 403.17 Bypass 403.18 Modification of POTW Pretreatment Programs 403.19 Provisions of Specific Applicability to the Owatonna Waste Water Treatment Facility 403.20 Pretreatment Program Reinvention Pilot Projects Under Project XL1 2( b) Practical Utility/ Users Of The Data In general, the information collected for the Pretreatment Program is used for program development, program implementation, or program or categorical determination. Exhibits 3A, 3B, and 3C summarize the information collected for program development, program implementation, and program/ categorical determination and the uses of this information. Users of the information include Oversight Authorities, Approval Authorities, Control Authorities, POTWs, IUs, and the public.

Oversight Authorities evaluate State pretreatment programs based on information about the programs' legal authority, procedural requirements, and staff and funding appropriateness. In addition, Oversight Authorities use information about an IU to determine whether a particular categorical standard or subcategory applies to the IU.

Approval Authorities use information collected for the pretreatment program to identify and locate IUs that may be subject to national pretreatment standards. Approval Authorities also use information about IUs to protect the POTW and its workers by prohibiting ignitable, obstructive, or reactive discharges from IUs. These authorities also use the data to determine whether a POTW's pretreatment program development is on schedule and adequate. In addition, the information is needed as the Approval Authority oversees a POTW's pretreatment program, monitors a POTW's compliance with its pretreatment program requirements, and considers the advisability of proposed changes in this program.

Control Authorities use data from IUs to establish and verify the type and amount of pollutants contributed to the treatment works and to track compliance with installation schedules for pretreatment equipment. Control Authorities also monitor compliance with the pretreatment standards, enforce these standards, note changes in the volume or nature of pollutants, and evaluate the effects of an anticipated bypass. In addition, Control Authorities use information about IUs to determine whether they need to reduce the risk of slug, spill, and batch discharges.

CAs use information received from AAs to understand their obligations toward complying with the pretreatment program, including maintenance, monitoring, reporting, and planning and carrying out protective action following any change in the volume or contents of the discharge. Such changes may include the discharge of hazardous substances subject to control under RCRA.

IUs use information received from CAs to understand substances that cannot be discharged and to understand their additional obligations under the pretreatment program. National Pretreatment Program ICR August 12, 2003 8 When informed ( through public notification) of instances of significant noncompliance ( SNC), the public are also users of information related to this program. Such information allows the public to participate in program approval decisions. National Pretreatment Program ICR August 12, 2003 9 Exhibit 3A Uses of Data Collected for Program Development Type of Data Collected From To Authority/

Citation ( 40 CFR) Use of the Data State Pretreatment Program Approval Request State OA 403.10 To evaluate the adequacy of the State's pretreatment program in terms of legal authority, procedural requirements, and appropriate staff and funding.

POTW Pretreatment Compliance Schedule Progress Report POTW AA 403.8, 403.9,

403.12( k) To determine if the POTW is on schedule in developing its program so that the AA can either provide assistance or take enforcement action, if necessary.

POTW Pretreatment Program Approval Request POTW AA 403.8( b),

403.9 To evaluate the adequacy of the POTW's pretreatment program in terms of legal authority, justification of local limits, compliance monitoring, administrative procedures, and appropriate staff and funding.

Maintain Pretreatment Program Information* AA, OA,

POTW Stored on site 403.11( f),

403.14 To provide public access to information characterizing the Pretreatment Program ( e. g., information about POTW program approval submissions).

* This is a recordkeeping requirement, not a reporting requirement. Though no submission is required, burden is incurred. Exhibit 3a: Uses of the Data Collected for Program Development National Pretreatment Program ICR August 12, 2003 10 Exhibit 3B Uses of Data Collected for Program Implementation ( Page 1 of 2)

Type of Data Collected From To Authority/

Citation ( 40 CFR) Use of the Data Baseline Monitoring Report IU CA 403.12( b) To ensure compliance with the standards by each source, to determine whether schedules for compliance are reasonable, and to establish, verify, or expand records on the type and extent of industrial contributions to POTWs.

IU Compliance Schedule Progress Report IU CA 403.12( c) To determine adherence to scheduled deadlines for installation of pretreatment technology were met; to ensure compliance with the categorical standard before the deadline.

IU Compliance Attainment Report IU CA 403.12( d) To determine if the IU is in compliance with final applicable pretreatment standards and if additional O& M or pretreatment is necessary to attain the standard.

IU Compliance Report ( Resampling Requirements) IU CA 403.12( g) To allow the CA to detect patterns of repeated or continuing IU noncompliance ( i. e., not single events).

IU Self Monitoring Report IU CA 403.12( e),

403.12( h) To assure continued IU compliance with the pretreatment standards and to determine if enforcement action is necessary.

Pollution Prevention Alternative IU CA 455.41 To ensure that IUs covered by the pesticides formulating, packaging, and repackaging effluent guidelines have prepared a pollution prevention plan as an alterative to zero discharge.

CWT Multiple Waste Subcategories IU CA 437.41 To ensure that CWTs seeking to accept waste in multiple subcategories comply with certification requirements similar to the PFPR P2 requirements.

Maintain POTW Monitoring Records* POTW Stored on site 403.12( o),

403.14( c) To allow the AA to verify POTW compliance with national standards.

Maintain IU Monitoring Records* IU Stored on site 403.12( o) To allow the AA to verify IU compliance with national standards.

Annual POTW Reports CA AA 403.12( i) To adequately oversee POTW pretreatment programs and resulting national implementation status. Also, to ensure compliance with pretreatment standards.

POTW Program Modifications CA AA 403.18 To modify pretreatment programs based on local conditions, and to provide AAs with opportunities to accept or deny such requests.

IU Slug Load Notification IU CA 403.12( f) To enable the POTW to plan and carry out protective actions immediately after a change in volume or character of IU discharge.

* This is a recordkeeping requirement, not a reporting requirement. Though no submission is required, burden is incurred. Exhibit 3b: Uses of the Data Collected for Program Implementation National Pretreatment Program ICR August 12, 2003 11 Exhibit 3B Uses of Data Collected for Program Implementation ( Page 2 of 2)

Type of Data Collected From To Authority/

Citation ( 40 CFR) Use of the Data Notification of Changed Discharge IU CA 403.12( j) To ensure that the CA has the necessary information to adequately notify the NPDES permitting authority of substantial changes in discharge.

Bypass Notification IU CA 403.17 To inform the CA of the intentional diversion of wastestreams from any portion of an IU's treatment facility.

Notification of Changed Monitoring Location IU CA 403.6( e) To inform the CA of any change in location of an IU's monitoring point( s) in order to carry out its compliance monitoring and enforcement responsibilities.

Issuance of Discharge Permits or Other Control Mechanisms for SIUs CA SIU 403.8( f) To give SIUs notice of all pretreatment requirements and to improve enforcement.

Inspection and Sampling of IU and SIU Effluent CA AA 403.8( f) To monitor industrial discharges into POTW treatment facilities.

Public Notification of Significant Noncompliance CA Public 403.8( f) To inform the public of instances of significant noncompliance.

Prevention and Control Plan for Spills and Batch Discharges SIU CA 403.8( f) To notify SIUs of the need for planning to minimize the risk of slug, spill, and batch discharges.

Evaluation of the Need to Revise Local Limits CA AA 403.5( c) To evaluate if CAs have developed appropriate local limits to control toxic and hazardous pollutants.

POTW Enforcement Response Plan CA AA 403.8( f) To assist in determining if CAs have effective enforcement programs.

Excellence Award Program Information POTW,

AA OA 105 To recognize CAs with outstanding pretreatment programs. National Pretreatment Program ICR August 12, 2003 12 Exhibit 3C Uses of Data Collected for Program/ Categorical Determination Type of Data Collected From To Authority/

Citation ( 40 CFR) Use of the Data Categorical Determination Request IU, CA AA/ OA 403.6( a) To determine the applicability of a particular categorical standard or subcategory to an IU.

Alternative Limits Modification Request IU CA 403.6( e) To notify the CA of any material or significant change in the values used to calculate an alternative limit.

Fundamentally Different Factors Variance Request IU, CA OA 403.13 To provide plant specific data necessary to determine whether an IU's production processes or technologies are fundamentally different from the representative facilities used to determine the limits specified in a categorical standard. This helps to support evaluation of national standards using empirical data.

Net/ Gross Adjustment Request IU CA 403.15 To determine if an applicable pretreatment standard should be revised so that an IU is not required to remove a greater amount of pollutants than are already present in its intake water.

Removal Credit Approval Request POTW AA 403.7 To authorize a POTW to calculate a revised categorical standard( s)

reflecting pollutant removal already resulting from specific POTW design capabilities.

Removal Credit Self Monitoring Report POTW AA 403.7 To monitor ongoing POTW pollutant removal that is the basis for revised categorical standards for that POTW's users. Exhibit 3d: Uses of the Data Collected for Program/ Categorical Determination National Pretreatment Program ICR August 12, 2003 13 3 NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA 3( a) Nonduplication EPA has examined all other reporting requirements contained in the CWA and 40 CFR 403. In addition, the following sources of information have been examined or consulted to determine if similar or duplicative information is available elsewhere:

° Permit Compliance System, ° Management Information and Data Systems Division Inventory of Automated Systems, ° Environmental Information Clearinghouse, ° Inventory of Information Collection Requests.

No similar or duplicative reporting requirements were found. No other mechanism for obtaining information on continued compliance with pretreatment standards is available.

3( b) Public Notice Required Prior to ICR Submission to OMB To comply with the 1995 Amendments to the PRA, EPA solicited public comments for a 60 day period prior to submission of the ICR to OMB. Comments were requested on April 3, 2003, via a Federal Register ( FR) notice ( 68 FR 16282  16283; see Appendix B). One set of comments was received in response to that notice. The comment was not related to National Pretreatment Program reporting or recordkeeping requirements and, therefore, was not addressed in this ICR.

An additional Federal Register notice will be published upon submission of this ICR to OMB. The public comment period for this additional notice is 30 days.

3( c) Consultations On June 26, 1978, EPA promulgated the General Pretreatment Regulations ( 43 FR 27736). Between February 1977 and June 1978, four public hearings and 16 public meetings were held concerning the proposed regulations; in addition, more than 400 individual comments were received by EPA. As a result of the comments received, EPA modified reporting requirements in the final General Pretreatment Regulations to minimize the burden to POTWs.

On October 29, 1979, EPA proposed amendments to the General Pretreatment Regulations ( 44 FR 62260). After considering numerous comments submitted on the proposed amendments, EPA developed and published the amended General Pretreatment Regulations on January 28, 1981 ( 46 FR 9404). These amendments were originally scheduled to take effect on March 13, 1981. Their effective date was temporarily deferred until March 30, 1981, by a Presidential memorandum ( 46 FR 11972). On March 27, 1981, EPA indefinitely postponed the amendments' effective date.

After EPA's indefinite deferral of the effective date of the General Pretreatment Amendments in 1981, a suit was brought by the Natural Resources Defense Council ( NRDC) challenging EPA's deferral of these amendments without notice and comment. Additionally, two groups that are directly and substantially affected by the National Pretreatment Program recommended that portions of the amended regulations go into effect. After considering all National Pretreatment Program ICR August 12, 2003 2 For a detailed summary of PIRT's recommendations, see the January 30, 1985, EPA publication Pretreatment Review Task Force: Final Report to the Administrator.

14 public comments received in response to the postponement, EPA put most of the amendments into effect. On July 8, 1982, a decision was reached on NRDC's suit ( NRDC v. EPA, No. 81 2068). The court held that EPA's suspension violated the Administrative Procedure Act, and ordered EPA to reinstate all pretreatment amendments retroactive to March 30, 1981.

On February 3, 1984, EPA established the Pretreatment Implementation Review Task Force ( PIRT), to provide the Agency with recommendations for addressing day to day problems faced by POTWs, States and industries implementing the Agency's Pretreatment Program. PIRT was composed of 17 representatives of POTWs, States, industry, environmental groups, and EPA Regions. This effort produced a set of recommendations to the Agency, which were summarized in a final report to the Administrator2. The General Pretreatment and NPDES Regulations ( 40 CFR Parts 122 and 403) were revised on October 17, 1988, ( 53 FR 40610) in response to PIRT's recommendations.

The 1984 Hazardous and Solid Waste Amendments to RCRA required EPA to prepare a report for Congress on wastes passing through POTWs, which fall under the domestic sewage exclusion ( Section 1004( 27) of RCRA). To ensure that such discharges did not present a threat to human health or the environment, EPA also had to promulgate new regulations or modifications to existing regulations. Under the domestic sewage exclusion, solid or dissolved materials within domestic sewage are not regulated under RCRA as solid or hazardous waste and are not required to meet RCRA standards for hazardous waste treatment, storage, or disposal.

To comply with the 1984 RCRA Amendments, EPA submitted the Domestic Sewage Study ( DSS) to Congress on February 7, 1986. The report contained information on 160,000 waste dischargers from 47 industrial categories and the residential sector. The report also provided information on the effectiveness of existing government controls for wastewater discharges, especially Federal and local pretreatment programs and categorical pretreatment standards. The DSS concluded that the domestic sewage exclusion should be retained, but that CWA authorities should be more broadly and effectively applied to regulate hazardous waste discharges. Several initiatives were proposed in the report for increased effectiveness of controls.

As a result, EPA published an Advance Notice of Proposed Rulemaking ( ANPR) on August 22, 1986 ( 51 FR 30166) for modifications to the General Pretreatment and NPDES Regulations ( 40 CFR Parts 122 and 403). To solicit comments on the ANPR, three public meetings were held in the District of Columbia, Chicago, and San Francisco. Comments on the ANPR were summarized and published in the Federal Register on June 22, 1987. Most comments on the DSS and the ANPR, which primarily addressed methods of improving pretreatment programs to control hazardous waste discharges to POTWs more effectively, were incorporated into the proposed regulatory changes published in the Federal Register on November 23, 1988 ( 53 FR 47632). The final rule to implement the proposed revisions to the Pretreatment and NPDES Regulations was issued on July 24, 1990 ( 55 FR 30082); its intent was to ensure the control of hazardous wastes passing through POTWs.

On November 25, 1992, pursuant to Section 405 of the CWA, EPA promulgated a regulation ( 40 CFR Part 503) to protect public health and the environment from reasonably National Pretreatment Program ICR August 12, 2003 15 anticipated adverse effects of certain pollutants in sewage sludge ( 58 FR 9248, February 19, 1993). This regulation established requirements for the following final uses or disposal of sewage sludge:

° Land application either to condition the soil or to fertilize crops grown in the soil. ° Final disposal on the land. ° Incineration.

Also on November 25, 1992, EPA amended the Part 403 General Pretreatment Regulations to add a new Appendix G that includes two tables of pollutants that are eligible for a removal credit if the other procedural and substantive requirements of 40 CFR Part 503 and 40 CFR 403.7 are met. The first table ( Appendix G   Section I) lists, by use or disposal practice, the pollutants regulated in Part 503 and eligible for removal credit authorization. The second table ( Appendix G   Section II) lists, by use or disposal practice, additional pollutants that are eligible for a removal credit if the concentration of the pollutant in sewage sludge does not exceed a prescribed concentration. The pollutants in Appendix G   Section II are the pollutants that EPA evaluated and opted not to regulate during development of the Part 503 regulation. ( 58 FR 9381   5).

On March 5, 1993, the Leather Industries of America, Inc. filed a petition with the U. S. Circuit Court of Appeals for the District of Columbia Circuit seeking review of the pollutant limits for chromium found in Tables 1   4 of 40 CFR 503.13( b). On June 17, 1993, the City of Pueblo, Colorado, filed a petition for review with the U. S. Court of Appeals for the Tenth Circuit challenging the selenium pollutant limits in Tables 1   3 of 40 CFR 503.13( b). This case was subsequently transferred to the D. C. Circuit. On November 15, 1994, the D. C. Circuit remanded the cumulative pollutant loading rate for chromium in Table 2 and the pollutant concentration limit for chromium and selenium in Table 3 to the Agency for modification or additional justification ( Leather Industries of America, Inc. v. Environmental Protection Agency, 40 F. 3d 392, D. C. Cir., 1994).

Effective October 25, 1995, and as a result of EPA's reconsideration of certain issues remanded by the U. S. Court of Appeals for additional justification or modification, the Agency amended 40 CFR 503 to delete the land application pollutant limits for chromium and to change the land application pollutant concentration limit for selenium. Accordingly, EPA also amended the list of pollutants ( in Appendix G of 40 CFR 403) for which a removal credit may be available ( 60 FR 54764 70).

In response to the President's report " Reinventing Environmental Regulations" ( March 1995), EPA committed to streamlining the National Pretreatment Program to reduce the burden of technical and administrative requirements that affect industrial users and Control Authorities. Based on input from various stakeholders, including States, POTWs, trade associations, and environmental groups, EPA adopted a regulation to simplify the process for modifying pretreatment program requirements in NPDES permits. The proposal was published in the Federal Register on July 30, 1996 ( 61 FR 39804 10), and the final regulation was adopted on July 17, 1997 ( 62 FR 38406 15). Continuing stakeholder input led EPA to propose 13 additional regulations changes on July 22, 1999 ( 64 FR 39563). The proposed revisions would reduce the regulatory burden without affecting environmental protection. EPA continues to work closely with stakeholders to resolve on going issues and to develop a final Streamlining Rule. National Pretreatment Program ICR August 12, 2003 16 3( d) Effects of Less Frequent Collection EPA considers the reporting requirements associated with the Pretreatment Program ( both the one time and ongoing monitoring and reporting requirements) to be the minimum necessary for effective administration of the program. EPA also considers the reporting requirements to be the minimum necessary for effective control of hazardous wastes and to implement RCRA section 3018( b). Any alternative to the present set of minimal requirements would entail an increase in reporting burden to respondents.

In addition, EPA considers the specific requirements for Significant Industrial Users ( SIUs) and for reporting the discharge of RCRA hazardous substances preferable to repealing the domestic sewage exclusion. This helps to ensure that POTWs and IUs dispose of hazardous safely without subjecting them to regulation under RCRA.

3( e) General Guidelines This ICR was prepared in accordance with the February 1999 version of EPA's Guide to Writing Information Collection Requests Under the Paperwork Reduction Act of 1995 prepared by EPA's Office of Environmental Information, Office of Information Collection, Collection Strategies Division. This ICR Handbook provides the most current instructions for ICR preparation to ensure compliance with the 1995 PRA amendments and OMB's implementing guidelines.

Only one provision of the Pretreatment Program requirements exceeds the OMB guidelines contained in 5 CFR 1320.5( d)( 2). According to 40 CFR 403.12( f), IUs must notify the POTW immediately of any slug loading by the IU. The report is typically made by telephone. This is an emergency provision that enables the POTW to take timely and appropriate protective action.

3( f) Confidentiality The following reporting requirements may contain confidential business information, proprietary information, or information containing compromising trade secrets:

° Pretreatment Baseline Monitoring Report ( BMR) ° IU Compliance Schedule Report ° POTW and IU Maintenance of Monitoring Records ° Pretreatment Categorical Determination Request ° Pretreatment Fundamentally Different Factors ( FDF) Variance Request.

In such cases, the respondent has the right to request that the information be treated as confidential business information ( CBI). All data so designated will be handled pursuant to 40 CFR 403.14( a), which provides the following guidelines regarding such information:

In accordance with 40 CFR Part 2, any information submitted to EPA pursuant to these regulations may be claimed as confidential by the submitter. Any such claim must be asserted at the time of submission in the manner prescribed on the application form or instructions, or, in the case of other submissions, by the words " confidential business information" on each page containing such information. If no claim is made at the time of submission, EPA may make the information available to the public without further notice. If a claim is asserted, National Pretreatment Program ICR August 12, 2003 17 the information will be treated in accordance with the procedures in 40 CFR Part 2 ( Public Information).

Industrial effluent data, however, " shall be made available to the public without restriction" [ 40 CFR 403.14( b)].

3( g) Sensitive Questions Reporting requirements for the National Pretreatment Program do not contain questions of a sensitive nature. National Pretreatment Program ICR August 12, 2003 18 4 THE RESPONDENTS AND THE INFORMATION REQUESTED 4( a) Respondents/ NAICS Codes Data associated with this ICR are collected and maintained at the IU, POTW, State, and Federal levels. Respondents include POTWs, certain classifications of IUs, and States submitting requests for program approval.

The Standard Industrial Classification ( SIC) code for sewerage systems ( i. e., POTWs) is 4952. The SIC code for State agencies is 9511 ( Air and Water Resources and Solid Waste Management). The North American Industry Classification System ( NAICS) code for State agencies that include pretreatment programs is 92411 ( Administration of Air and Water Resources and Solid Waste Management Programs). POTWs are classified as NAICS code 22132 ( Sewage Treatment Facilities).

Auxiliary systems ( i. e., those that provide services to the primary establishment, such as electrical power to a factory) cannot be categorized in a single NAICS or SIC code. For auxiliary systems, the NAICS or SIC code is that of the primary establishment or industry. IUs potentially affected by the Pretreatment Regulations include the following categories of industries:

Exhibit 4 Affected Industries and Industrial Classifications Affected Industry SIC Code( s)* NAICS Code( s)**

Adhesive/ sealant 2891 32552 Aluminum Forming 3353, 3354, 3355, 3357, 3363 331315, 331316, 331319, 331521 Asbestos Manufacturing 2621, 3292 33634, 327999 Battery Manufacturing 3691, 3692 335911, 335912 Builder's Paper and Board Mills 267 322222, 322299 Carbon Black Manufacturing 2895 325182 Cement Manufacturing 3241 327310 Coal Mining 1221, 1222, 1231, 1241 212111, 212112, 212113, 213113 Coil Coating 3411, 3479, 3492 332431, 332812 Copper Forming 3351, 3357, 3463 331421, 331422, 332112 National Pretreatment Program ICR August 12, 2003 Affected Industry SIC Code( s)* NAICS Code( s)**

19 Centralized Waste Treatment 4953 562211, 562219 Dairy Products Processing 2021, 2022, 2023, 2024, 2026 311511, 311512, 311513, 311514, 311520 Electrical and Electronic Components 3671, 3674, 3679 334411, 334413, 334419 Electroplating 3471, 3672 332813, 334412 Explosives Manufacturing 2892 325920 Feedlots 0211 112112 Ferroalloy Manufacturing 3313 331112 Fertilizer Manufacturing 2873, 2874, 2875 325311, 325312, 325314 Foundries 332, 3365, 3366 331511, 331512, 331513, 331524, 331525 Fruits and Vegetables Processing 2033, 2034, 2035, 2037 311411, 311421, 311422, 311423 Glass Manufacturing 3211, 3221, 3296 327211, 327212, 327993 Grain Mills Manufacturing 2041, 2043, 2044, 2045, 2046, 2047 311111, 311211, 311212, 311213, 311221, 311230 Gum and Wood Chemicals 2861 325191 Ink Formulating 2893 325910 Inorganic Chemicals 2812, 2813, 2816, 2819 325120, 325131, 325181, 325188 Iron and Steel Manufacturing 3312, 3315, 3316, 3317, 3479 331111, 331210, 331221, 331222, 332812 Leather Tanning and Finishing 3111 316110 Meat Processing 2011, 2013, 2077 311611, 311612, 311613 National Pretreatment Program ICR August 12, 2003 Affected Industry SIC Code( s)* NAICS Code( s)**

20 Metal Finishing Industry groups: 34, 35, 36, 37, and 38 Industry subsectors 332, 333, 334, and 336 Metal Molding and Casting 3321, 3322, 3324, 3325, 3365, 3366, 3369 331511, 331512, 331513, 331524, 331525, 331528 Non Ferrous Metals Forming and Metal Powders 3356, 3357, 3363, 3497, 3499 331422, 331491, 331521, 332117, 332999 Ore Mining and Dressing 1011, 1021, 1031, 1041, 1044, 1061, 1094, 1099 212210, 212221, 212222, 212231, 212234, 212291, 212299 Organic Chemicals, Plastics, and Synthetic Fibers 286 325132, 325211, 325192, 32511, 32512, 325193, 325212, 325199 Paint Formulating 2851 325510 Paving and Roofing ( Tars and Asphalt) 2951, 2952, 3996 324121, 324122, 326192 Pesticides Formulating, Packaging, and Repackaging 287 325314 Pesticides Manufacturing 2879 325320 Petroleum Refining 2911 324110 Pharmaceuticals Manufacturing 2833, 2834 325411, 325412 Phosphate Manufacturing 2819, 2874 325188, 325312 Photographic 7221, 7335, 7384, 7819 512199, 541921, 541922, 812921, 812922 Plastics and Synthetics 3081, 3082, 3083, 3084, 3085, 3086, 3087 325991, 326112, 326113, 326121, 326122, 326140, 326150, 326160 Porcelain Enameling 3431, 3469, 3479, 3631, 3632, 3633, 3639 332116, 332812, 332998, 335221, 335222, 335224, 335228 National Pretreatment Program ICR August 12, 2003 Affected Industry SIC Code( s)* NAICS Code( s)**

21 Printing and Publishing 2731 51223, 51113, 323117 Pulp, Paper, and Paperboard 2611, 2621, 2631 322110, 322121, 322122, 322130 Rubber Processing 2822 325212 Seafood Processing, Canning & Preserving 2091, 2092 311711, 311712 Soaps and Detergents Manufacturing 2841 325611 Steam Electric Power Generating 4911 221112 Textile Mills ( 410) 2211, 2221, 2231, 2241, 2251, 2252, 2253, 2254, 2257, 2258, 2259, 2261, 2262, 2269, 2273, 2281, 2282, 2284, 2295, 2296, 2297, 2298, 2299 313111, 313112, 313113, 313210, 313221, 313222, 313230, 313241, 313249, 313311, 313312, 313320, 314110, 314121, 314129, 314911, 314912, 314991, 314992, 314999 Timber Products and Processing 2421, 2435, 2436, 2491, 2493, 2499 321114, 321211, 321212, 321219 Transportation Equipment 4491, 4499, 4741, 7699 484230, 488210, 488320, 488390 * Note that some industry sectors are categorized by only two or three digit SICs. ** Note that this table may not include all applicable NAICS codes for certain industries with many applicable codes.

Among the IUs that are respondents, some are considered to be SIUs, based on certain criteria. SIUs are defined in 40 CFR 403.3( t) as any of the following types of facilities:

° All IUs subject to categorical pretreatment standards.

° All IUs not subject to categorical pretreatment standards that:

  discharge an average of 25,000 gallons per day or more of process wastewater;

  contribute a process wastestream equal to or greater than five percent of the receiving treatment plant's average dry weather hydraulic or organic capacity; or National Pretreatment Program ICR August 12, 2003 22   have a reasonable potential to adversely affect the POTW's operation or violate any pretreatment standard or requirement as determined by the Control Authority.

4( b) Information Requested 4( b)( i) Data Items This section describes the information required for the Pretreatment Program and the frequency of the collections. Exhibit 5 summarizes these reporting requirements. In conjunction with describing respondent activities, Section 4( b)( ii) provides additional details about the information requested. Most of the information requirements, particularly those associated with program development and program/ categorical determination, are one time requirements that have already been met by most States, POTWs, and IUs.

Exhibit 5 Reporting and Recordkeeping Requirements for the Pretreatment Program Information Type Requirement Regulatory Citation ( 40 CFR) From To Frequency/ Retention Program Development POTW Pretreatment Program Approval Request 403.8( b), 403.9 POTW AA One time POTW Pretreatment Compliance Schedule Progress Report 403.8, 403.9, 403.12( k) POTW AA One time State Pretreatment Program Approval Request 403.10 State OA One time Maintain Pretreatment Program Information 403.11( f), 403.14 OA, AA, POTW Stored on site For minimum of 3 years Program Implementation Evaluation of the Need to Revise Local Limits 403.5( c) CA AA Once every 5 years Notification of Changed Monitoring Location 403.6( e) IU CA Once per occurrence Issuance of Discharge Permits or Other Control Mechanisms for SIUs 403.8( f) CA IU Once every 5 years Inspection and Sampling of IU and SIU Effluent:

403.8( f) CA AA Random Sampling and Analysis of IUs, Surveillance Intermittent Inspection and Sampling of SIUs Annually Evaluation of SIUs for SCP Every 2 years Public Notification of SNC 403.8( f) CA Public Annually Prevention and Control Plan for Spills and Batch Discharges 403.8( f) IU CA One time, as required National Pretreatment Program ICR August 12, 2003 Information Type Requirement Regulatory Citation ( 40 CFR) From To Frequency/ Retention 23 POTW Enforcement Response Plan 403.8( f) CA AA One time SIU Notification of Applicable Standards and Requirements 403.8( f) CA IU As needed Baseline Monitoring Report 403.12( b) IU CA One time IU Compliance Schedule Progress Report 403.12( c) IU CA One time IU Compliance Attainment Report 403.12( d) IU CA One time IU Self Monitoring Report 403.12( e), 403.12( h) IU CA Every 6 months or as requested by CA IU Slug Load Notification 403.12( f) IU CA As needed Program Implementation ( continued) IU Compliance Report ( Resampling Requirements) 403.12( g) IU CA Once per effluent violation Annual POTW Reports 403.12( i) CA AA Annually Notification of Changed Discharge 403.12( j) IU CA Once per occurrence Maintain POTW Monitoring Records 403.12( o), 403.14( c) POTW Stored on site For minimum of 3 years Maintain IU Monitoring Records 403.12( o) IU Stored on site For minimum of 3 years Notification of RCRA Discharge 403.12( p) IU CA, EPA, State One time, as needed Bypass Notification 403.17 IU CA Once per occurrence POTW Program Modifications 403.18 CA AA Once per occurrence CWT Multiple Waste Subcategories 437.41 IU CA One time; annually*

Pollution Prevention Alternative 455.41 IU CA One time;

semiannually

Excellence Award Program Information 105 POTW, AA OA Annually ( voluntary) National Pretreatment Program ICR August 12, 2003 Information Type Requirement Regulatory Citation ( 40 CFR) From To Frequency/ Retention 24 Program/ Categorical Determination Categorical Determination Request 403.6( a) IU, CA OA, AA One time ( voluntary)

Alternative Limits Modification Request 403.6( e) IU CA Once per occurrence Removal Credit Approval Request 403.7 POTW AA Intermittent Removal Credit Self Monitoring Report 403.7 POTW AA Annually or as specified by AA Fundamentally Different Factors Variance Request 403.13 IU, CA OA One time ( voluntary)

Net/ Gross Adjustment Request 403.15 IU CA Intermittent * The IU submits the initial certification statement once, then submits annual certification statements thereafter. ** The IU submits the P2 Alternative Certification once, then submits semi annual certifications or requests for modifications to the P2 alternative.

Program Development The reporting requirements for program development apply to States and POTWs, and include the State Pretreatment Program Approval Request, the POTW Compliance Schedule Progress Report, and the POTW Pretreatment Program Approval Request.

The regulations at 40 CFR 403.10 require States to develop a State pretreatment program if they were granted NPDES authority before the National Pretreatment Program was established. All other States are required to apply for pretreatment approval at the time they apply for NPDES program approval. A request for State pretreatment program approval must demonstrate that the State has developed the legal, procedural, and administrative bases for the program and that it has obtained the necessary funding and staff to operate the program. Once a State has met these requirements and received program approval from EPA, the State becomes the Approval Authority for its pretreatment program. If a State has not obtained approval authority, the EPA Regional Office administers that State's pretreatment program. Currently, 34 States have approved pretreatment programs.

All POTWs with design flows of more than 5 million gallons per day ( mgd) must develop pretreatment programs that will reduce, eliminate, or alter harmful industrial pollutants prior to discharge to the POTW sewage system. This requirement also applies to smaller POTWs that receive discharges from SIUs. POTWs located in States that act as the Control Authority for all POTWs in the State ( the 403.10( e) States) are exempt from this requirement. In cases where POTWs do not have a pretreatment program, approved pretreatment States or EPA Regional Offices assume the responsibility of the Control Authority.

To obtain an approved pretreatment program, a POTW is required by 40 CFR 403.8 to conduct a survey of its IUs, establish the legal authority and procedures for compliance monitoring and enforcement, develop local limits for pollutant concentrations, and secure the necessary staff and funding for the program. As part of its program development, the POTW National Pretreatment Program ICR August 12, 2003 25 must submit a schedule with the expected date of completion for each major program requirement. Before obtaining final approval, the POTW must certify that all of the above requirements have been met.

The Approval Authority must retain all pretreatment program submissions and removal credit request submissions, as well as any comments related to these submissions. This information must be available to the public upon request.

Program Implementation Once it receives program approval, the POTW or the agency responsible for administering the pretreatment program is required under Section 402( b) of the CWA to ensure IU compliance with the National Pretreatment Standards. This includes the following POTW requirements:

° Annual POTW Reports ° POTW Program Modifications ° Issuance of Discharge Permits or Other Control Mechanisms for SIUs ° Inspection and Sampling of Industrial User Effluent C Public Notification of Significant Noncompliance C Evaluation of the Need to Revise Local Limits C POTW Enforcement Response Plan C SIU Notification of Applicable Standards and Requirements C Excellence Awards Program Information C Maintain Monitoring Records Many of the other requirements for this phase of the program apply to IUs and include the following:

C Baseline Monitoring Report C Industrial User Compliance Schedule Progress Report C Industrial User Compliance Attainment Report C Industrial User Compliance Report ( Resampling Requirements) C Industrial User Self Monitoring Report C Pollution Prevention Alternative C Centralized Waste Treatment ( CWT) Multiple Waste Subcategories C Maintain Monitoring Records C Industrial User Slug Load Notification C Notification of Changed Discharge C Bypass Notification C Notification of Changed Monitoring Location C Prevention and Control Plan for Spills and Batch Discharges C Notification of RCRA Discharge Within 180 days after the effective date of a categorical standard, an affected industry must submit a BMR, which contains the pollutant concentrations of its waste stream( s). If the IU is not in compliance with the standards, it has up to three years to finance, construct, and operate any pollution control equipment or facilities necessary to bring the IU into compliance. Each BMR includes a schedule indicating when the IU will be in compliance with the standards. National Pretreatment Program ICR August 12, 2003 26 Additionally, IUs must submit Compliance Schedule Progress Reports, which indicate if the IU has met each deadline contained in the schedule. The IU must provide a reason if it did not achieve a milestone. The Compliance Attainment Report is the final report on the status of pretreatment construction; it indicates that the system is operating and that the IU is in compliance with the appropriate standard.

Once an IU has achieved compliance, it must monitor and report the results of its analysis to the Control Authority at least once every six months. ( This is the IU or SIU Self Monitoring Report.) The Control Authority has the discretion to require more frequent monitoring or reporting, if necessary. In addition, both the IU and the POTW must maintain records of these analyses for a minimum of three years. The IU must notify the Control Authority of any pollutant released at a flow rate and/ or pollutant concentration that will cause interference with the POTW or will violate a general or specific prohibition of the permit. Such an occurrence, known as slug loading, must be reported " immediately" to enable the POTW to take appropriate protective actions ( 40 CFR 403.12( f)). The IU must also notify the POTW, the State, and EPA if it discharges any substance defined as hazardous under RCRA.

Program/ Categorical Determination These reporting requirements are used to determine the applicability of the requirement or to revise specific requirements imposed on IUs. They include the following:

C Categorical Determination Request C Alternative Limits Modification Request C Fundamentally Different Factors Variance Request C Net/ Gross Adjustment Request C Removal Credit Approval Request C Removal Credit Self Monitoring Report Although the information is required once a request is made, the decision to make such a request is voluntarily made by the IU, the POTW, or an interested third party during the implementation phase of a particular categorical standard.

An IU, or a POTW on behalf of an IU, may request that the Oversight Authority determine if it is subject to a particular categorical standard. If the IU can demonstrate that its process effluent is mixed with other wastewater prior to treatment, it may request alternative discharge limits. If the IU ( or the interested party) can demonstrate that circumstances exist that were not considered when that standard was developed, it may request a Fundamentally Different Factors Variance. If an IU can certify that its intake waters already contain a restricted pollutant, it may request a Net/ Gross Adjustment to obtain credit for the amount of pollutant in its intake waters. ( This request is restricted to those cases where the intake and the discharge from the POTW are in the same body of water.)

Lastly, a POTW may apply to the Approval Authority at any time for authorization to grant removal credits. To qualify, the POTW must certify that the pollutant( s) being controlled by the categorical standard is ( are) being treated and removed at the POTW, thereby rendering additional treatment by the IU unnecessary. In such cases, the Approval Authority may revise the applicable numerical standard( s) for IUs discharging to that facility. If a POTW is granted removal credits, it must monitor and report the results of its analysis to certify that pollutant removal is ongoing. National Pretreatment Program ICR August 12, 2003 27 4( b)( ii) Respondent Activities This section describes the activities undertaken by respondents to obtain the necessary information to fulfill their obligations to the Pretreatment Program. As in the previous section, respondent activities are described with respect to program development, program implementation, and program/ categorical determination.

Program Development State Pretreatment Program Approval Request States seeking approval for their pretreatment program must demonstrate that they have established the necessary legal, administrative and procedural bases for effective monitoring and oversight of POTW programs. Requests are submitted to the Regional Administrator, who determines whether they meet the requirements of 40 CFR 403.10 and Section 402( b) of the CWA. State requests must include three copies of the following components:

C A statement by the State Attorney General ( or the Attorney for State agencies with independent counsel) that the laws of the State provide adequate authority to implement the program, together with copies of all relevant State statutes and regulations.

C A description of the funding levels and full time and part time personnel available to implement the program.

C Any modifications or additions to the Memorandum of Agreement ( required by 40 CFR 123.24) that may be necessary for EPA and the State to implement the program.

The EPA Regional Administrator will notify the State that the submission has been received and is under review, according to the process set out in 40 CFR 123.62. If the State submission is approved, the State will base its pretreatment program on information in that submission. If the State submission is not approved, EPA will continue to act as the AA for POTW pretreatment programs ( and the CA in areas without approved POTW pretreatment programs).

POTW Pretreatment Compliance Schedule Progress Report Certain POTWs must establish a pretreatment program, as stated in 40 CFR 403.8( a). These are POTWs with one or more of the following characteristics:

° A total design flow greater than 5 mgd.

° Receive industrial pollutants that pass through or interfere with POTW operations.

° Are otherwise subject to pretreatment standards.

The Administrator may require other POTWs to develop a pretreatment program if circumstances warrant such action. POTWs located in States that act as the Control Authority for all POTWs in the State ( 403.10( e) States) are exempt from the requirement to develop a pretreatment program. National Pretreatment Program ICR August 12, 2003 28 The compliance schedule contains suggested dates to begin and complete major program components leading to the development and implementation of a POTW pretreatment program. Items such as legal authority, technical information, program procedures, and organizational and funding mechanisms should be included. The number of activities specified in the compliance schedule varies among the States and Regions. The elapsed time between each major event specified in the compliance schedule may be no more than nine months.

Within 14 days of the deadline for each major event in the compliance schedule and within 14 days of the final compliance date for completing the program, the POTW must submit a progress report to the appropriate Approval Authority stating if the deadline has been met. If the deadline was not met, the report must include the date compliance is expected, the reason for the delay, and the steps taken by the POTW to return to the established schedule.

POTW Pretreatment Program Approval Request In the final submission, a POTW applying for program approval must include documentation of the following seven general program elements:

( 1) Industrial Waste Survey ( IWS). The POTW must identify and evaluate the nondomestic dischargers to its treatment system. To conduct the IWS, the POTW must:

° Compile a master list of potential IUs in the service area.

° Identify and locate each IU and collect information relating to the type of industry and the quality and quantity of discharge.

° Summarize the data collected for use in developing the pretreatment program.

( 2) Legal Authority. The POTW must have adequate legal authority to apply and enforce the requirements of the General Pretreatment Regulations and any other State or local rules needed to control nondomestic discharges.

( 3) Technical Elements/ Local Limits. The POTW must analyze discharges to its treatment system and establish local effluent limits to protect the operation of its treatment plant( s), the quality of its receiving water, and the quality of its sewage sludge.

( 4) Compliance Monitoring. The POTW must develop procedures for monitoring its IUs to determine compliance/ noncompliance.

( 5) Procedures. The POTW must develop administrative procedures to implement its pretreatment program.

( 6) Resources. The POTW must have sufficient resources ( funds, equipment, and personnel) to operate an effective and ongoing program. National Pretreatment Program ICR August 12, 2003 29 ( 7) Enforcement Response Plan. The POTW must develop a plan that contains detailed procedures for investigating and responding to instances of IU noncompliance.

The Approval Authority reviews the submission and determines its adequacy, according to the requirements of 40 CFR 403.8( f). If the Approval Authority determines that the submission is inadequate, it notifies the POTW of any defects and provides information for complying with the requirements.

Maintain Pretreatment Program Information The Approval Authority must retain and make available to the public for inspection and copying the submissions of POTWs for pretreatment program approval and of any requests for removal credits. The Approval Authority must also keep with these submissions any comments received pursuant to the submissions.

Program Implementation Baseline Monitoring Report According to 40 CFR 403.12( b), all IUs subject to categorical standards must submit a BMR to the Control Authority within 180 days after the effective date of the applicable standard. In the case of new sources, the BMR must be submitted at least 90 days prior to commencement of discharge. The BMR must include the following:

° Identifying information ° Environmental control permits ° Description of operations ° Flow measurement data ° Pollutant measurement for regulated pollutants ° Certification ( or non certification) of compliance with the standard ° Compliance schedule This information is submitted only once, after promulgation of a categorical standard. If an IU has already submitted this information during the Industrial Waste Survey or in a permit application, it is not required to resubmit information to the Director or Regional Administrator. The Control Authority may also require certain noncategorical IUs to submit a similar report.

Industrial User Compliance Schedule Progress Report As part of its BMR, an IU that cannot currently meet all effluent standards must submit a compliance schedule indicating the minimum time for implementing additional pretreatment technology or operation and maintenance processes. The schedule contains progress dates for commencement and completion of major events leading to the construction and operation of additional pretreatment required for the IU to meet the categorical pretreatment standard. The completion date in the schedule can be no later than the compliance date established for that pretreatment standard.

In addition to the compliance schedule ( submitted with the BMR), periodic reporting is required within 14 days following each date in the schedule. This ensures progress toward categorical standard compliance. The report must indicate whether the IU complied with the scheduled activities for that particular deadline. If a deadline is not met, the report must provide National Pretreatment Program ICR August 12, 2003 30 the date on which the IU expects to comply, the reason for the delay, and the steps being taken to return the construction to the established schedule. The frequency of these reports is determined by the planned stages of installation. In no case, however, may more than nine months elapse between submission of progress reports to the Control Authority.

Industrial User Compliance Attainment Report IUs subject to categorical standards must submit a report to the Control Authority within 90 days following the date for final compliance with the standard. The report must state if compliance has been attained. New sources ( defined at 40 CFR 403.3( k)( 1)) must also submit this report after they begin to discharge wastewater into the POTW. The compliance attainment report must include the following:

° Sampling data indicating the nature and concentration of all pollutants from regulated processes limited by categorical pretreatment standards.

° Average and maximum daily flow measurements for regulated wastewater.

° A statement signed by an authorized company representative that declares if pretreatment standards are being met on a consistent basis and, if not, additional operation and maintenance or pretreatment that is necessary to obtain compliance.

If the Control Authority determines that the IU must perform additional operation and maintenance or pretreatment to attain the standard, it can then assist the IU in obtaining compliance or take an enforcement action against the IU.

Industrial User Compliance Report ( Resampling Requirements)

All IUs are required to:

° Include sampling results in compliance reports,

° Perform repeat monitoring, when necessary, and ° Notify the Control Authority immediately of all discharges that could cause problems to the POTW.

All monitoring performed by the IU must be reported to the Control Authority to prevent IUs from selecting the most favorable sampling results to include in the report. If the sampling indicates a violation, the IU must notify the Control Authority within 24 hours of becoming aware of the violation. The IU must perform repeat sampling for the parameter for which the violation is found and submit results within 30 days. Finally, the IU must notify the Control Authority immediately of all discharges that could cause problems to the POTW, including any slug loadings.

In addition, the POTW may perform discharge monitoring in lieu of self monitoring by the industrial users. POTWs choosing to perform their own sampling and analysis must perform at least the same amount of sampling as is required of industrial users. National Pretreatment Program ICR August 12, 2003 31 Industrial User Self Monitoring Report Section 403.12 of the General Pretreatment Regulations requires that categorical and non categorical SIUs report to the Control Authority at least semiannually on their continuing compliance with the standard. The reports must be submitted in June and December of each year, unless otherwise specified in a Pretreatment Standard or agreed upon by the Control Authority. New sources must also submit these reports after they begin to introduce wastewater into the POTW.

The Control Authority must have authority to require " appropriate" reporting from non categorical IUs in order to assess and assure compliance with applicable pretreatment standards and requirements. The regulations specify that the following information be included in the report:

° Wastewater pollutant sampling and analysis data, including all regulated pollutants, concentrations, and sampling dates.

° A record of measured or estimated average and maximum daily flow for the reporting period.

In addition, the Control Authority may request other information relating to noncompliance, violations and corrective actions, sampling and analytical methods, and other topics.

The regulations do not specify a method for obtaining the data for these reports. Monitoring can be performed by the Control Authority, the IU, or a combination of both. However, most Control Authorities require the IU to self monitor ( in addition to Control Authority monitoring).

Pollution Prevention Alternative The Pesticides Formulating, Packaging, and Repackaging ( PFPR) Regulations ( 40 CFR § 455.41) contain a provision that allows facilities to submit a pollution prevention alternative certification in lieu of complying with the zero discharge requirement. The paperwork required for compliance with the P2 Alternative includes the following:

° One time initial certification statement with required descriptions of products/ processes, P2 practices, and treatment systems.

° Periodic ( semi annual) certification statement with description of any changes since last report.

° Requests for approval of non listed modifications to the listed practices along with justifications for such changes.

° On site compliance paperwork ( i. e., supporting documentation).

CWT Multiple Waste Subcategories In addition, Subcategory D of the CWT Regulations ( 40 CFR 437) sets requirements available to CWT facilities that accept waste in multiple subcategories. These facilities must demonstrate and certify that their treatment systems obtain equivalent removals to those which National Pretreatment Program ICR August 12, 2003 32 are the basis for the separate subcategory limits. According to the CWT preamble, " The new information reporting requirements under this subcategory, described at Sec. 437.41, include submission of an initial certification statement, annual certification statements thereafter, and maintenance of on site compliance paperwork. These requirements are the same as those previously approved by OMB for facilities in the PFPR category that choose to comply with the pollution prevention alternative."

Maintain Monitoring Records POTWs and IUs must maintain records of any monitoring activity, as required by 40 CFR 403.12( o) and 403.14( k). The records, which must be kept by POTWs and IUs, consist of the sampling and analysis methods used by the facility and the results of both activities. Specifically, the following information must be retained in the record:

° Date, place, method, and time of sampling, ° Names of persons taking samples, ° Dates of analysis, ° Analytical techniques used in analysis, and ° Results of analysis.

In addition, POTWs must retain copies of all BMRs, Compliance Attainment Reports, and periodic IU Self Monitoring Reports. These records must be kept for a minimum of three years, and must be available to the State Director, the Regional Administrator, or the POTW, as appropriate, for inspection.

Annual POTW Reports The POTW is required to submit an annual report to the Approval Authority. The report must contain an updated list of the IUs discharging to the POTW, specifically identifying SIUs. The updated list must show the categorical pretreatment standards and/ or local limits applicable to each IU. The Annual POTW Report should include a summary of the compliance status of each IU over the period covered by the report, a summary of compliance monitoring and enforcement activities ( including inspections conducted by the POTW), and any other information requested by the Approval Authority, as appropriate.

POTW Program Modifications The POTW may request program modifications at any time. All such requests must be submitted to the Approval Authority for review. The Approval Authority determines whether the POTW request is a substantial modification. The definition of a substantial modification is specified in the requirements and includes the following:

° Changes to POTW legal authority ( except for modifications that directly reflect a revision to 40 CFR Part 403 or 40 CFR Chapter I, Subchapter N).

° Changes that relax a POTW's local limits, except for the modifications to local limits for pH and reallocations of the Maximum Allowable Industrial Loading ( MAIL) of a pollutant that do not increase the total industrial loadings for the pollutant, which are reported pursuant to paragraph ( d) of 403.18. MAIL means the total mass of a pollutant that all IUs of a POTW ( or a subgroup of IUs identified by the POTW) may discharge pursuant to limits developed under § 403.5( c). National Pretreatment Program ICR August 12, 2003 33 ° Changes to POTW control mechanisms.

° Changes to POTW methods for implementing categorical pretreatment standards.

° Decreases in the frequency of self monitoring or reporting required of IUs.

° Decreases in the frequency of POTW inspection and sampling of IUs.

° Changes to POTW confidentiality procedures.

If the Approval Authority approves the substantial modification, the change is written into the POTW's NPDES permit. In addition, notice of approval must be published in the same newspaper as was the original request for modification. The POTW is also required to notify the Approval Authority of any nonsubstantial modifications 30 days prior to implementation of the modification.

Industrial User Slug Load Notification Under 40 CFR 403.8( f)( 2)( v)( C), IUs are required to notify the POTW of any slug discharges, including any discharge that would violate one of the specific prohibitions listed in 403.5( b). This provision is intended to protect a POTW's operations and physical integrity. The prohibitions listed in 40 CFR 403.5( b) include the following:

° Pollutants that create a fire or explosion hazard in the POTW, including wastestreams with a closed cup flashpoint of less than 140 ° F ( 40 CFR 403.5( b)( 1)).

° Discharges with a pH lower than 5.0, unless the POTW is specially designed to accommodate such discharges, and pollutants that will cause corrosive, structural damage to the POTW ( 40 CFR 403.5( b)( 2)).

° Solid or viscous pollutants in amounts that will cause obstruction to the flow in the POTW resulting in interference ( 40 CFR 403.5( b)( 3)).

° Any pollutant, including oxygen demanding pollutants ( e. g., BOD), released in a discharge at a flow rate and/ or pollutant concentration that will cause interference ( 40 CFR 403.5( b)( 4)).

° Heat in amounts that will inhibit biological activity in the POTW, resulting in interference; heat in such quantities that the temperature at the POTW exceeds 40 ° C ( 104 ° F), unless the Approval Authority, upon request of the POTW, approves alternate temperature limits ( 40 CFR 403.5( b)( 5)).

° Petroleum oil, nonbiodegradable cutting oil, or products of mineral oil origin in amounts that will cause interference or pass through ( 40 CFR 403.5( b)( 6)).

° Pollutants which result in the presence of toxic gases, vapors, or fumes within the POTW in a quantity that may cause acute worker health and safety problems ( 40 CFR 403.5( b)( 7)). National Pretreatment Program ICR August 12, 2003 34 ° Any trucked or hauled wastes/ pollutants, except at discharge points designated by the POTW ( 40 CFR 403.5( b)( 8)).

The regulations define " interference" as a discharge that inhibits or disrupts the POTW, its treatment process or operations, or its sludge processes, use, or disposal. Such discharges may cause a violation of the POTW's NPDES permit or may prevent sewage sludge use or disposal.

All IUs are required to notify the POTW immediately of any slug loading so that the POTW can take protective actions. This notification is typically a telephone call from the IU to the POTW, with a written notification often required by the POTW to verify the date and time of the event, the approximate volume and concentration of the slug load, the cause of the event, and corrective actions taken.

Notification of Changed Discharge The regulations require all IUs to notify receiving POTWs promptly of any substantial change in the volume and character of pollutants in the user's discharge. This notification enables POTWs to meet their obligations under 40 CFR 122.42( b)( 2) to notify the permitting authority of resulting changes in the POTW discharge.

Bypass Notification The regulations require notification of bypass, which is defined as the intentional diversion of wastestreams from any portion of a discharger's treatment facility ( 40 CFR 403.17( a)). The regulations require all IUs to give prior notice of an anticipated bypass to the Control Authority ten days before the bypass is to occur. For an unanticipated bypass, IUs must notify the Control Authority orally within 24 hours. If required by the Control Authority, the IU must follow up in writing within five days.

Notification of Changed Monitoring Location This requirement affects IUs that treat wastes from multiple processes. It enables the IU to change monitoring locations from segregated wastestreams to the combined wastestream. All categorical IUs are required to inform the Control Authority in advance of any change in the monitoring location.

Issuance of Discharge Permits or Other Control Mechanisms for SIUs The regulations require the Control Authority to issue discharge permits or equivalent individual control mechanisms to SIUs. These discharge permits must include, at a minimum, the following:

° A statement of duration of the permit ( in no case more than five years), ° A statement of non transferability without prior POTW approval, ° Effluent limits based on applicable categorical standards and local limits, ° Applicable monitoring, sampling, and reporting requirements, and ° Statements of applicable civil and criminal penalties. National Pretreatment Program ICR August 12, 2003 35 Inspection and Sampling of IU Effluent Control Authorities must randomly sample and analyze the effluent from IUs and must conduct surveillance activities to identify noncompliance with pretreatment standards. Control Authorities must also inspect and sample the effluent from all SIUs annually. This requirement establishes the minimum frequency with which Control Authorities must inspect and sample the effluent of SIUs. It also enables POTWs to track toxic and hazardous pollutants entering their systems.

Public Notification of Significant Noncompliance The regulations require Control Authorities to publish in a daily newspaper a list of IUs in significant noncompliance during the previous 12 months. SNC includes violations of high frequency or magnitude, as defined in 40 CFR 403.8( f)( 2). This requirements informs the public of such violations.

Prevention and Control Plan for Spills and Batch Discharges Through inspection and sampling of IU effluent ( see above), Control Authorities must evaluate SIUs to determine if they should have prevention and control plans for slug ( spill and non routine batch) discharges. If necessary, the SIU must submit a plan which includes, at a minimum, the following:

° A description of discharge practices, including non routine batch discharges.

° A description of stored chemicals.

° Procedures for immediately notifying the Control Authority of slug discharges, including any discharge that would violate a prohibition under 40 CFR 403.5( b), with procedures for follow up written notification within five days.

° If necessary, procedures to prevent impact from accidental spills, including inspection and maintenance of storage areas, handling and transfer of materials, loading and unloading operations, control of runoff, and worker training.

° If necessary, procedures for building any necessary containment structures or equipment.

° If necessary, measures for controlling toxic organics ( including solvents).

° If necessary, measures and equipment for emergency response.

The purpose of this requirement is to help prevent the accidental or sudden discharge of toxic or hazardous pollutants.

Evaluation of the Need to Revise Local Limits Every five years, POTWs must report to the Approval Authority on the need to revise local limits. This information is necessary for the Approval Authority to evaluate if POTWs have developed appropriate local limits to control toxic and hazardous pollutants. National Pretreatment Program ICR August 12, 2003 36 POTW Enforcement Response Plan The regulations require all approved POTWs to develop and implement Enforcement Response Plans describing procedures for investigating and responding to IU noncompliance. This provision enables EPA to determine the adequacy of a POTW's response to IU noncompliance. For this ICR, burden and costs for this activity is included with the burden estimate for pretreatment program approval requests.

Notification of RCRA Discharge Each IU must notify its POTW and Federal and State hazardous waste permitting authorities of any discharge into the POTW of a substance that is a listed or characteristic waste under Section 3001 of RCRA. In addition, the IU must estimate the volume of hazardous waste expected to be discharged during the following 12 months. This reporting requirement applies to all IUs, including small quantity generators ( less than 100 kilograms ( kg) RCRA waste per calendar month). This requirement implements Section 3018( d) of RCRA.

Excellence Award Program Information The National Pretreatment Program Excellence Awards are sponsored by EPA Headquarters. The program allows exemplary POTWs to be recognized publicly. The program is intended to heighten overall public awareness of industrial wastewater control measures and to encourage public support of programs aimed at protecting the operations of treatment facilities, the health and safety of municipal employees, the quality of receiving waters, and the reuse and recycling of effluent and sludges.

States and Regions nominate POTWs that demonstrate their commitment to protecting and improving the quality of the nation's waters through outstanding implementation and enforcement of local pretreatment programs. Each nomination is screened using Quarterly Noncompliance Reports ( QNCRs) and other sources such as the Permit Compliance System ( PCS). Nominated POTWs should exhibit the following criteria:

° The POTW should be operating an exemplary pretreatment program.

° The POTW should be in compliance with all pretreatment requirements of 40 CFR Part 403, its approved program, and its NPDES permit.

° The POTW must not be operating under any enforcement order issued for any pretreatment violation.

° The POTW must not have been listed on any QNCRs during the previous four quarters for violations of its approved pretreatment program or its NPDES permit.

States and EPA Regions typically nominate up to four POTWs each year for an award. EPA requests an award application from each nominated POTW that passes a screening test. Based on a review of the award applications received, EPA selects and names award winners. National Pretreatment Program ICR August 12, 2003 37 Program/ Categorical Determination Categorical Determination Request When promulgating a pretreatment standard under Section 307( b) of the CWA, the Administrator designates a category or categories of sources to which the standards apply. IUs may be designated under more than one code or categorical standard subcategory. If an IU or POTW is uncertain about the applicability of a particular categorical standard or subcategory designation, they may request, from the EPA Administrator ( or corollary State officer in approved pretreatment States), written certification that the IU falls within a specific category or subcategory.

The request must be submitted within 60 days after the effective date of a categorical pretreatment standard. A new source must request this certification before it begins to discharge into the POTW. If a POTW submits a request, it must notify the affected IU of the submission.

The application for program/ categorical determination must contain a list of subcategories that may be appropriate for the facility and must cite evidence to support the respondent's contention of the applicability of a particular subcategory/ category designation. In addition, all statements contained in the application must be certified, as described in 40 CFR 403.6( a)( 2)( ii).

Either the State Director or the EPA Administrator may make a categorical determination. However, the latter retains the right to a final decision. If the submission is found to be incomplete, a 30 day extension is granted for the requester to correct the deficiency. The request is denied if the deficiency is not corrected within 30 days. If the State Director makes the determination, the EPA Administrator is notified of the decision and may modify the decision within 60 days after receipt. The decision is then sent to the requester, who may request a hearing to contest the decision within 30 days after receipt of the decision. This request is submitted to the EPA Administrator ( or designee).

Alternative Limits Modification Request Prior to treating regulated wastewater, some facilities mix process effluent with wastewater that is not from the regulated process. For these facilities, the Control Authority may establish fixed alternative discharge limits. The Control Authority may also approve such an alternative limit developed by the IU. The IU must immediately report to the Control Authority any material or significant change in the values used in the calculation to revise the alternative limits.

Fundamentally Different Factors Variance Request Section 403.13, 40 CFR provides for a variance from the limits specified in a categorical pretreatment standard due to FDF. In certain cases, an individual discharger's production processes or technologies may be fundamentally different from the representative facilities used to determine the limits. A specific categorical pretreatment standard variance request may be submitted by an IU when the user believes that factors relating to its discharge are fundamentally different from those considered when the Agency established that standard. An FDF variance request may also be submitted by a POTW or other interested party. The IU or POTW submits the variance request and supporting information to the State Director or EPA Administrator ( or designee). National Pretreatment Program ICR August 12, 2003 38 The following factors may be considered fundamentally different and are outlined in 40 CFR 403.13( d):

° The nature or quality of pollutants contained in the raw waste load of the industrial user's process wastewater.

° The volume of the IU's process wastewater and effluent discharged.

° Non water quality environmental impact of control and treatment of the IU's raw waste load.

° Energy requirements of the application of control and treatment technology.

° Age, size, land availability, and configuration as they relate to the IU's equipment or facilities, processes employed, process changes, and engineering aspects of the application of control technology.

° Cost of compliance with the required control technology.

The FDF variance request must contain the following data:

° The name and address of the person making the request.

° Identification of the interest of the requester affected by the categorical pretreatment standard for which the variance is requested.

° Identification of the POTW currently receiving waste from the IU for which alternative discharge limits are requested.

° Identification of the categorical pretreatment standards applicable to the IU.

° A list of each pollutant or pollutant parameter for which an alternative discharge limit is sought.

° The alternative discharge limits proposed by the requester for each pollutant or pollutant parameter for which an alternative discharge limit is sought.

° A description of the IU's existing water pollution control facilities.

° A schematic flow representation of the IU's water system including water supply, process wastewater systems, and points of discharge.

° A statement of facts clearly establishing the reason that the variance request should receive approval, including detailed supporting data, documentation, and evidence ( e. g., technical and economic data collected by EPA and used in developing each pollutant discharge limit in the pretreatment standard).

As provided by 40 CFR 403.13( g)( 2), the variance must be submitted within 180 days after the date on which a categorical pretreatment standard is published in the Federal Register. If the IU has requested a categorical determination as provided by 40 CFR 403.6( a), the FDF request must be submitted within 30 days after the categorical determination. The variance National Pretreatment Program ICR August 12, 2003 39 request is circulated to all interested parties for public review. Following this public comment period of not less than 30 days, the Director will approve or deny the variance request.

Net/ Gross Adjustment Request Section 403.15, 40 CFR details the procedures whereby an industry discharging to a POTW may obtain an adjustment to an applicable categorical pretreatment standard based on the presence of pollutants in the IU's intake water. These adjustments are known as net/ gross credits. If the adjustment is granted, the applicable pretreatment standard is revised for the pollutants already present in the IU's intake water. However, if an industry has treatment technology in place, which will either partially or entirely remove a certain pollutant, the standard will be adjusted only to the extent that the pollutant is not removed by the IU's treatment technology.

To obtain net/ gross credit, the IU must submit a request to the POTW. In the request, the IU must demonstrate the following:

° The intake water is the same body of water into which the effluent from the POTW is discharged.

° The proposed control system ( or system in use) would, if properly installed and operated, meet the pretreatment standards in the absence of pollutants in the intake waters.

° The pollutants in the intake water do not vary chemically or biologically from the pollutants limited by the applicable standard.

° The concentration of pollutants in the effluent is not significantly greater than the concentration in the intake water.

Once the net/ gross credit is granted, the IU must notify the POTW of any changes in the quantity of pollutants in the intake water or in the level of IU treatment. Additionally, the IU will be required to conduct special monitoring to determine continued eligibility for and compliance with the adjustments.

Removal Credit Approval Request The Removal Credit Approval Request provides specific POTW data necessary for the Approval Authority to review and approve a revised categorical pretreatment standard reflecting POTW pollutant removal. Revisions will be made only when the POTW demonstrates consistent removal of each pollutant for which the discharge limit in a categorical standard is to be revised, at a level which justifies the amount of revision. A removal credit benefits the POTW's IUs that are subject to the revised categorical standard. Application requirements and procedures for POTWs wishing to obtain removal allowances are contained in 40 CFR 403.7.

To obtain a removal credit, the POTW must have an approved pretreatment program or have such approval pending. The POTW submits the removal credit request and supporting information to the Approval Authority, either the EPA or the State with delegated pretreatment program authority. According to 40 CFR 403.7, the POTW's request must include the following:

° A list of pollutants for which discharge limit revisions are proposed. National Pretreatment Program ICR August 12, 2003 40 ° POTW influent and effluent data demonstrating consistent pollutant removal.

° A description of the POTW's analytical methods used in sampling.

° The calculations involved in determining the POTW's consistent pollutant removal.

° A list of the industrial subcategories for which discharge limits will be revised.

° The calculations used to determine revised categorical standards.

° A certification that the POTW has an approved pretreatment program or qualifies for the exemption to this requirement.

° A description of the POTW's current sludge management practices and a certification that granting removal credits will not cause a violation of an applicable sludge requirement.

° A certification that granting removal credits will not cause a violation of the POTW's NPDES permit.

Within five days after determining that the request is complete, the Approval Authority issues a public notice that the request has been received. Notices of the request are mailed to the agencies responsible for developing plans under CWA Section 208, to Federal and State fish and wildlife resource agencies, and to any other interested persons who have requested notification. The public notice period lasts for a minimum of 30 days, during which time all written comments are submitted to the Approval Authority. In addition, the Approval Authority publishes the request in the largest daily newspaper within the POTW's jurisdiction. If the public expresses significant interest in the issues involving the POTW's request for a removal credit, the Director must hold a public hearing to consider the POTW's removal allowance request. After the 30 day notice, but within 180 days, the Director approves or denies the removal allowance request and notifies the POTW of the decision.

Removal Credit Self Monitoring Report The Removal Credit Self Monitoring Report provides EPA with up to date, POTW specific data necessary to ensure compliance with the categorical pretreatment standard. The reporting requirements are described in detail in 40 CFR 403.7.

A POTW that has obtained removal credit approval must submit to the Approval Authority an initial report demonstrating consistent pollutant removal and sludge quality maintenance. Thereafter, the POTW must continue to substantiate its removal credit with periodic reports to be submitted no less than once per year ( or as specified by the AA).

These reports are necessary to establish the POTW's rate of consistent removal and, as specified in Section 307( b)( 1) of the Act, to demonstrate that the POTW's sludge use and disposal practices will not be adversely affected. According to 40 CFR 403.7, each report must include POTW influent and effluent data demonstrating consistent pollutant removal. The Approval Authority evaluates each report to determine if the POTW's pollutant removal and sewage sludge quality maintenance continue to justify the approved removal credit. If the National Pretreatment Program ICR August 12, 2003 41 POTW has not justified the removal credit, the Approval Authority may rescind the removal credit after notifying the POTW. National Pretreatment Program ICR August 12, 2003 3 These definitions are taken from section 601 of the Regulatory Flexibility Act.

42 5 INFORMATION COLLECTED  AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT 5( a) Agency Activities EPA personnel complete many different tasks in order to implement the National Pretreatment Program. Burden and costs for these tasks are detailed in Section 6( c).

As Oversight Authority, EPA Regional Offices oversee State pretreatment programs. This activity includes reviewing certain requests, such as the Pretreatment Categorical Determination Request and the Fundamentally Different Factors Request. Oversight Authorities also receive requests from States seeking approval for their pretreatment programs. Oversight Authorities must then review these requests for completeness.

EPA Regional Offices act as the Approval Authority in States that do not have approved pretreatment programs. As the Approval Authority, a Regional Office reviews POTW pretreatment programs for adequacy, audits and inspects approved POTWs, enforces against POTWs for failure to implement Pretreatment Regulations, and enforces pretreatment standards for IUs not in compliance ( where the POTW does not take action). An Approval Authority may also inspect IUs to assess compliance.

EPA Regional Offices also act as Control Authority in instances where neither the State nor the POTW has an approved pretreatment program. As Control Authority, a Regional Office has primary responsibility for implementing the pretreatment program. A Regional Office, acting as Control Authority, notifies SIUs of their status and obligations, reviews applications for discharge permits, and determines which IUs must act to reduce the risk of spills or batch discharges. The Control Authority also ensures that IUs comply with discharge limitations and reporting requirements, inspects IUs, reviews self monitoring reports from IUs, enforces against non complying IUs, and notifies the public of significant violations and violators.

5( b) Collection Methodology And Management Reports and requests from IUs and POTWs are written. EPA makes use of the PCS database to store, track, and access information.

5( c) Small Entity Flexibility In developing this ICR, EPA considered the requirement of the Small Business Regulatory Enforcement Fairness Act ( SBREFA) to minimize the burden of information collections on small entities. Small entities include " small businesses," " small organizations," and " small government jurisdictions." These terms are defined below. 3 ° A small business is any business that is independently owned and operated and not dominant in its field, as defined by the Small Business Administration ( SBA) Regulations under Section 3 of the Small Business Act.

° A small organization is any non profit enterprise that is independently owned and operated and not dominant in its field. National Pretreatment Program ICR August 12, 2003 43 ° A small governmental jurisdiction is the government of a city, county, town, township, village, school district or special district that has a population fewer than 50,000. This definition may also include Indian tribes.

The major requirement under SBREFA is a regulatory flexibility analysis of all rules that have a " significant economic impact on a substantial number of small entities." Since EPA is not promulgating a rule, this ICR is not subject to SBREFA.

The reporting requirements for pretreatment program development affect only State and municipal governments ( i. e., POTWs). Requirements for both pretreatment program implementation and program/ categorical determination involve some small businesses. This information is not available from any other source and is essential for implementation of the pretreatment program. In most cases, the reporting burden for small businesses cannot be specifically reduced. However, the burden for small industries may be inherently smaller because their facilities are likely to be less complex. Also, such businesses are less likely to be classified as SIUs.

The Agency's guidance for setting frequencies for periodic self monitoring is based, in part, on flow volume. IUs with lower flow volumes are likely to be required by the Control Authority to monitor less frequently than larger IUs.

5( d) Collection Schedule Many reporting requirements associated with this program are one time only requirements. Therefore, frequency of data collection is relevant only to the following requirements:

° IU and SIU Self Monitoring Reports ° Annual POTW Reports, including updating the SIU List ° Issuance of Discharge Permits for SIUs ° Inspection and Sampling the Effluent of IUs and SIUs ° Public Notification of Significant Noncompliance ° Evaluation of the Need to Revise Local Limits ° Prevention and Control Plan for Spills and Batch Discharges ° Excellence Award Program Information ° Removal Credit Self Monitoring Reports ° CWT Multiple Waste Subcategories Certification or Statements ° Pollution Prevention Certifications Exhibit 5 ( in Section 4) summarizes reporting requirements for the Pretreatment Program. National Pretreatment Program ICR August 12, 2003 44 6 ESTIMATING BURDEN AND COST OF COLLECTION This section estimates the burden and cost to States, POTWs, and IUs for complying with the National Pretreatment Program requirements detailed in Section 4. This section also discusses the assumptions used to estimate costs and burden in addition to describing the change in burden, compared with the 2000 National Pretreatment Program ICR. Additional detail about assumptions may be found in Appendix C. Detailed burden and cost calculations are shown in Appendix D.

6( a) Respondent Burden 6( a)( i) Burden to States For the three year ICR period, the annual reporting and recordkeeping burden for States ( including burden for States as users of the data) is estimated to be 130,904 hours. Exhibit 6 ( at the end of Section 6( a)) shows the annual burden hours on an activity specific basis, and Appendix D details these burden calculations. The following paragraphs briefly describe the bases for the burden estimates.

Program Development State Pretreatment Program Approval Request Pursuant to consultation with the National Pretreatment Coordinator, one state may seek pretreatment program authority during the three year ICR period. EPA estimated that this activity requires 300 burden hours, and carried this assumption forward from the previous ICR.

Program Implementation Issuance of SIU Discharge Permits All approved pretreatment states ( 34) are assumed to issue some permits to SIUs. As such, the number of responses per year is calculated based on the assumption that 8.78 percent of all SIUs are directly regulated by States. ( See Appendix C for additional information about this assumption.) These SIUs receive a permit once every five years. EPA estimated that issuing a discharge permit requires 20 burden hours. These assumptions were carried forward from the previous ICR.

Inspection and Sampling of SIUs Inspection  All Pretreatment States are assumed to provide oversight for some SIUs. This ICR assumes 8 burden hours to perform one inspection per year for 8.78 percent of all SIUs. This includes the time necessary to collect an effluent sample.

Sampling and Analysis  All Pretreatment States are assumed to perform in house analyses for those SIUs that they regulate. EPA's estimate of 19 burden hours to complete sampling and analysis is carried forward from the previous ICR. PFPR facilities opting for the pollution prevention option are excluded because there are no monitoring requirements. National Pretreatment Program ICR August 12, 2003 45 Evaluation of SIUs for SCP This ICR assumes a 0.5 hour burden to assess whether an SIU needs an SCP. This assessment occurs once every two years for the 8.78 percent of all SIUs that are directly regulated by States.

Public Notification of Significant Noncompliance This ICR assumes that only the five 40 CFR 403.10( e) States will be required to publish notices of SNC for their POTWs. EPA estimates that, on average, approximately 28 POTWs per State ( a total of 141 POTWs in the five 403.10( e) States) receive discharges from SIUs. Onethird of the POTWs in these States ( i. e., approximately 47 POTWs, or 9 per State) are estimated to have SIUs in SNC in a given year. EPA estimated that 3 burden hours are required to complete this activity. These assumptions were carried forward from the previous ICR.

Evaluation of the Need to Revise Local Limits This ICR assumes that only the five 40 CFR 403.10( e) States will be required to develop local limits for their POTWs. Each POTW for which the State has assumed Control Authority responsibility ( i. e., 141 total), will require local limits development once every five years. The Agency estimated a burden of 50 hours for this activity. These assumptions were carried forward from the previous ICR.

Excellence Award Program Information This ICR assumes that 29 States ( i. e., 34 Pretreatment States minus the five 40 CFR 403.10( e) States that do not have eligible POTWs) will receive excellence awards packages from pretreatment POTWs. In addition, this ICR assumes that each State, on average, will receive 1.5 excellence awards packages from pretreatment POTWs. The basic assumptions have been carried forward from the previous ICR. Though the previous ICR used these assumptions, the number of award packages per State was incorrectly entered into the model.

Maintain Pretreatment Program Information This ICR assumes each Pretreatment State ( as the Approval Authority) spends 50 hours per year maintaining records from POTW pretreatment programs. Additionally, States act as Control Authorities for 8.78 percent of SIUs. An additional burden of 5 hours per SIU per year ( i. e., 5 * 2,352) is included for States acting as Control Authorities. ( See Appendix D, Table D 5 for the calculations.) These assumptions were carried forward from the previous ICR.

Program/ Categorical Determination There is no burden for States associated with program/ categorical determination.

States as Users of the Data Most of the IU and POTW respondent activities generate reports, information, or data that must be received, reviewed, and stored by an Approval Authority or a State acting as a Control Authority. Table D 8 in Appendix D calculates the burden to State Agencies as users of these data. Where States are the Approval Authority ( i. e., 72.68 percent of pretreatment programs), reports generated by pretreatment POTWs are reviewed by States. Therefore, the National Pretreatment Program ICR August 12, 2003 46 associated review burden for IU and POTW activities described below and in Appendix D ( Table D 3) for which reports or data are submitted to States ( as Approval Authorities), has been apportioned accordingly. The numbers of respondents and responses are linked directly to the corresponding activities.

In addition to Approval Authority activities, States are the Control Authorities for approximately 8.78 percent of SIUs. As Control Authority, the States are responsible for receipt and review of 8.78 percent of all reports and data submitted by SIUs. Table D 8 in Appendix D, therefore, includes burden for these activities. Exhibit 6 shows the total State review burden associated with the aforementioned activities.

6( a)( ii) Burden to Publicly Owned Treatment Works For the three year ICR period, the annual reporting and recordkeeping burden for POTWs ( including the burden for POTWs as users of the data) is estimated to be 1,043,806 hours. Exhibit 7 ( at the end of Section 6( a)) shows the annual burden hours on an activityspecific basis, and Appendix D details these burden calculations. The following paragraphs briefly describe the bases for the burden estimates.

Program Development POTW Pretreatment Program Approval Request EPA Regions have indicated that they expect 46 new programs over the next three years. EPA estimates that preparing a program approval request will require 250 burden hours. The Agency carries its burden assumption forward from the previous ICR.

The regulations also require all approved POTWs to develop and implement Enforcement Response Plans describing procedures for investigating and responding to IU noncompliance. EPA assumed that POTWs would complete this as part of their approval request, and therefore included no separate burden for this activity.

POTW Pretreatment Compliance Schedule Progress Report Based on PCS data, 46 POTWs per year are expected to be under pretreatment related compliance schedules. The schedules are anticipated to require three reports ( responses) per year. EPA estimates that each report will require 5 burden hours to complete. This burden assumption is carried forward from the previous ICR.

Program Implementation Annual POTW Report This ICR assumes one report per program per year. EPA estimates that report preparation will require 40 burden hours to complete. These assumptions were carried forward from the previous ICR. National Pretreatment Program ICR August 12, 2003 47 POTW Program Modifications This ICR assumes 20 percent of approved programs will request program modifications of some type each year. EPA estimates that preparing this request will require 40 burden hours to complete. This assumption was carried forward from the previous ICR.

Issuance of Discharge Permits or Other Control Mechanisms for SIUs This ICR assumes that all POTWs with control authority will issue permits to 20 percent of those SIUs that are regulated by POTWs ( 91.22 percent of all SIUs). EPA estimates that issuing a discharge permit requires 20 hours. These assumptions were carried over from the previous ICR.

Inspection and Sampling of IU and SIU Effluent Inspection  This ICR assumes 8 burden hours to perform one inspection per year for 91.22 percent of all SIUs ( i. e., those regulated by POTWs). This includes the time necessary to collect an effluent sample. This assumption was carried forward from the previous ICR.

Sampling and Analysis  EPA assumes that in house sampling and analysis will require 10 hours, and that using a separate contractor will require 8 hours. The burden hours estimates are carried forward from the previous ICR. PFPR facilities opting for the pollution prevention option are excluded because there are no monitoring requirements.

Evaluation of SIUs for Slug Control Plan This ICR assumes 0.5 burden hours to assess whether an SIU needs an SCP; this burden is assumed once every two years for 91.22 percent of all SIUs. These assumptions were carried forward from the previous ICR.

Public Notification of Significant Noncompliance Public notification is expected to require 3 burden hours. Additionally, this ICR assumes that one third of POTWs with pretreatment programs will have SIUs in SNC in a given year. These assumptions were carried foward from the previous ICR.

Evaluation of the Need to Revise Local Limits This ICR assumes that all pretreatment programs will reevaluate the need to develop local limits once every five years. EPA estimated that this activity requires 50 hours to complete. These assumptions were carried forward from the previous ICR.

SIU Notification of Applicable Standards and Regulations Because no new standards or requirements have been promulgated or are expected over the three year ICR period, EPA estimated no burden for this activity. National Pretreatment Program ICR August 12, 2003 48 Excellence Award Program Information Forty POTWs per year are expected to submit pretreatment program excellence awards packages. This is a voluntary activity, which the Agency estimated to take 12 burden hours. These assumptions were carried forward from the previous ICR.

Maintenance of Monitoring Records Each Pretreatment POTW is expected to spend 100 hours per year maintaining SIU monitoring records. This assumption was carried forward from the previous ICR.

Program/ Categorical Determination Removal Credit Approval Requests The number of respondents is based on estimates provided by EPA Regions. EPA assumed that this activity requires 125 hours per request. The Agency carried these assumptions forward from the previous ICR.

Removal Credit Self Monitoring Reports The number of respondents is based on the number of POTWs with approved removal credit variances, as reported by EPA Regions. EPA assumed that this activity requires 40 hours per report. The Agency carried this assumption forward from the previous ICR.

POTWs as Users of the Data Most of the IU respondents described below and in Exhibit 8 generate reports, information, or data that must be received, reviewed, and stored by the Control Authority. Table D 9 in Appendix D calculates the burden to POTWs as users of these data. As Control Authorities, POTWs are responsible for receipt and review of 91.22 percent of all reports and data submitted by SIUs. Therefore, the associated review burden for reports or data submitted by SIUs to POTWs ( as Control Authorities) has been apportioned accordingly. The numbers of respondents and responses are linked directly to the corresponding activities. Exhibit 7 shows the total POTW review burden associated with these activities.

6( a)( iii) Burden to Industrial Users For the three year ICR period, the annual IU reporting and recordkeeping burden is estimated to be 986,969 hours. Exhibit 8 ( at the end of Section 6( a)) shows the estimated annual burden hours for each type of information collected, and Appendix D details these burden calculations. The bases for the burden estimates are detailed below.

Program Development No IU reporting and recordkeeping burden is assumed for program development. National Pretreatment Program ICR August 12, 2003 49 Program Implementation The program implementation burden estimates for IUs were calculated per activity, as detailed below.

Baseline Monitoring Report For new sources, a 2 percent gross annual growth in the number of CIUs was assumed. This assumption was carried forward from the previous ICR. For facilities subject to effluent guidelines expected to be finalized during the three year ICR period, respondents are based on number of indirect dischargers in each category. The burden for each category is annualized over the three year ICR period. However, EPA does not anticipate BMR requirements associated with new effluent guidelines for indirect dischargers during the three years covered by this ICR. Pharmaceutical Manufacturing, PFPR, CWT, and transportation equipment cleaning ( TEC) facilities have completed these activities since the previous ICR ( i. e., the deadlines for submission of BMRs for these categories have passed). EPA withdrew the proposed rule for Industrial Laundries in June 1999, and the recently promulgated metal products and machinery ( MP& M) category does not apply to indirect discharges. Therefore, this ICR has no burden associated with the Industrial Laundry or MP& M categories.

EPA assumes 14 hours for conducting baseline monitoring analysis and 28 burden hours for preparing a baseline monitoring report.

IU Compliance Schedule Progress Report For new sources, a 2 percent gross annual growth in the number of CIUs was assumed. For facilities subject to effluent guidelines expected to be finalized during the three year ICR period, respondents are based on number of indirect dischargers in each category. The Engineering and Analysis Division ( EAD) provides estimates for the number of facilities expected to require compliance schedules. The previous ICR assumed that 25 percent of new sources or facilities subject to new effluent guidelines will complete compliance schedules.

EPA assumed 4 burden hours for the preparation of a compliance schedule progress report. The Agency retained this assumption from the previous ICR.

IU Compliance Attainment Report CIUs must complete a compliance attainment report within 90 days following the date for final compliance with a categorical pretreatment standard. New source CIUs must provide such a report within 90 days of commencing discharge of the categorically regulated waste stream to the POTW. The burden for new sources and CWTs is annualized over the three year ICR period. As with BMRs above, Pharmaceutical Manufacturing, PFPR, and TEC facilities have completed these activities since the previous ICR ( i. e., the deadlines for submission of compliance attainment reports for these categories have passed). EPA withdrew the proposed rule for Industrial Laundries in June 1999, and the recently promulgated MP& M Rule does not apply to indirect discharges.

A burden of 20 hours to prepare the compliance attainment report was assumed. The analysis was assumed to require 14 burden hours. EPA retained these assumptions from the previous ICR. National Pretreatment Program ICR August 12, 2003 4The assumptions associated with the pollution prevention alternative reflect the preamble for the PFPR rule ( 56 FR 57541).

50 IU Compliance Report ( Resampling Requirements)

All IUs are required to perform repeat monitoring, when necessary, and notify the Control Authority immediately of all discharges that could cause problems to the POTW. IUs are further required to resample following a violation. EPA assumes that 10 percent of all IUs will have to resample every year. The 1,500 IUs with PFPR P2 certification are not included because these resampling requirements do not apply.

EPA assumes a burden of 4 hours for sampling, 12 hours for analysis, and 1 hour for reporting. The Agency carried these assumptions forward from the previous ICR.

IU Self Monitoring Report Sampling  This ICR assumes all SIUs ( both categorical and non categorical) will require 4 labor hours to collect effluent samples twice per year. This assumption was carried forward from the previous ICR. Though other CIUs may reduce sampling burden by submitting similar certifications, for simplification, this ICR assumes that all other CIUs conduct monitoring.

Reporting  This ICR assumes all SIUs ( both categorical and non categorical) will require 1 labor hour to complete monitoring reports twice per year. This assumption was carried forward from the previous ICR.

Analysis  This ICR assumes CIUs will require 14 hours, and non categorical SIUs will require 9 hours, to complete the report twice per year. This assumption was carried forward from the previous ICR. Though other CIUs may reduce sampling burden by submitting similar certifications, for simplification, this ICR assumes that all other CIUs conduct monitoring.

PFPR facilities opting for the pollution prevention option are excluded because there are no monitoring requirements.

Pollution Prevention Alternative4 This ICR assumes that all PFPR facilities ( 1,500 facilities) will opt for the pollution prevention ( P2) alternative and that all 1,500 facilities have already prepared and submitted an initial certification for the P2 alternative. For periodic reports, this ICR assumes that these indirect dischargers will choose the P2 alternative and will prepare the periodic certifications. For the modifications, this ICR assumes that 10 percent of the facilities that are implementing a P2 alternative plan will submit modifications.

EPA assumed that preparing a periodic certification requires 0.25 burden hours and preparing a modification to the certification requires 20 burden hours. The Agency carried these assumptions forward from the previous ICR and from the preamble of the PFPR rule. National Pretreatment Program ICR August 12, 2003 51 CWT Multiple Waste Subcategories According to the CWT preamble ( 65 FR 81267), 37 facilities " accept wastes from multiple subcategories and could be subject to the multiple wastestream subcategory." Based on the percentage of all CWT facilities that are indirect dischargers, EPA assumed that 91.5 percent of these facilities are indirect dischargers. Thus, 34 facilities ( 91.5 percent of 37) are expected to complete initial certification over the three year ICR period. All 34 facilities are also expected to submit annual certifications throughout the three year period.

EPA assumed that initial certification requires 60 burden hours and that periodic certification requires 0.25 hours. These assumptions were based on the Agency's experience with similar program requirements, such as the PFPR certifications.

IU Slug Load Notification This ICR assumes 100 CIUs per year will be required to provide a slug load notification. The average burden per CIU response is estimated to be 2 hours. An additional 450 noncategorical SIUs per year will be required to provide a slug load notification. The average burden per SIU response is estimated to be 0.25 hours. These assumptions were carried forward from the previous ICR.

Notification of Changed Discharge This ICR assumes 1,000 SIUs per year will provide notification of a changed discharge. EPA estimates that this notification will require 4 burden hours. These assumptions were carried forward from the previous ICR.

Bypass Notification This ICR assumes that 1,427 SIUs per year will report bypasses and that 75 percent ( 1,070 SIUs) will be required by the CA to follow up on these bypasses. EPA assumed a burden of 5 hours for bypass notification and 2 hours for a follow up. These assumptions were carried forward from the previous ICR.