Permit data elements will be entered with the permit cycle, once every five years, which translates to an annual reporting frequency of 0.2. In addition, the analysis accounts for additional data entry associated with minor changes at the permitted facility (e.g., change in owner or operator name). It assumes that a small number of permit data elements (e.g., contact name and/or phone number or contact information) will need to be updated with an annual reporting frequency of 0.1, reflecting that such changes might occur for 10% of permitted facilities each year.
Limits and Limit Sets
Limits and limit sets are required for facilities that submit DMRs. CAFOs are generally not required to submit DMRs and so are not required to have the limits and limit sets data families entered into ICIS-NPDES. The annual reporting frequency for limits and limit sets is therefore 0.
DMRs
DMRs are generally not required for CAFOs; therefore the annual reporting frequency is zero.
Program Reports
CAFOs have an annual program report requirement, therefore the annual reporting frequency for program reports data is 1.
Compliance Monitoring
The annual frequency of compliance monitoring reports was estimated using data from EPA's ECHO State Water Dashboard. According to the ECHO data, on average over the last three fiscal years (2012 through 2014) approximately 56% of major individual permit facilities, 26% of nonmajor individual permit facilities, and 7% of nonmajor general permit facilities underwent inspections each year. Data were not available on inspection frequency by subprogram. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for compliance monitoring for CAFOs (0.26 for nonmajor individual permits and 0.07 for nonmajor general permits).
Violations
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 67% of major individual permit facilities and 53% of nonmajor individual permit facilities had at least one instance of non-compliance each year. Data were not available on violation frequency by subprogram or for nonmajor general permit facilities. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for violations for CAFOs and assumes that nonmajor general permit facilities have the same violation frequency as nonmajor individual permit facilities (0.53 for nonmajor individual and general permits).
In general, EPA has expected authorized NPDES programs to share Single Event Violation (SEV) data on facilities defined as majors. Because the final rule also provides for entry of SEV data on nonmajor facilities, the analysis includes reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09. This annual frequency is based on data from EPA's ECHO State Water Dashboard, which show that on average over the last three fiscal years (2012 through 2014) approximately 9% of major individual permit facilities had SEVs. This frequency may be an overestimate because some SEVs will be self-reported by the permitted facilities (e.g., through CAFO annual reports) and, thus, will not require data entry by the authorized NPDES program.
Enforcement Actions
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 30% of major individual permit facilities and 19% of nonmajor individual permit facilities had concluded enforcement actions each year. Data were not available on concluded enforcement actions by subprogram or for nonmajor general permit facilities. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for concluded enforcement actions for CAFOs and assumes that nonmajor general permit facilities have the same concluded enforcement action frequency as nonmajor individual permit facilities (0.19 for nonmajor individual and general permits).
Summary
Table 2-6 summarizes the number of CAFO regulated entities and the annual frequencies for each required data family.
        Table 2-6: CAFOs Permit Universe and Annual Reporting Frequency

                               Individual Majors
                             Individual Nonmajors
                               General Nonmajors
                    Concentrated Animal Feeding Operations
                                                                              0
                                                                          1,266
                                                                          5,291
                                  Data Family
                          Annual Reporting Frequency
                          Annual Reporting Frequency
                          Annual Reporting Frequency
Permits[a]
                                                                            n/a
                                                                            0.2
                                                                            0.2
Limits
                                                                            n/a
                                                                            0.0
                                                                            0.0
Limit Sets
                                                                            n/a
                                                                            0.0
                                                                            0.0
DMRs
                                                                            n/a
                                                                            0.0
                                                                            0.0
Program Reports
                                                                            n/a
                                                                              1
                                                                              1
Compliance Monitoring
                                                                            n/a
                                                                            0.3
                                                                            0.1
Violations[b]
                                                                            n/a
                                                                            0.5
                                                                            0.5
Enforcement Actions
                                                                            n/a
                                                                            0.2
                                                                            0.2
[a] In addition to the permit frequencies shown the analysis includes data entry associated with minor changes at the permitted facility with an annual reporting frequency of 0.1.
[b] In addition to the violation frequencies shown, the analysis includes expanded reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09.
Industrial Stormwater
Industrial stormwater permits are for discharges from sites where material is stored or handled outside and therefore can pollute stormwater runoff.
Permit Universe
Major and Nonmajor Individual Permits
The number of industrial stormwater individual permits in each state was estimated using data downloaded from ECHO in May 2015. Because the ECHO data are believed to be incomplete for this subprogram, authorized states that reported no industrial stormwater permits were assigned national average numbers (two major individual permits and nine nonmajor individual permits).
Nonmajor General Permits
The number of facilities covered by industrial stormwater general permits (a.k.a., multi-sector general permits) was obtained from EPA's Office of Water based on data as of mid-fiscal year 2015. The Office of Water data for Regions 2 and 8, however, included individual permits. Therefore, to avoid double counting, for states and territories in these EPA Regions, the analysis subtracted the number of individual permits (estimated as discussed above) from the reported total number of industrial stormwater permits.
Note that facilities conducting certain categories of industrial activity may file NECs in place of NOIs if their industrial materials and operations are not exposed to stormwater. The analysis accounts for data associated with NECs as discussed in Section 2.5.2 under Permit Data for General Permits.
Annual Reporting Frequency by Data Family
Except where stated otherwise, the annual frequencies described in this section apply to major individual, nonmajor individual, and nonmajor general stormwater permits.
Permit Data for Major and Nonmajor Individual Permits
Permit data elements for individually permitted industrial stormwater facilities will be entered with the permit cycle, once every five years, which translates to an annual reporting frequency of 0.2. In addition, the analysis accounts for additional data entry associated with minor changes at the permitted facility (e.g., change in owner or operator name). It assumes that a small number of permit data elements (e.g., contact name and/or phone number or contact information) will need to be updated with an annual reporting frequency of 0.1, reflecting that such changes might occur for 10% of permitted facilities each year.
Permit Data for General Permits
Permit data elements are entered for industrial facilities filing NECs, as well as for facilities applying for NOIs. Data from EPA's NOI search tool from states with well-populated data was used to estimate the number of new multi-sector general permit NOIs filed each year. The annual reporting frequency for permit data elements was estimated by combining the percentages of the MSGP universe filing those documents annually, as follows:
      1. Querying EPA NOI search tool for all multi-sector general permit NOIs filed by year over the past five years by state.
      2. Limiting data to just those states that are well populated with NOIs.
      3. Estimating average number of NOIs for each state.
      4. Summing #3 across states.
      5. Dividing the result of #4 by the estimate of the total universe for the same time period (9%).
      6. Querying EPA NOI search tool for all no exposure certifications filed in 2009.
      7. Dividing number of no exposure certifications filed in 2009 by the number of multi-sector general permit NOIs to obtain the percentage of the total universe filing no exposure certifications in one year (9%).
      8. Summing the percentage of the total universe filing NOIs in one year (9%) and the percentage of the total universe filing no exposure certifications in one year (9%) to obtain the percentage of the total universe for which permit data elements must be entered in one year (18%).

The percentage calculated in step #8 represents the annual reporting frequency for permit data. The estimated annual reporting frequency for permit data elements for facilities covered under industrial stormwater general permits is 0.18.
EPA also accounted for facilities that terminate operations and need to submit a NOT by assuming that approximately 5% of all facilities with NOIs and NECs would terminate operations per year. Thus, to account for NOTs, EPA increased the count of permit data submissions by 5%.
In addition, the analysis accounts for additional data entry associated with minor changes at the permitted facility (e.g., change in owner or operator name). It assumes that a small number of permit data elements (e.g., contact name and/or phone number or contact information) will need to be updated with an annual reporting frequency of 0.1, reflecting that such changes might occur for 10% of permitted facilities each year.
Limits and Limit Sets for Major and Nonmajor Individual Permits
Individual industrial stormwater permits must have limits and limit sets data entered into ICIS-NPDES. Limits and limit sets change according to the permit cycle, and therefore have an annual reporting frequency of 0.2.
Limits and Limit Sets for Nonmajor General Permits
Limits and limit sets for multi-sector general permits are set in the master permit, such that these data elements need not be entered for each regulated entity. Therefore, limits and limit sets have an annual reporting frequency of 0 for nonmajor general facilities.
DMRs
DMRs are required for some facilities covered under the EPA-issued multi-sector general permits three times a year. Although state general permit reporting requirements and the requirements of certain individual permits could potentially be different, it is assumed that all industrial stormwater permitees submit DMRs with an annual reporting frequency of 3.
Program Reports
Program reports are not required for industrial stormwater facilities under the final rule, and therefore the annual reporting frequency is zero. Note, certain permits may require program reports but such requirements are permit-specific and not associated with requirements under the rule.
Compliance Monitoring
The annual frequency of compliance monitoring reports was estimated using data from EPA's ECHO State Water Dashboard. According to the ECHO data, on average over the last three fiscal years (2012 through 2014) approximately 56% of major individual permit facilities, 26% of nonmajor individual permit facilities, and 7% of nonmajor general permit facilities underwent inspections each year. Data were not available on inspection frequency by subprogram. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for compliance monitoring for stormwater facilities (0.56 for major individual permits, 0.26 for nonmajor individual permits, and 0.07 for nonmajor general permits).
Violations
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 67% of major individual permit facilities and 53% of nonmajor individual permit facilities had at least one instance of non-compliance each year. Data were not available on violation frequency by subprogram or for nonmajor general permit facilities. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for violations for stormwater facilities and assumes that nonmajor general permit facilities have the same violation frequency as nonmajor individual permit facilities (0.67 for major individual and 0.53 for nonmajor individual and general permits).
In general, EPA has expected authorized NPDES programs to share Single Event Violation (SEV) data on facilities defined as majors. Because the final rule also provides for entry of SEV data on nonmajor facilities, the analysis includes reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09. This annual frequency is based on data from EPA's ECHO State Water Dashboard, which show that on average over the last three fiscal years (2012 through 2014) approximately 9% of major individual permit facilities had SEVs. This frequency may be an overestimate because some SEVs will be self-reported by the permitted facilities and, thus, will not require data entry by the authorized NPDES program.
Enforcement Actions
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 30% of major individual permit facilities and 19% of nonmajor individual permit facilities had concluded enforcement actions each year. Data were not available on concluded enforcement actions by subprogram or for nonmajor general permit facilities. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for concluded enforcement actions for stormwater facilities and assumes that nonmajor general permit facilities have the same concluded enforcement action frequency as nonmajor individual permit facilities (0.30 for major individual permits and 0.19 for nonmajor individual and general permits).
Summary
Table 2-7 summarizes the number of industrial stormwater regulated entities and the annual frequencies for each required data family.
Table 2-7: Industrial Stormwater Permit Universe and Annual Reporting Frequency

                               Individual Majors
                             Individual Nonmajors
                               General Nonmajor
                                                          Industrial Stormwater
                                                                            132
                                                                            563
                                                                         92,282
                                  Data Family
                          Annual Reporting Frequency
                          Annual Reporting Frequency
                          Annual Reporting Frequency
Permits[a]
                                                                            0.2
                                                                            0.2
                                                                        0.18[b]
Limits
                                                                            0.2
                                                                            0.2
                                                                            0.0
Limit Sets
                                                                            0.2
                                                                            0.2
                                                                            0.0
DMRs
                                                                            3.0
                                                                            3.0
                                                                            3.0
Program Reports
                                                                              0
                                                                              0
                                                                              0
Compliance Monitoring
                                                                           0.56
                                                                           0.26
                                                                           0.07
Violations[c]
                                                                           0.67
                                                                           0.53
                                                                           0.53
Enforcement Actions
                                                                           0.30
                                                                           0.19
                                                                           0.19
[a] In addition to the permit frequencies shown the analysis includes data entry associated with minor changes at the permitted facility with an annual reporting frequency of 0.1.
[b] The permit reporting frequency for general nonmajors accounts for facilities filing NECs, as well as NOIs.
[c] In addition to the violation frequencies shown, the analysis includes expanded reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09.
Construction Stormwater
Operators of construction sites that are one acre or larger (including smaller sites that are part of a larger common plan of development) may be required to obtain authorization to discharge stormwater under a NPDES construction stormwater permit.
Permit Universe
Major and Nonmajor Individual Permits
The number of construction stormwater individual permits in each state was estimated using data downloaded from ECHO in May 2015. Because the ECHO data are believed to be incomplete for this subprogram, authorized states that reported no construction stormwater permits were assigned national average numbers (no major individual permits and 10 nonmajor individual permits).
Nonmajor General Permits
The number of facilities covered by construction stormwater general permits was obtained from EPA's Office of Water based on data as of mid-fiscal year 2015. The Office of Water data for Regions 2 and 8, however, included individual permits. Therefore, to avoid double counting, for states and territories in these EPA Regions, the analysis subtracted the number of individual permits (estimated as discussed above) from the reported total number of construction stormwater permits.
Note that small construction facilities may file LEW certifications in place of NOIs if the site has a low predicted rainfall and the rainfall erosivity factor (R factor) is less than 5 during the period of construction activity. EPA regulations also permit other waivers from stormwater controls. See 40 CFR 122.26(b)(15). The analysis accounts for data associated with LEWs as discussed in Section 2.6.2 under Permit Data for General Permits.
Annual Reporting Frequency by Data Family
Except where stated otherwise, the annual frequencies described in this section apply to major individual, nonmajor individual, and nonmajor general stormwater permits.
Permit Data for Major and Nonmajor Individual Permits
Permit data elements for individually permitted construction stormwater facilities will be entered with the permit cycle, once every five years, which translates to an annual reporting frequency of 0.2. In addition, the analysis accounts for additional data entry associated with minor changes at the permitted facility (e.g., change in owner or operator name). It assumes that a small number of permit data elements (e.g., contact name and/or phone number or contact information) will need to be updated with an annual reporting frequency of 0.1, reflecting that such changes might occur for 10% of permitted facilities each year.
Permit Data for General Permits
Permit data elements are entered for construction facilities filing LEWs, as well as for facilities filing NOIs. Data from EPA's NOI search tool from states with well-populated data was used to determine the number of NOIs received annually. The annual reporting frequency for permit data elements was estimated by combining the percentages of the construction general permit universe filing NOIs and low erosivity waivers annually, as follows:
      1. Querying EPA NOI search tool for all construction general permit NOIs filed by year over the past five years by state.
      2. Limiting data to just those states that are well populated with NOIs.
      3. Estimating the average number of NOIs annually.
      4. Summing #3 across states.
      5. Dividing the result of #4 by the estimate of the total universe (16%).
      6. Querying EPA NOI search tool for all low erosivity waivers filed in 2009.
      7. Dividing number of low erosivity waivers filed in 2009 by the number of construction general permit NOIs to obtain the percentage of the universe filing low erosivity waivers in one year (1%).
      8. Summing the percentage of the total universe of construction sites filing NOIs in one year (16%) and the percentage of the total universe filing low erosivity waivers in one year (1%) to obtain the percentage of the total universe for which permit data elements must be entered in one year (17%).

The percentage calculated in step #8 represents the annual reporting frequency for permit data. The estimated annual reporting frequency for permit data elements for facilities covered under the construction general permits is 0.17.
EPA also accounted for facilities that terminate operations and need to submit a NOT by assuming that approximately 20% of all facilities with NOIs and LEWs would terminate operations per year. Thus, to account for NOTs, EPA increased the count of permit data submissions by 20%.
In addition, the analysis accounts for additional data entry associated with minor changes at the permitted facility (e.g., change in owner or operator name). It assumes that a small number of permit data elements (e.g., contact name and/or phone number or contact information) will need to be updated with an annual reporting frequency of 0.1, reflecting that such changes might occur for 10% of permitted facilities each year.
Limits, Limit Sets, and DMRs
Limits and limit sets are required for facilities that submit DMRs. DMRs are not required for facilities covered under EPA construction general permits. Although state general permit reporting requirements and the requirements of certain individual permits could potentially be different, it is assumed that 1% of construction stormwater regulated entities have DMR requirements due to an enforcement action. These facilities need to submit DMRs to show they have returned to compliance and are assigned a frequency of 1 for DMRs. Individual permitted facilities will need to have corresponding limits and limit sets entered with the same frequency. Limits and limit sets for general permits are set in the master permit, such that these data elements need not be entered for each regulated entity. Therefore, limits and limit sets have an annual reporting frequency of 0 for nonmajor general facilities.
Program Reports
Program reports are not required for construction stormwater regulated entities under the final rule, and therefore the annual reporting frequency is zero. Note, certain permits may require program reports but such requirements are permit-specific and not associated with requirements under the rule.
Compliance Monitoring
The annual frequency of compliance monitoring reports was estimated using data from EPA's ECHO State Water Dashboard. According to the ECHO data, on average over the last three fiscal years (2012 through 2014) approximately 56% of major individual permit facilities, 26% of nonmajor individual permit facilities, and 7% of nonmajor general permit facilities underwent inspections each year. Data were not available on inspection frequency by subprogram. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for compliance monitoring for stormwater facilities (0.56 for major individual permits, 0.26 for nonmajor individual permits, and 0.07 for nonmajor general permits).
Violations
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 67% of major individual permit facilities and 53% of nonmajor individual permit facilities had at least one instance of non-compliance each year. Data were not available on violation frequency by subprogram or for nonmajor general permit facilities. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for violations for stormwater facilities and assumes that nonmajor general permit facilities have the same violation frequency as nonmajor individual permit facilities (0.67 for major individual permits and 0.53 for nonmajor individual and general permits).
In general, EPA has expected authorized NPDES programs to share Single Event Violation (SEV) data on facilities defined as majors. Because the final rule also provides for entry of SEV data on nonmajor facilities, the analysis includes reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09. This annual frequency is based on data from EPA's ECHO State Water Dashboard, which show that on average over the last three fiscal years (2012 through 2014) approximately 9% of major individual permit facilities had SEVs. This frequency may be an overestimate because some SEVs will be self-reported by the permitted facilities and, thus, will not require data entry by the authorized NPDES program. In addition, for construction stormwater facilities, the final rule only requires SEV data when the authorized NPDES program also issues a formal enforcement action against the inspected construction site. To be conservative, however, the analysis assumes SEVs at construction facilities will be accompanied by enforcement actions and includes expanded SEV reporting for construction stormwater facilities.
Enforcement Actions
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 30% of major individual permit facilities and 19% of nonmajor individual permit facilities concluded enforcement actions each year. Data were not available on concluded enforcement actions by subprogram or for nonmajor general permit facilities. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for concluded enforcement actions for stormwater facilities and assumes that nonmajor general permit facilities have the same concluded enforcement action frequency as nonmajor individual permit facilities (0.30 for major individual permits and 0.19 for nonmajor individual and general permits).
Summary
Table 2-8 summarizes the number of construction stormwater regulated entities and the annual frequencies for each required data family.

Table 2-8: Construction Stormwater Permit Universe and Annual Reporting Frequency

                               Individual Majors
                             Individual Nonmajors
                               General Nonmajors
                                                        Construction Stormwater
                                                                              1
                                                                            638
                                                                        243,227
                                  Data Family
                          Annual Reporting Frequency
                          Annual Reporting Frequency
                          Annual Reporting Frequency
Permits[a]
                                                                            0.2
                                                                            0.2
                                                                        0.17[b]
Limits[c]
                                                                            1.0
                                                                            1.0
                                                                            0.0
Limit Sets[c]
                                                                            1.0
                                                                            1.0
                                                                            0.0
DMRs[c]
                                                                            1.0
                                                                            1.0
                                                                            1.0
Program Reports
                                                                              0
                                                                              0
                                                                              0
Compliance Monitoring
                                                                           0.56
                                                                           0.26
                                                                           0.07
Violations[d]
                                                                           0.67
                                                                           0.53
                                                                           0.53
Enforcement Actions
                                                                           0.30
                                                                           0.19
                                                                           0.19
[a] In addition to the permit frequencies shown the analysis includes data entry associated with minor changes at the permitted facility with an annual reporting frequency of 0.1.
[b] The permit reporting frequency for general nonmajors accounts for facilities filing LEWs, as well as NOIs.
[c] The analysis assumes 1% of stormwater construction regulated entities have DMR requirements due to an enforcement action. These facilities need to submit DMRs to show they have returned to compliance and are assigned a frequency of 1 for DMRs and, for individual permits, limits and limit sets.
[d] In addition to the violation frequencies shown, the analysis includes expanded reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09. This is conservative as expanded SEV reporting is required for construction facilities only when accompanied by a formal enforcement action.
Municipal Stormwater
Municipal separate storm sewer systems (MS4s) collect stormwater runoff and are designated as Phase I and Phase II MS4s. The Phase I rule, issued in 1990, requires medium and large cities or certain counties with populations of 100,000 or more to obtain NPDES permit coverage for their stormwater discharges. The Phase II rule, issued in 1999, requires regulated small MS4s in urbanized areas, as well as small MS4s outside the urbanized areas that are designated by the authorized NPDES program, to obtain NPDES permit coverage for their stormwater discharges.
Permit Universe
By definition, the Phase I MS4s, which include large and medium cities, are the only major facilities in the municipal stormwater program. For the purpose of estimating costs, it was assumed that all Phase II MS4s are nonmajor facilities. EPA's Office of Water supplied a list of Phase I and Phase II MS4 permits as of June 2014. This list was used to count the number of individually permitted municipalities. This list was combined with data from EPA's NPDES General Permit Inventory to estimate the number of municipalities covered by the listed MS4 general permits.
Annual Reporting Frequency by Data Family
Except where stated otherwise, the annual frequencies described in this section apply to major individual, nonmajor individual, and nonmajor general stormwater permits.
Permits
MS4s permit data must be entered into ICIS-NPDES. Permit data are entered with the permit cycle, once every five years, which translates to an annual reporting frequency of 0.2. In addition, the analysis accounts for additional data entry associated with minor changes at the permitted facility (e.g., change in owner or operator name). It assumes that a small number of permit data elements (e.g., contact name and/or phone number or contact information) will need to be updated with an annual reporting frequency of 0.1, reflecting that such changes might occur for 10% of permitted facilities each year.
Limits and Limit Sets
Limits and limit sets, where applicable, must be entered in ICIS-NPDES for Phase I MS4 stormwater individual permits. Limits and limit sets change according to the permit cycle, and therefore have an annual reporting frequency of 0.2. Limits and limit sets for Phase I MS4 stormwater general permits are set in the master permit, such that these data elements need not be entered for each regulated entity. Phase II MS4 stormwater permits are not required to submit DMRs and so are not required to have the limits and limit sets data families entered into ICIS-NPDES. Therefore, limits and limit sets for municipal stormwater permits other than Phase I MS4 individual permits have an annual reporting frequency of 0.
DMRs
Annual reporting frequencies are linked to the requirement that DMRs must be sent on a monthly basis. Therefore, for Phase I MS4s, DMRs have an annual reporting frequency of 12. DMRs are not required for Phase II MS4s. Therefore, for Phase II MS4s, the annual reporting frequency is zero.
Program Reports
Phase I MS4 programs have an annual program report requirement, and therefore the annual reporting frequency is 1. Phase II MS4s are required to send program reports in the second and fourth year of the permit cycle, and therefore the annual reporting frequency is 0.4.
Compliance Monitoring
The annual frequency of compliance monitoring reports was estimated using data from EPA's ECHO State Water Dashboard. According to the ECHO data, on average over the last three fiscal years (2012 through 2014) approximately 56% of major individual permit facilities, 26% of nonmajor individual permit facilities, and 7% of nonmajor general permit facilities underwent inspections each year. Data were not available on inspection frequency by subprogram. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for compliance monitoring for stormwater facilities (0.56 for major individual permits, 0.26 for nonmajor individual permits, and 0.07 for nonmajor general permits).
Violations
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 67% of major individual permit facilities and 53% of nonmajor individual permit facilities had at least one instance of non-compliance each year. Data were not available on violation frequency by subprogram or for nonmajor general permit facilities. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for violations for stormwater facilities and assumes that nonmajor general permit facilities have the same violation frequency as nonmajor individual permit facilities (0.67 for major individual permits and 0.53 for nonmajor individual and general permits).
In general, EPA has expected authorized NPDES programs to share Single Event Violation (SEV) data on facilities defined as majors. Because the final rule also provides for entry of SEV data on nonmajor facilities, the analysis includes reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09. This annual frequency is based on data from EPA's ECHO State Water Dashboard, which show that on average over the last three fiscal years (2012 through 2014) approximately 9% of major individual permit facilities had SEVs. This frequency may be an overestimate because some SEVs will be self-reported by the permitted facilities (e.g., through stormwater annual reports) and, thus, will not require data entry by the authorized NPDES program. In addition, for construction stormwater facilities, the final rule only requires SEV data when the authorized NPDES program also issues a formal enforcement action against the inspected construction site. To be conservative, however, the analysis assumes SEVs at construction facilities will be accompanied by enforcement actions and includes expanded SEV reporting for construction stormwater facilities.
Enforcement Actions
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 30% of major individual permit facilities and 19% of nonmajor individual permit facilities had concluded enforcement actions each year. Data were not available on concluded enforcement actions by subprogram or for nonmajor general permit facilities. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for concluded enforcement actions for stormwater facilities and assumes that nonmajor general permit facilities have the same concluded enforcement action frequency as nonmajor individual permit facilities (0.30 for major individual permits and 0.19 for nonmajor individual and general permits).
Summary
Table 2-9 summarizes the number of stormwater regulated entities and the annual frequencies for each required data family.
Table 2-9: Municipal Stormwater Permit Universe and Annual Reporting Frequency

                               Individual Majors
                             Individual Nonmajors
                               General Nonmajors
                                                                   Phase I MS4s
                                                                            249
                                                                              0
                                                                              9
                                                                  Phase II MS4s
                                                                              0
                                                                            204
                                                                          5,093
                                  Data Family
                          Annual Reporting Frequency
                          Annual Reporting Frequency
                   Annual Reporting Frequency (Phase I MS4s)
                  Annual Reporting Frequency (Phase II MS4s)
Permits[a]
                                                                            0.2
                                                                            0.2
                                                                           0.20
                                                                           0.20
Limits
                                                                            0.2
                                                                              0
                                                                              0
                                                                              0
Limit Sets
                                                                            0.2
                                                                              0
                                                                              0
                                                                              0
DMRs
                                                                           12.0
                                                                              0
                                                                           12.0
                                                                              0
Program Reports
                                                                            1.0
                                                                            0.4
                                                                            1.0
                                                                            0.4
Compliance Monitoring
                                                                           0.56
                                                                           0.26
                                                                           0.07
                                                                           0.07
Violations[b]
                                                                           0.67
                                                                           0.53
                                                                           0.53
                                                                           0.53
Enforcement Actions
                                                                           0.30
                                                                           0.19
                                                                           0.19
                                                                           0.19
[a] In addition to the permit frequencies shown the analysis includes data entry associated with minor changes at the permitted facility with an annual reporting frequency of 0.1.
[b] In addition to the violation frequencies shown, the analysis includes expanded reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09.
Combined Sewer System (CSS) POTWs
Combined sewer systems (CSSs) are sewers that are designed to collect rainwater runoff, domestic sewage, and industrial wastewater in the same collection system. Typically, CSSs transport all of their wastewater to a sewage treatment plant where it is treated and then discharged to a water body. During periods of heavy rainfall or snowmelt the wastewater volume in a combined sewer system can exceed the capacity of the sewer system or treatment plant(s). For this reason, combined sewer systems may be designed to overflow during peak inflow events and discharge excess combined wastewater directly to nearby streams, rivers, or other water bodies. These combined sewer overflows (CSOs) contain not only stormwater but also untreated human and industrial wastes, toxic materials, and debris. It is assumed that all states with NPDES authorized NPDES program will administer their CSS program. EPA administers the CSS program in the remaining states. POTWs that operate CSS can also have bypass events [40 CFR 122.41(m)] and are also required to report such events when sewage bypasses any portion of a treatment facility.
Permit Universe
The number of POTWs with CSSs in each state was estimated using data downloaded from ECHO in May 2015. The numbers of facilities derived from the ECHO data match numbers shown in the Office of Wastewater Management list of combined sewer systems within 3%. The analysis uses the ECHO data because they are more recent and identify individual major, individual nonmajor, and general permits separately. As discussed in Section 2.9.1, the analysis divides the total universe of POTWs into CSSs and SSSs and treats those that are only partially composed of CSSs as CSSs. This assumption is reasonable since such systems will need to report information on that portion that is a CSS.
Annual Reporting Frequency by Data Family
Except where stated otherwise, the annual frequencies described in this section apply to both major and nonmajor CSS POTWs.
Permits
CSS permit data must be entered into ICIS-NPDES. Permit data are entered with the permit cycle, once every five years, which translates to an annual reporting frequency of 0.2. In addition, the analysis accounts for additional data entry associated with minor changes at the permitted facility (e.g., change in owner or operator name). It assumes that a small number of permit data elements (e.g., contact name and/or phone number or contact information) will need to be updated with an annual reporting frequency of 0.1, reflecting that such changes might occur for 10% of permitted facilities each year.
Limits and Limit Sets
All CSS permits must have limits and limit sets data entered into ICIS-NPDES. Limits and limit sets change according to the permit cycle, and therefore have an annual reporting frequency of 0.2.
DMRs
Annual reporting frequencies are linked to the requirement that DMRs must be sent on a monthly basis. Therefore, DMRs have an annual reporting frequency of 12.
Program Reports
CSSs must submit a program report for every overflow and bypass event. Therefore, the estimated annual reporting frequency for program report data was set as the number of overflow and bypass events divided by the number of CSSs. The number of overflow events and corresponding number of CSSs was taken from EPA's 2004 Report to Congress on sewer overflows. The number of bypass events was assumed to be 1,000 per year. Based on this calculation, the estimated annual reporting frequency is 12.51.
Compliance Monitoring
Compliance monitoring information must be entered for every overflow event, according to EPA Compliance Monitoring Strategy. Therefore, the estimated annual reporting frequency for compliance monitoring data was set as the number of overflow events divided by the number of CSSs (taken from the 2004 Report to Congress). Based on this calculation; the estimated annual reporting frequency is 11.22.
Violations
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 67% of major individual permit facilities and 53% of nonmajor individual permit facilities had at least one instance of non-compliance each year. Data were not available on violation frequency by subprogram or for nonmajor general permit facilities. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for violations for CSSs and assumes that nonmajor general permit facilities have the same violation frequency as nonmajor individual permit facilities (0.67 for major individual permits and 0.53 for nonmajor individual and general permits).
In general, EPA has expected authorized NPDES programs to share Single Event Violation (SEV) data on facilities defined as majors. Because the final rule also provides for entry of SEV data on nonmajor facilities, the analysis includes reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09. This annual frequency is based on data from EPA's ECHO State Water Dashboard, which show that on average over the last three fiscal years (2012 through 2014) approximately 9% of major individual permit facilities had SEVs. This frequency may be an overestimate because some SEVs will be self-reported by the permitted facilities and, thus, will not require data entry by the authorized NPDES program. For example, sewer overflow events are SEVs and will be self-reported by the permitted CSS as discussed above under program reports.
Enforcement Actions
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 30% of major individual permit facilities and 19% of nonmajor individual permit facilities had concluded enforcement actions each year. Data were not available on concluded enforcement actions by subprogram or for nonmajor general permit facilities. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for concluded enforcement actions for CSSs and assumes that nonmajor general permit facilities have the same concluded enforcement action frequency as nonmajor individual permit facilities (0.30 for major individual permits and 0.19 for nonmajor individual and general permits).
Summary
Table 2-10 summarizes the number of CSS POTW regulated entities and the annual frequencies for each required data family.

      Table 2-10: CSS POTW Permit Universe and Annual Reporting Frequency

                               Individual Majors
                             Individual Nonmajors
                               General Nonmajors
                                                                POTWs with CSSs
                                                                            462
                                                                            244
                                                                             68
                                  Data Family
                          Annual Reporting Frequency
                          Annual Reporting Frequency
                          Annual Reporting Frequency
Permits[a]
                                                                            0.2
                                                                            0.2
                                                                            0.2
Limits
                                                                            0.2
                                                                            0.2
                                                                            0.2
Limit Sets
                                                                            0.2
                                                                            0.2
                                                                            0.2
DMRs
                                                                           12.0
                                                                           12.0
                                                                           12.0
Program Reports
                                                                          12.51
                                                                          12.51
                                                                          12.51
Compliance Monitoring
                                                                          11.22
                                                                          11.22
                                                                          11.22
Violations[b]
                                                                           0.67
                                                                           0.53
                                                                           0.53
Enforcement Actions
                                                                           0.30
                                                                           0.19
                                                                           0.19
[a] In addition to the permit frequencies shown the analysis includes data entry associated with minor changes at the permitted facility with an annual reporting frequency of 0.1.
[b] In addition to the violation frequencies shown, the analysis includes expanded reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09.
Sanitary Sewer System (SSS) POTWs and TWTDSs
Sanitary Sewer Systems (SSSs) are sewers designed to collect and transport all domestic sewage that flows into them to a POTW. Properly designed, operated, and maintained SSSs are designed to prevent overflows. However, occasional unintentional discharges of raw sewage from municipal sanitary sewers occur in almost every system. These types of discharges are called sanitary sewer overflows (SSOs) and they contain untreated human and industrial wastes. It is assumed that all states with NPDES authorized NPDES program will administer their SSS program, and that EPA administers the SSS program in the remaining states. POTWs that operate SSS can also have bypass events [40 CFR 122.41(m)] and are also required to report such events when sewage bypasses any portion of a treatment facility.
Permit Universe
Major and Nonmajor Individual Permits
The total number of POTWs in each state was derived from EPA's Clean Watersheds Needs Survey (specifically, Table I-1). The number of POTWs with SSSs was estimated by subtracting the number of POTWs with CSSs (see Section 2.8.1) and assuming, based on data available in ICIS-NPDES, that 27% of POTWs with SSSs are majors and the remaining 73% are nonmajors. This approach divides the total universe of POTWs into CSSs and SSSs and treats those that are only partially composed of CSSs as CSSs. This assumption is reasonable since such systems will need to report information on that portion that is a CSS.
In addition to POTWs, SSO reporting is also required of other treatment works treating domestic sewage (TWTDSs). Because the Clean Watershed Needs Survey does not account for TWTDSs, ICIS-NPDES data for 2015 were queried for non-POTWs with SIC of 4952, which is the applicable industry code for TWTDSs. This query resulted in approximately 8,900 TWTDSs, which were added to the total number of POTW-SSSs. The analysis assumes that 9% of TWTDSs are majors and the remaining 91% are nonmajors, based on data from ECHO.
Nonmajor General Permits
Note that four states (North Carolina, Ohio, South Carolina, and Wisconsin) issue permits to SSSs under a general permit. In this analysis, it is assumed that all SSS POTW and TWTDS nonmajor permits in these four states are nonmajor general permits (Weiss, 2011).
Annual Reporting Frequency by Data Family
Except where stated otherwise, the annual frequencies described in this section apply to both major and nonmajor SSS POTWs and TWTDSs.
Permits
SSS POTW permit data must be entered into ICIS-NPDES. Permit data are entered with the permit cycle, once every five years, which translates to an annual reporting frequency of 0.2. In addition, the analysis accounts for additional data entry associated with minor changes at the permitted facility (e.g., change in owner or operator name). It assumes that a small number of permit data elements (e.g., contact name and/or phone number or contact information) will need to be updated with an annual reporting frequency of 0.1, reflecting that such changes might occur for 10% of permitted facilities each year.
Limits and Limit Sets
All SSS POTW permits must have limits and limit sets data entered into ICIS-NPDES. Limits and limit sets change according to the permit cycle, and therefore have an annual reporting frequency of 0.2.
DMRs
All SSS POTWs must submit DMRs for their permitted dischargers to surface waters. Annual reporting frequencies are linked to the requirement that DMRs must be sent on a monthly basis. Therefore, DMRs have an annual reporting frequency of 12.
Program Reports
SSS POTWs must submit a program report for every overflow and bypass event. Therefore, the estimated annual reporting frequency for program report data elements for these POTWs was set as the number of overflow and bypass events divided by the number of SSSs. The number of overflow events and corresponding number of SSSs was taken from EPA's 2004 Report to Congress on sewer overflows. The number of bypass events was assumed to be 2,000 per year. Based on this calculation; the estimated annual reporting frequency is 2.65.
Compliance Monitoring
Compliance monitoring information must be entered for every overflow event, according to the EPA Compliance Monitoring Strategy. Therefore, the estimated annual reporting frequency for compliance monitoring data was set as the number of overflow events divided by the number of SSSs (taken from the 2004 Report to Congress). Based on this calculation; the estimated annual reporting frequency is 2.57.
Violations
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 67% of major individual permit facilities and 53% of nonmajor individual permit facilities had at least one instance of non-compliance each year. Data were not available on violation frequency by subprogram or for nonmajor general permit facilities. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for violations for SSSs and assumes that nonmajor general permit facilities have the same violation frequency as nonmajor individual permit facilities (0.67 for major individual permits and 0.53 for nonmajor individual and general permits).
In general, EPA has expected authorized NPDES programs to share Single Event Violation (SEV) data on facilities defined as majors. Because the final rule also provides for entry of SEV data on nonmajor facilities, the analysis includes reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09. This annual frequency is based on data from EPA's ECHO State Water Dashboard, which show that on average over the last three fiscal years (2012 through 2014) approximately 9% of major individual permit facilities had SEVs. This frequency may be an overestimate because some SEVs will be self-reported by the permitted facilities and, thus, will not require data entry by the authorized NPDES program. For example, sewer overflow events are SEVs and will be self-reported by the permitted SSS as discussed above under program reports.
Enforcement Actions
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 30% of major individual permit facilities and 19% of nonmajor individual permit facilities had concluded enforcement actions each year. Data were not available on concluded enforcement actions by subprogram or for nonmajor general permit facilities. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for concluded enforcement actions for SSSs and assumes that nonmajor general permit facilities have the same concluded enforcement action frequency as nonmajor individual permit facilities (0.30 for major individual permits and 0.19 for nonmajor individual and general permits).
Summary
Table 2-11 summarizes the number of SSS POTW and TWTDS regulated entities and the annual frequencies for each required data family.
 Table 2-11: SSS POTW and TWTDS Permit Universe and Annual Reporting Frequency

                               Individual Majors
                             Individual Nonmajors
                               General Nonmajors
                                                           POTWs with SSSs only
                                                                          3,533
                                                                          9,197
                                                                          1,281
                                                                         TWTDSs
                                                                            779
                                                                          7,510
                                                                            655
                                  Data Family
                          Annual Reporting Frequency
                          Annual Reporting Frequency
                          Annual Reporting Frequency
Permits[a]
                                                                            0.2
                                                                            0.2
                                                                            0.2
Limits
                                                                            0.2
                                                                            0.2
                                                                            0.2
Limit Sets
                                                                            0.2
                                                                            0.2
                                                                            0.2
DMRs
                                                                           12.0
                                                                           12.0
                                                                           12.0
Program Reports
                                                                           2.65
                                                                           2.65
                                                                           2.65
Compliance Monitoring
                                                                           2.57
                                                                           2.57
                                                                           2.57
Violations[b]
                                                                           0.67
                                                                           0.53
                                                                           0.53
Enforcement Actions
                                                                           0.30
                                                                           0.19
                                                                           0.19
[a] In addition to the permit frequencies shown the analysis includes data entry associated with minor changes at the permitted facility with an annual reporting frequency of 0.1.
[b] In addition to the violation frequencies shown, the analysis includes expanded reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09.
Biosolids
The biosolids NPDES subprogram applies to those facilities that use or dispose of treated sewage sludge, also referred to as "biosolids." Biosolids reporting criteria mostly apply to POTWs that ship their biosolids offsite for use as fertilizer, with the addition of some non-POTW facilities that produce and distribute biosolids. Furthermore, while some facilities generate biosolids, they are not required to report to EPA unless they ship the biosolids offsite. Therefore, the biosolids universe used in the analysis only represents those facilities that annually transfer biosolids offsite, which accounts for most biosolids reporting activity.
Permit Universe
Major and Nonmajor Individual Permits
The number of major and nonmajor permits with biosolids reporting requirements was estimated using data from EPA's Clean Watersheds Needs Survey.
Nonmajor General Permits
While nonmajor general biosolids permits exist, it was not possible to determine the exact number based on available data. Because the costs would not differ based on the individual versus general permit classification, it was assumed that all biosolids facilities are regulated under individual permits. Therefore, for the purpose of estimating potential costs, the universe of nonmajor general biosolids permits is zero.
Annual Reporting Frequency by Data Family
Except where stated otherwise, the annual reporting frequencies described in this section apply to both major and nonmajor biosolids facilities.
Permits
Biosolids facilities are POTWs, TWTDSs, or standard industrial dischargers regulated under other NPDES programs, such as SSSs. As such, the data entry associated with most permit data elements is included in the analysis of the CSS POTW, SSS POTW, or standard industrial discharger universes. However, those permit data elements specific to the biosolids program were assumed to have an annual reporting frequency of 0.2, because they are assumed to be generated on the permit cycle.
Limits and Limit Sets
As stated above, biosolids facilities are POTWs, TWTDSs, or standard industrial dischargers. These facilities do submit DMRs with corresponding limits and limit sets, but the data entry and processing associated with those limits and limit sets are accounted for under the CSS POTW, SSS POTW, or standard industrial discharger universes. Therefore, biosolids facilities have no biosolids specific discharges, which means the frequency for submitting limit and limit set data is zero for this group of facilities.
DMRs
As stated above, biosolids facilities are POTWs, TWTDSs, or standard industrial dischargers. These facilities do submit DMRs, but the data entry and processing associated with those reports are accounted for under the CSS POTW, SSS POTW, or standard industrial discharger universes. Biosolids facilities have no biosolids specific discharges, which means the frequency for submitting DMRs is zero for this group of facilities.
Program Reports
                 EPA Region 7 Annual Biosolids Reports (2014)
Biosolids permits have an annual program report requirement. Therefore, the annual reporting frequency for program reports data is 1.Compliance Monitoring
As stated above, all biosolids facilities are POTWs, TWTDSs, or standard industrial dischargers. Therefore the violation information associated with these facilities is accounted for under the CSS POTW, SSS POTW, or standard industrial discharger permit universes and, to prevent double counting, the reporting frequency for compliance monitoring is zero.
Violations
As stated above, all biosolids facilities are POTWs, TWTDSs, or standard industrial dischargers. Therefore the violation information associated with these facilities is accounted for under the CSS POTW, SSS POTW, or Standard Industrial Discharger permit universes and, to prevent double counting, the reporting frequency for violations is zero.
Enforcement Actions
As stated above, all biosolids facilities are POTWs, TWTDSs, or standard industrial dischargers. Therefore the violation information associated with these facilities is accounted for under the CSS POTW, SSS POTW, or standard industrial discharger permit universes and, to prevent double counting, the reporting frequency for enforcement actions is zero.
Summary
Table 2-12 summarizes the number of regulated entities required to file biosolids/sewage sludge data and the annual frequencies for each required data family.
     Table 2-12: Biosolids Permit Universe and Annual Reporting Frequency

                               Individual Majors
                             Individual Nonmajors
                               General Nonmajors
                                          Biosolids/Sewage Sludge Report Filers
                                                                          4,209
                                                                            694
                                                                              0
                                  Data Family
                          Annual Reporting Frequency
                          Annual Reporting Frequency
                          Annual Reporting Frequency
Permits
                                                                           0.2a
                                                                           0.2a
                                                                            n/a
Limits
                                                                            0.0
                                                                            0.0
                                                                            n/a
Limit Sets
                                                                            0.0
                                                                            0.0
                                                                            n/a
DMRs
                                                                            0.0
                                                                            0.0
                                                                            n/a
Program Reports
                                                                              1
                                                                              1
                                                                            n/a
Compliance Monitoring
                                                                            0.0
                                                                            0.0
                                                                            n/a
Violations
                                                                            0.0
                                                                            0.0
                                                                            n/a
Enforcement Actions
                                                                            0.0
                                                                            0.0
                                                                            n/a
a Annual reporting frequency applies only to those permit data elements specific to the biosolids program. All other permit data elements are captured by CSS POTWs, SSS POTWs, TWTDSs, or standard industrial dischargers.

Pretreatment
POTWs collect wastewater from homes, commercial buildings, and industrial facilities and transport it via a sewer collection system, to the treatment plant. At the treatment plant, the POTW removes harmful organisms and other contaminants from the sewage so it can be discharged safely into the receiving stream. Generally, POTWs are designed to treat domestic sewage; however, most POTWs also receive wastewater from industrial users. The General Pretreatment Regulations establish responsibilities of the POTW to develop and implement local limits for industrial users (IUs)/dischargers to the sewer system to control pollutants that may pass through or interfere with POTW treatment processes or that may contaminate sewage sludge. States may issue IU permits even though the IU discharges to the sewer collection system for further treatment at the POTW. POTWs with approved pretreatment programs must administer a local program covering IUs and report to their authorized NPDES program regarding the administration of their pretreatment program.
Permit Universe
Major and Nonmajor Individual Permits
The total number of approved pretreatment programs in each state was estimated by EPA based on available data from permitting authorities. These data did not distinguish between major and nonmajor permit holders. Data available in ICIS-NPDES, however suggests that 93% of POTWs with a pretreatment program are majors and the remaining 7% are nonmajors. Note that no POTWs file pretreatment program data in Connecticut, Vermont, Alabama, Mississippi, and Nebraska, because these states exclusively oversee SIU compliance and oversight activities instead of requiring their POTWs to develop their own legal authority and procedures, as described in 40 CFR 403.10(e).
Nonmajor General Permits
There are no general permits for nonmajor POTWs with approved pretreatment programs. Therefore, the universe for this category is zero.
Annual Reporting Frequency by Data Family
Except where stated otherwise, the annual frequencies described in this section apply to both major and nonmajor pretreatment permits.
Permits
As pretreatment facilities are a subset of POTWs, the data entry associated with most permit data elements is included in the analysis of the CSS or SSS POTWs. However, those permit data elements specific to the pretreatment program were assumed to have an annual reporting frequency of 0.2, because they are assumed to be generated on the permit cycle.
Limits and Limit Sets
All pretreatment permits must have limits and limit sets data entered into ICIS-NPDES. Limits and limit sets change according to the permit cycle, and therefore have an annual reporting frequency of 0.2.
DMRs
Annual reporting frequencies are linked to the requirement that DMRs must be sent on a monthly basis. Therefore, DMRs have an annual reporting frequency of 12.
Program Reports
                EPA Region 9 Annual Pretreatment Reports (2009)
Pretreatment programs have an annual program report requirement; therefore the annual reporting frequency for program reports is 1. Note that, in addition to applying to regulated POTWs with approved pretreatment programs, the program report requirement also applies to 36 states that are authorized to administer the pretreatment program and to nine EPA regions (covering the 14 states that are not authorized for the pretreatment program). Under existing reporting requirements, these states and regions submit an annual pretreatment program report covering industrial user discharges in municipalities without an approved pretreatment program (i.e., where the state or region is the Control Authority, instead of an approved POTW). The analysis includes the cost and cost savings associated with electronic submission of pretreatment program reports from states and regions, in addition to pretreatment program reports from approved POTWs. Compliance Monitoring
The annual frequency of compliance monitoring reports was estimated using data from EPA's ECHO State Water Dashboard. According to the ECHO data, on average over the last three fiscal years (2012 through 2014) approximately 56% of major individual permit facilities, 26% of nonmajor individual permit facilities, and 7% of nonmajor general permit facilities underwent inspections each year. Data were not available on inspection frequency by subprogram. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for compliance monitoring for pretreatment facilities (0.56 for major individual permits and 0.26 for nonmajor individual permits).
Violations
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 67% of major individual permit facilities and 53% of nonmajor individual permit facilities had at least one instance of non-compliance each year. Data were not available on violation frequency by subprogram. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for violations for pretreatment (0.67 for major individual permits and 0.53 for nonmajor individual permits).
In general, EPA has expected authorized NPDES programs to share Single Event Violation (SEV) data on facilities defined as majors. Because the final rule also provides for entry of SEV data on nonmajor facilities, the analysis includes reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09. This annual frequency is based on data from EPA's ECHO State Water Dashboard, which show that on average over the last three fiscal years (2012 through 2014) approximately 9% of major individual permit facilities had SEVs. This frequency may be an overestimate because some SEVs will be self-reported by the permitted facilities (e.g., through pretreatment annual reports) and, thus, will not require data entry by the authorized NPDES program.
Enforcement Actions
According to EPA's ECHO State Water Dashboard, on average over the last three fiscal years (2012 through 2014) approximately 30% of major individual permit facilities and 19% of nonmajor individual permit facilities had concluded enforcement actions. Data were not available on concluded enforcement actions by subprogram. Therefore, the analysis uses these averages across subprograms as estimates of the annual reporting frequency for concluded enforcement actions for pretreatment facilities (0.30 for major individual permits and 0.19 for nonmajor individual permits).
Summary
Table 2-13 summarizes the number of regulated entities submitting preatreatment program data and the annual frequencies for each required data family.
    Table 2-13: Pretreatment Permit Universe and Annual Reporting Frequency

                               Individual Majors
                             Individual Nonmajors
                               General Nonmajors
                                             Pretreatment Program Report Filers
                                                                          1,462
                                                                           114
                                                                              0
                                  Data Family
                          Annual Reporting Frequency
                          Annual Reporting Frequency
                          Annual Reporting Frequency
Permits[b]
                                                                         0.2[a]
                                                                         0.2[a]
                                                                            n/a
Limits
                                                                            0.2
                                                                            0.2
                                                                            n/a
Limit Sets
                                                                            0.2
                                                                            0.2
                                                                            n/a
DMRs
                                                                           12.0
                                                                           12.0
                                                                            n/a
Program Reports[c]
                                                                              1
                                                                              1
                                                                            n/a
Compliance Monitoring
                                                                           0.56
                                                                           0.26
                                                                            n/a
Violations[d]
                                                                           0.67
                                                                           0.53
                                                                            n/a
Enforcement Actions
                                                                           0.30
                                                                           0.19
                                                                            n/a
a Annual reporting frequency applies only to those permit data elements specific to the pretreatment program. All other permit data elements are captured by CSS and SSS POTWs.
[b] In addition to the permit frequencies shown the analysis includes data entry associated with minor changes at the permitted facility with an annual reporting frequency of 0.1.
[c] In addition to applying to the universe of permits shown above, the program report requirement also applies to states and EPA regions where they are the Control Authority for the pretreatment program.
[d] In addition to the violation frequencies shown, the analysis includes expanded reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09.

 Summary
Table 2-14 shows the number of individual major, individual nonmajor, and general nonmajor permits under each subprogram. As described in Figure 2-1, the universe numbers presented here are a major input into the cost analysis. Combining the frequencies and universes with the data entry and report processing costs (discussed in Section 4) determines the total savings and cost associated with the final rule. Table 2-15 presents the annual frequencies by data family for each permit type under each subprogram. Note, however, that not all of the regulated entities enumerated in Table 2-14 submit every type of report. To clarify this point, Table 2-16 shows the number of filers for each type of report (NOIs, DMRs, and program reports) under each subprogram.
               Table 2-14: Universe Summary by NPDES Subprogram
                               NPDES Subprogram
                            Number of NPDES Permits

                               Individual Majors
                             Individual Nonmajors
                               General Nonmajors

Non-POTWs (Industrial, Agriculture, and Stormwater)
       Standard Industrial Dischargers (may also file CWA §316(b) data)
                                                                          1,683
                                                                         18,993
                                                                     118,073[a]
                              CWA §316(b) Filers

                                         Permits with Cooling Water Intake Data
                                                                          1,171
                                                                              0
                                                                              0
                                             Permits with Thermal Variance Data
                                                                            554
                                                                              0
                                                                              0
                   Industrial Facilities Submitting CWA §316(b) Annual Reports
                                                                            200
                                                                              0
                                                                              0
                    Significant Industrial Users (SIUs)[b]

                               SIUs in Municipalities with Pretreatment Program
                                                                              0
                                                                         29,060
                                                                              0
                            SIUs in Municipalities without Pretreatment Program
                                                                              0
                                                                          2,487
                                                                              0
                    Concentrated Animal Feeding Operations
                                                                              0
                                                                          1,266
                                                                          5,291
                    Industrial and Construction Stormwater

                                                                     Industrial
                                                                            132
                                                                            563
                                                                         92,282
                                                                   Construction
                                                                              1
                                                                            638
                                                                        243,227
                            Municipal Stormwater[c]

                          Phase I municipal separate storm sewer systems (MS4s)
                                                                            249
                                                                              0
                                                                              9
                                                                  Phase II MS4s
                                                                              0
                                                                            204
                                                                          5,093
POTWs and TWTDSs (may have a CSS or a SSS, may also file more than one report)
                                    POTWs with Combined Sewer Systems (CSSs)[d]
                                                                            462
                                                                            244
                                                                             68
                               POTWs with Sanitary Sewer Systems (SSSs) only[d]
                                                                          3,533
                                                                          9,197
                                                                          1,281
                                                                         TWTDSs
                                                                            779
                                                                          7,510
                                                                            655
                           POTW NPDES Report Filers

                                          Biosolids/Sewage Sludge Report Filers
                                                                          4,209
                                                                            694
                                                                              0
                                             Pretreatment Program Report Filers
                                                                          1,462
                                                                            114
                                                                              0
                                   Sewer Overflow/Bypass Event Report Filers[d]
                                                                          4,774
                                                                         16,950
                                                                          2,003
a Includes 9,125 pesticide applicators and 63,000 vessels that are already filing electronically
[b] These industrial facilities discharge to POTWs and are regulated by the NPDES program through EPA's General Pretreatment Regulations (40 CFR 403) and Categorical Pretreatment Standards (40 CFR 405  -  471). They do not have NPDES permits, but those in municipalities without pretreatment programs would report electronically under the rule.
[c] Nearly all Phase I MS4s are individually permitted facilities. For purposes of cost estimating, the analysis treats all individually permitted Phase I MS4s as majors and all Phase II MS4s and nonmajors.
[d] The analysis divides the total universe of POTWs into CSSs and SSSs and treats those that are only partially composed of CSSs as CSSs.

 Table 2-15: Annual Reporting Frequency Summary by Data Family and Permit Type
                                  Subprogram
                                  Permit Type
                          Annual Reporting Frequency

                                  Permits[a]
                                    Limits
                                  Limit Sets
                                     DMRs
                                Program Reports
                             Compliance Monitoring
                                 Violations[b]
                              Enforcement Actions
              Non-POTWs (Industrial, Agriculture, and Stormwater)
        Standard Industrial Dischargers (includes CWA §316(b) Filers)
                                                               Individual Major
                                                                            0.2
                                                                            0.2
                                                                            0.2
                                                                           12.0
                                                                           1[c]
                                                                           0.56
                                                                           0.67
                                                                           0.30

                                                            Individual Nonmajor
                                                                            0.2
                                                                            0.2
                                                                            0.2
                                                                           12.0
                                                                              0
                                                                           0.26
                                                                           0.53
                                                                           0.19

                                                               General Nonmajor
                                                                            0.2
                                                                            0.0
                                                                            0.0
                                                                           12.0
                                                                              0
                                                                           0.07
                                                                           0.53
                                                                           0.19
Significant Industrial Users (SIUs) In Municipalities without Pretreatment Program[d]
                                                                            n/a
                                                                            n/a
                                                                            n/a
                                                                            n/a
                                                                              2
                                                                            n/a
                                                                            n/a
                                                                            n/a
                    Concentrated Animal Feeding Operations
                                                            Individual Nonmajor
                                                                            0.2
                                                                            0.0
                                                                            0.0
                                                                            0.0
                                                                              1
                                                                           0.26
                                                                           0.53
                                                                           0.19

                                                               General Nonmajor
                                                                            0.2
                                                                            0.0
                                                                            0.0
                                                                            0.0
                                                                              1
                                                                           0.07
                                                                           0.53
                                                                           0.19
                   Industrial & Construction Stormwater

                                                                     Industrial
                                                               Individual Major
                                                                            0.2
                                                                            0.2
                                                                            0.2
                                                                            3.0
                                                                              0
                                                                           0.56
                                                                           0.67
                                                                           0.30

                                                            Individual Nonmajor
                                                                            0.2
                                                                            0.2
                                                                            0.2
                                                                            3.0
                                                                              0
                                                                           0.26
                                                                           0.53
                                                                           0.19

                                                               General Nonmajor
                                                                        0.18[e]
                                                                            0.0
                                                                            0.0
                                                                            3.0
                                                                              0
                                                                           0.07
                                                                           0.53
                                                                           0.19
                                                                   Construction
                                                               Individual Major
                                                                            0.2
                                                                           1[f]
                                                                          1[f]
                                                                           1[f]
                                                                              0
                                                                           0.56
                                                                           0.67
                                                                           0.30

                                                            Individual Nonmajor
                                                                            0.2
                                                                           1[f]
                                                                           1[f]
                                                                           1[f]
                                                                              0
                                                                           0.26
                                                                           0.53
                                                                           0.19

                                                               General Nonmajor
                                                                        0.17[e]
                                                                              0
                                                                              0
                                                                           1[f]
                                                                              0
                                                                           0.07
                                                                           0.53
                                                                           0.19
                            Municipal Stormwater[g]

                                                                   Phase I MS4s
                                                               Individual Major
                                                                            0.2
                                                                            0.2
                                                                            0.2
                                                                           12.0
                                                                              1
                                                                           0.56
                                                                           0.67
                                                                           0.30

                                                               General Nonmajor
                                                                            0.2
                                                                            0.0
                                                                            0.0
                                                                           12.0
                                                                              1
                                                                           0.07
                                                                           0.53
                                                                           0.19
                                                                  Phase II MS4s
                                                            Individual Nonmajor
                                                                            0.2
                                                                            0.0
                                                                            0.0
                                                                            0.0
                                                                            0.4
                                                                           0.26
                                                                           0.53
                                                                           0.19

                                                               General Nonmajor
                                                                            0.2
                                                                            0.0
                                                                            0.0
                                                                            0.0
                                                                            0.4
                                                                           0.07
                                                                           0.53
                                                                           0.19
POTWs and TWTDSs (may have a CSS or a SSS, may also file more than one report)
                                                             POTWs with CSSs[h]
                                                               Individual Major
                                                                            0.2
                                                                            0.2
                                                                            0.2
                                                                           12.0
                                                                       12.51[i]
                                                                       11.22[i]
                                                                           0.67
                                                                           0.30

                                                            Individual Nonmajor
                                                                            0.2
                                                                            0.2
                                                                            0.2
                                                                           12.0
                                                                       12.51[i]
                                                                       11.22[i]
                                                                           0.53
                                                                           0.19

                                                               General Nonmajor
                                                                            0.2
                                                                            0.2
                                                                            0.2
                                                                           12.0
                                                                       12.51[i]
                                                                       11.22[i]
                                                                           0.53
                                                                           0.19
                                             POTWs with SSSs only and TWTDSs[h]
                                                               Individual Major
                                                                            0.2
                                                                            0.2
                                                                            0.2
                                                                           12.0
                                                                        2.65[i]
                                                                        2.57[i]
                                                                           0.67
                                                                           0.30

                                                            Individual Nonmajor
                                                                            0.2
                                                                            0.2
                                                                            0.2
                                                                           12.0
                                                                        2.65[i]
                                                                        2.57[i]
                                                                           0.53
                                                                           0.19

                                                               General Nonmajor
                                                                            0.2
                                                                            0.2
                                                                            0.2
                                                                           12.0
                                                                        2.65[i]
                                                                        2.57[i]
                                                                           0.53
                                                                           0.19
                           POTW NPDES Report Filers

                                          Biosolids/Sewage Sludge Report Filers
                                                               Individual Major
                                                                         0.2[j]
                                                                            0.0
                                                                            0.0
                                                                            0.0
                                                                              1
                                                                            0.0
                                                                            0.0
                                                                            0.0

                                                            Individual Nonmajor
                                                                         0.2[j]
                                                                            0.0
                                                                            0.0
                                                                            0.0
                                                                              1
                                                                            0.0
                                                                            0.0
                                                                            0.0
                                             Pretreatment Program Report Filers
                                                               Individual Major
                                                                         0.2[j]
                                                                            0.2
                                                                            0.2
                                                                           12.0
                                                                           1[k]
                                                                           0.56
                                                                           0.67
                                                                           0.30

                                                            Individual Nonmajor
                                                                         0.2[j]
                                                                            0.2
                                                                            0.2
                                                                           12.0
                                                                           1[k]
                                                                           0.26
                                                                           0.53
                                                                           0.19
[a] In addition to the permit frequencies shown the analysis includes data entry associated with minor changes at the permitted facility with an annual reporting frequency of 0.1.
[b] In addition to the violation frequencies shown, the analysis includes expanded reporting of SEV data elements for nonmajor facilities with an annual frequency of 0.09.
[c] Applies only to the subset of facilities submitting CWA §316(b) Annual Reports.
[b] These industrial facilities discharge to POTWs and are regulated by the NPDES program through EPA's General Pretreatment Regulations (40 CFR 403) and Categorical Pretreatment Standards (40 CFR 405  -  471). They do not have NPDES permits, but those in municipalities without pretreatment programs would report electronically under the rule.
[e] Accounts for facilities filing NECs and LEWs, as well as NOIs.
[f] The analysis assumes 1% of construction stormwater regulated entities have DMR requirements due to an enforcement action. These facilities need to submit DMRs to show they have returned to compliance and are assigned a frequency of 1 for DMRs and, for individual permits, limits and limit sets.
[g] Nearly all Phase I MS4s are individually permitted facilities. For purposes of cost estimating, the analysis treats all individually permitted Phase I MS4s as majors and all Phase II MS4s as nonmajors.
[h] The analysis divides the total universe of POTWs into CSSs and SSSs and treats those that are only partially composed of CSSs as CSSs.
[i] Accounts for the submission of sewer overflow and bypass event reports.
[j] Applies only to those permit data elements specific to the biosolids and pretreatment programs. All other permit data elements are captured by CSSs POTWs, SSSs POTWs, TWTDSs, or standard industrial dischargers.
[k] The program report requirement also applies to states and EPA regions where they are the Control Authority for the pretreatment program.

       Table 2-16: Number of Filers by NPDES Subprogram and Report Type
                                  Subprogram
                                  Permit Type
                                  NOI Filers
                                  DMR Filers
                             Program Report Filers
Non-POTWs (Industrial, Agriculture, and Stormwater)
                        Standard Industrial Dischargers
                                                               Individual Major
                                                                              0
                                                                          1,683
                                                                              0

                                                            Individual Nonmajor
                                                                              0
                                                                         18,993
                                                                              0

                                                               General Nonmajor
                                                                         45,948
                                                                         41,353
                                                                              0
                            CWA §316(b) Filers[a]
                                                                              0
                                                                              0
                                                                            200
Significant Industrial Users (SIUs) In Municipalities without Pretreatment Program[b]
                                                                              0
                                                                              0
                                                                          2,487
                    Concentrated Animal Feeding Operations
                                                            Individual Nonmajor
                                                                              0
                                                                              0
                                                                          1,266

                                                               General Nonmajor
                                                                          5,291
                                                                              0
                                                                          5,291
                   Industrial & Construction Stormwater

                                                                     Industrial
                                                               Individual Major
                                                                              0
                                                                            132
                                                                              0

                                                            Individual Nonmajor
                                                                              0
                                                                            563
                                                                              0

                                                               General Nonmajor
                                                                         92,282
                                                                         92,282
                                                                              0
                                                                   Construction
                                                               Individual Major
                                                                              0
                                                                              0
                                                                              0

                                                            Individual Nonmajor
                                                                              0
                                                                              6
                                                                              0

                                                               General Nonmajor
                                                                      83,871[c]
                                                                          2,432
                                                                              0
                            Municipal Stormwater[d]

                                                                   Phase I MS4s
                                                               Individual Major
                                                                              0
                                                                            249
                                                                            249

                                                               General Nonmajor
                                                                              9
                                                                              9
                                                                              9
                                                                  Phase II MS4s
                                                            Individual Nonmajor
                                                                              0
                                                                              0
                                                                            204

                                                               General Nonmajor
                                                                          5,093
                                                                              0
                                                                          5,093
POTWs and TWTDSs (may have a CSS or a SSS, may also file more than one report)
                                                             POTWs with CSSs[e]
                                                               Individual Major
                                                                              0
                                                                            462
                                                                         462[f]

                                                            Individual Nonmajor
                                                                              0
                                                                            244
                                                                         244[f]

                                                               General Nonmajor
                                                                             68
                                                                             68
                                                                          68[f]
                                             POTWs with SSSs only and TWTDSs[e]
                                                               Individual Major
                                                                              0
                                                                          4,312
                                                                       4,312[f]

                                                            Individual Nonmajor
                                                                              0
                                                                         16,706
                                                                      16,706[f]

                                                               General Nonmajor
                                                                          1,935
                                                                          1,935
                                                                       1,935[f]
                           POTW NPDES Report Filers

                                       Biosolids/Sewage Sludge Report Filers[a]
                                                               Individual Major
                                                                              0
                                                                              0
                                                                          4,209

                                                            Individual Nonmajor
                                                                              0
                                                                              0
                                                                            694
                                             Pretreatment Program Report Filers
                                                               Individual Major
                                                                              0
                                                                          1,462
                                                                          1,462

                                                            Individual Nonmajor
                                                                              0
                                                                            114
                                                                            114
[a] DMR filings by these facilities are captured by CSS POTWs, SSS POTWs, TWTDSs, or standard industrial dischargers.
[b] These industrial facilities discharge to POTWs and are regulated by the NPDES program through EPA's General Pretreatment Regulations (40 CFR 403) and Categorical Pretreatment Standards (40 CFR 405  -  471). They do not have NPDES permits, but those in municipalities without pretreatment programs would report electronically under the rule.
[c] Assumes 2.9 construction stormwater general permits per firm.
[d] Nearly all Phase I MS4s are individually permitted facilities. For purposes of cost estimating, the analysis treats all individually permitted Phase I MS4s as majors and all Phase II MS4s and nonmajors.
[e] The analysis divides the total universe of POTWs into CSSs and SSSs and treats those that are only partially composed of CSSs as CSSs.
[f] Accounts for the submission of sewer overflow and bypass event reports.

References

Chan, Jennifer. 2015. Office of Water, U.S. EPA.
Hudock, Andrew. 2010. Office of Enforcement and Compliance, U.S. EPA.
Faulk, Jack. 2015. Office of Water, U.S. EPA.
U.S. EPA. 2004. Report to Congress: Impacts and Control of CSOs and SSOs. EPA 833-R-04-001. August. http://water.epa.gov/polwaste/npdes/cso/2004-Report-to-Congress.cfm
U.S. EPA. 2010. Clean Watersheds Needs Survey 2008: Report to Congress. EPA-832-R-10-002. http://owpubauthor.epa.gov/scitech/datait/databases/cwns/upload/cwns2008rtc.pdf
U.S. EPA. 2013. NPDES CAFO Rule Implementation Status -- National Summary, Endyear 2013. http://www.epa.gov/npdes/pubs/tracksum%20endyear2013.pdf
U.S. EPA. 2015. Enforcement and Compliance History Online (ECHO) State Water Dashboard. Accessed April 2015. http://echo.epa.gov/trends/comparative-maps-dashboards/state-water-dashboard?state=National&view=activity
U.S. EPA. 2015. NPDES General Permit Inventory. Accessed May 2015. http://cfpub.epa.gov/npdes/permitissuance/genpermits.cfm
Weiss, Kevin. 2011. Office of Water, U.S. EPA.

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