Information Collection Request for
                   National Pollutant Discharge Elimination
                       System (NPDES) Program (Renewal)

                OMB Control No. 2040-0004, EPA ICR No. 0229.20

                                  March 2012

                                 Prepared for
                 United States Environmental Protection Agency
                        Office of Wastewater Management
                         1200 Pennsylvania Avenue, NW
                             Washington, DC 20460

                        EPA Contract Number EP-C-11-009
                        EPA Work Assignment Number 0-22

Contents

1. Identification of the Information Collection	1
1(a) Title of the Information Collection	1
1(b) Short Characterization/Abstract	1
2. Need For and Use of the Collection	3
2(a) Need/Authority for the Collection	3
2(b) Practical Utility/Users of the Data	6
3. Non-duplication, Consultations, and Other Collection Criteria	11
3(a) Non-duplication	11
3(b) Public Notice Required Prior to ICR Submissions to OMB	11
3(c) Consultations	11
3(d) Effects of Less Frequent Collection	12
3(e) General Guidelines	13
3(f) Confidentiality	13
3(g) Sensitive Questions	13
4. The Respondents and the Information Requested	14
4(a) Respondents/Standard Industrial Classification (SIC) Codes	14
4(b) Information Requested	18
4(b)(i) Application/NOI	19
4(b)(ii) Plan Development/Special Studies	32
4(b)(iii) Monitoring	35
4(b)(iv) Reporting (including certification)	39
4(b)(v) Record Keeping	53
4(b)(vi) Compliance Assessment and Enforcement	57
4(b)(vii) Program Authorization	59
5. The Information Collected -- Agency Activities, Collection Methodology, and Information Management	63
5(a) Agency Activities	63
5(b) Collection Methodology and Management	67
5(c) Small Entity Flexibility	68
5(d) Collection Schedule	70
6. Estimating the Burden and Cost of the Collection	73
6(a) Estimating Respondent Burden	73
6(a)(i) Application/NOI	73
6(a)(ii) Plan Development/Special Studies	84
6(a)(iii) Monitoring	89
6(a)(iv) Reporting (including certification)	94
6(a)(v) Record Keeping	112
6(a)(vi) Compliance Assessment and Enforcement	117
6(a)(vii) Program Authorization	118
6(b) Estimating Respondent Costs	119
6(b)(i) Estimating Labor Costs	120
6(b)(ii) Operating and Maintenance (O&M) Costs	120
6(b)(iii) Capital/Start-up Costs	122
6(c) Estimating Agency Burden and Cost	123
6(d) Estimating the Respondent Universe and Total Burden and Costs	126
6(e) Bottom Line Burden Hours and Cost Tables	127
6(e)(i) Respondent Tally	127
6(e)(ii) The Agency Tally	127
6(f) Reasons for Change in Burden	128
6(g) Burden Statement	128

Appendices

  A. Respondents Table
  B. Respondents Activities Table
  C. Agency Activities Table
  D. Analysis of Changes
  E. State Status
  F. Application Forms
  G. DMR Form
  H. Comment Received and Response

Tables

Table 2.1 States with program authorization as of August 2011	4
Table 4.1 Industrial sectors and corresponding 40 CFR Part	15
Table 4.2 Application forms and information requests	20
Table 5.1 Reporting requirement descriptions	63
Table 6.1 Form 2A -- burden per applicant respondent by section	78
Table 6.2 Estimate of Form 2A facilities that contract out testing for pollutants	121
Table 6.3 Estimate of Form 2S facilities that contract out testing for pollutants	121
Table 6.4 Testing/contractor costs (O&M costs)	121
Table 6.5 Respondent Tally	127
Table 6.6 Agency Tally	127

1. Identification of the Information Collection
1(a) Title of the Information Collection
Title: National Pollutant Discharge Elimination System (NPDES) Program (Renewal)
OMB Control Number: 2040-0004
EPA ICR Number: 0229.20
1(b) Short Characterization/Abstract
This Information Collection Request (ICR) renews Office of Management and Budget (OMB) Number 2040-0004 National Pollutant Discharge Elimination System (NPDES) Program ICR.

This consolidated ICR calculates the burden and costs associated with the NPDES program, identifies the types of activities regulated under the NPDES program, describes the roles and responsibilities of state governments and the Agency, and presents the program areas that address the various types of regulated activities. It is an update of the 2008 Information Collection Request for the NPDES Program (OMB Control Number: 2040-0004; EPA ICR Number: 0229.19) that consolidated the burden and costs associated with activities previously reported in nine of the 15 NPDES program or NPDES-related ICRs administered by EPA's Water Permits Division.

The objective of the Clean Water Act (CWA) is to restore and maintain the chemical, physical, and biological integrity of the nation's waters (CWA section 101). The NPDES program, established under CWA section 402, is an important tool for controlling pollutant discharges. The CWA authorizes the Agency to issue permits for the discharge of pollutants to waters of the United States. The Agency regulates point source discharges of pollutants to waters of the United States under its NPDES program. CWA section 402(b) allows states (defined to include Indian tribes and U.S. territories) to acquire authority for the NPDES program. This authority enables them to issue and administer NPDES permits. At present, 46 NPDES-authorized states and the U.S. Virgin Islands have NPDES permit program authority, but only eight states have received authorization to manage the Biosolids (Sludge) Program. In states that do not have authority for these programs, the Agency issues and administers NPDES permits. Because some permit applications are processed by states and some by EPA, this ICR calculates government burden and costs for both states and EPA.

The information collection provisions associated with the NPDES Program include the following:

Activities directly related to individual permit applications or notices of intent (NOIs) for coverage under general permits;
Activities associated with plan development or special studies;
Monitoring;
Reporting, including certification;
Record-keeping;
Activities resulting from compliance assessments or enforcement actions; and
Activities resulting from NPDES program authorization, including approval, modifications, transfer or withdrawal of authorization.

The primary users of this information will be states authorized to administer the NPDES permitting program and EPA. It is anticipated that other government agencies, both at the state and federal level, as well as public interest groups, private companies, and individuals will also use the data.

In summary, this ICR estimates a burden of 19,666,765 hours annually for 397,703 respondents (permittees) at a cost of $948 million. Burden for the state respondents is 1,657,976 hours annually at a cost of $67 million. Agency burden is 91,568 hours annually at a cost of $3.8 million.

2. Need For and Use of the Collection
2(a) Need/Authority for the Collection
The purpose of the Clean Water Act (CWA) is "to restore and maintain the chemical, physical and biological integrity of the nation's waters" [section 101(a)]. CWA section 402(a) establishes the NPDES program to regulate the discharge of any pollutant from point sources into waters of the United States. Section 402(a) of the CWA, as amended, authorizes the EPA Administrator to issue permits for the discharge of pollutants if those discharges meet the following requirements:

All applicable requirements of CWA sections 301, 302, 306, 307, 308, and 403; or
Any conditions the Administrator determines are necessary to carry out the provisions and objectives of the CWA.

The primary mechanism to ensure that the permits are adequately protective of those requirements is the permit application process. In particular, CWA section 402(a)(2) requires EPA to prescribe permit conditions to assure compliance with requirements "including conditions on data and information collection, reporting and such other requirements as [the Administrator] deemed appropriate." EPA's application forms require applicants to submit data that help determine what those conditions should be.

The CWA also establishes an administrative framework for the NPDES permitting program. CWA section 402(b) authorizes states (which include U.S. territories and Indian tribes that have been authorized in the same manner as a state) to administer the NPDES program once EPA is assured that they meet minimum federal requirements. Authorizations vary by program. Table 2.1 summarizes the number of states authorized for each major program element. See Appendix E for a detailed NPDES program status by state. Authorized states are considered permitting authorities and are responsible for issuing, administering, and enforcing permits for most point source discharges within their borders. In states without an authorized NPDES program, EPA is the permitting authority and undertakes all permitting activities, although CWA section 401 requires states to certify that EPA-issued NPDES permits establish "effluent limitations, and monitoring requirements necessary to assure that any applicant...will comply with any applicable effluent limitations and other limitations (pursuant to the CWA) and with any other appropriate requirement of state law..." States, tribes, and U.S. territories may waive their right to certify permits if they wish. CWA section 510 provides that states, tribes, and territories may adopt requirements equal to or more stringent than standards established pursuant to CWA provisions.

Table 2.1 States with program authorization as of August 2011
Type
                                    Number
NPDES Base Permit Program
47*
Pretreatment Program
36
General Permits Program
47*
Biosolids Program
8
Federal Facilities
43
* includes the U.S. Virgin Islands

CWA section 405 prohibits the discharge of pollutants caused by the disposal of sewage sludge except in accordance with an NPDES permit (or an authorized state permit issued to control such disposal of sewage sludge). In addition, this section establishes a comprehensive sewage sludge permitting program and requires EPA to develop technical criteria for controlling sewage sludge disposal and use. CWA section 405 allows states with sludge management authority to issue and modify permits that regulate the use and disposal of sewage sludge. EPA implements CWA section 405 through its NPDES Biosolids Program.

The 1987 Water Quality Act (WQA) added a provision to the CWA [section 402(p)] that directed EPA to establish final regulations governing stormwater discharges under the NPDES program. EPA considers stormwater requirements as part of the NPDES Permit Program and as such, included them in this consolidated ICR. The NPDES Program requires permits for stormwater discharges from certain municipal separate storm sewer systems (MS4s), industrial activities, and construction activities disturbing one acre or more. CWA section 402(p) establishes the authority for EPA to permit stormwater discharges and identifies the applicable requirements, which in some instances are different from the requirements applicable to other NPDES permittees.

The NPDES program procedures and requirements are codified in Title 40 of the Code of Federal Regulations [CFR] Parts 122, 123, 124, and 125 (and Parts 501 and 503 for Biosolids). Regulations governing permit requirements for NPDES discharges and sewage sludge management activities are contained in 40 CFR Parts 122, and 501, and 503, respectively. EPA has developed its NPDES discharge and sewage sludge application requirements to ensure that it obtains adequate information about applicants before it issues permits. Most application requirements are contained in forms developed by EPA. Table 4.2 provides an overview of the types of respondents required to submit NPDES application forms and identifies the form(s) that they must submit.

The specific monitoring, reporting, and record-keeping requirements for NPDES and biosolids permits are applicable to both EPA- and state-administered NPDES permit programs, NPDES permittees (including stormwater), and treatment works that treat, use, or dispose of sewage sludge. CWA section 308 provides EPA with the authority to request this type of information from permittees. While these provisions establish EPA's authority and requirement to collect pollutant information, EPA has specific needs for collecting the data. These needs include the following:

To provide information on pollutant discharge trends;
To provide information to permitting authorities to prioritize permit activities;
To determine whether permittees are in compliance with their permit conditions; and
To provide information to the permit writer to determine the need for permit limits.

A permittee generally informs the permitting authority about its discharge through a Discharge Monitoring Report (DMR). The DMR lists all the results from the permittee's required self-monitoring of pollutants. The permitting authority reviews this information and compares it with permit limits to determine compliance and/or if there is a need to develop additional limits. In addition to DMRs, permittees may be required to submit reports on violations of maximum daily discharge limitations, as specifically required in their permits. This latter reporting requirement is intended to alert the permitting authority of potential health or environmental risks that could require a timely response. The data collected by this requirement are more incident-specific than the summary information provided on the DMR. A summary of the specific monitoring, reporting, and record-keeping requirements for affected NPDES and sewage sludge entities is described in Section 4.0.

Permit modification and variance provisions are found in CWA sections 301(c), (g), (h), (k), (n); 302(b); and 316(a). Additionally, 40 CFR 122.21, 122.24, 122.41, 122.42, 122.47, 122.62, 122.63, 122.64, 124.5, 125.3, and 501.15 give states with NPDES or sewage sludge management program authority and EPA the flexibility to respond quickly and efficiently to the dynamic nature of facility operation, technology advancements, and regulatory changes.

Permits are modified to change the limits and conditions of existing permits without affecting the permit's term. Information supporting modification requests is collected during the effective term of the permit. Variances, alternatively, allow effluent limitation requirements or time deadlines to be modified or waived. During the permit development process, the permitting authority collects information from facilities to evaluate variance requests. In each case, the information collected is used to update or supplement permit application data.

Effluent limitations guidelines and standards are national wastewater limitations that apply to specific categories of industrial dischargers. The regulations are promulgated by EPA under the authority of CWA sections 301, 304, 306, and 307 and implemented through NPDES permits. In some instances, EPA establishes requirements for permittees to provide certification to the permitting authority or develop pollution prevention plans to demonstrate compliance with certain aspects of the effluent limitations guidelines and standards, often in lieu of monitoring for one or more pollutants. This ICR also integrates those certifications and planning documents.

CWA section 402(q) requires that permits, orders, and decrees that include discharges from combined sewer systems conform to the 1994 Combined Sewer Overflow Control Policy (59 Federal Register [FR] 18,688). The information collection activities described in this ICR provide the minimum data necessary for EPA to ensure that all municipalities with combined sewer systems are (1) developing and implementing combined sewer overflow (CSO) control programs that are consistent with the CSO Control Policy, and (2) that these CSO control programs will meet the requirements of the CWA and will achieve compliance with applicable state water quality standards (WQS).

On November 16, 1990, Congress enacted the Great Lakes Critical Programs Act (CPA). Section 101 of the CPA amends Section 118 of the CWA and directs EPA to publish water quality guidance for the Great Lakes System. Provisions of the Guidance are codified in 40 CFR Part 132. The Guidance establishes minimum water quality criteria, implementation procedures, and antidegradation provisions for the Great Lakes System.

In 2008, in response to a court order removing a regulatory exclusion, EPA developed permitting requirements for discharges incidental to the normal operation of a vessel into certain inland waters or the territorial sea of the United States under the NPDES program. The Vessel General Permit (VGP) covers discharges incidental to the normal operation from non- military, non-recreational commercial vessels greater than 79 feet in length. The VGP defines effluent limits for multiple discharge categories and specifies certain practices for various vessel categories.

All non-military, non-recreational commercial vessels operating in a capacity of transportation are eligible for coverage under the VGP. The types of vessels covered under the VGP include cruise ships, ferries, barges, oil tankers or petroleum tankers, bulk carriers, cargo ships, container ships, other cargo freighters, refrigerant ships, research vessels, and emergency response vessels including firefighting and police vessels, greater than 79 feet in length. The permit does not cover commercial fishing vessels (regardless of size) unless they are carrying ballast water, vessels of the armed forces of the United States, recreational vessels, or vessels less than 79 feet in length. The current VGP expires on December 19, 2013.

EPA is currently developing the next VGP which would cover discharges incidental to the normal operation of all non-military, non-recreational commercial vessels greater than 79 feet, including commercial fishing vessels. The next VGP is anticipated to become effective December 19, 2013. Similar to the current VGP, the next VGP will define effluent limits for multiple discharge categories as well as recordkeeping, reporting and monitoring requirements for a subset of vessel classes. In addition, EPA is developing the small vessel general permit (sVGP) which would cover discharges incidental to the normal operation of all non-recreational, non-military commercial vessels less than 79 feet in length. Small commercial vessels are substantially different in operation from larger commercial vessels, and the sVGP contains simpler provisions than the VGP. Primarily, the sVGP would require technology-based effluent limits expressed as best management practices (BMPs). Congressional action provided a moratorium on the permitting of incidental discharges (except ballast water) from vessels less than 79 feet and commercial fishing vessels until December 2013, which coincides with the expiration of the current VGP. The proposed permitting framework would be expanded to include this universe of approximately 120,000 -140,000 smaller vessels and commercial fishing vessels.
2(b) Practical Utility/Users of the Data
This ICR includes information used primarily by permitting authorities and permittees. Much of these data must be submitted to permitting authorities, while other information must be maintained on-site by the permittee. Although different permittees submit widely differing information, this information can be categorized into two sets: identification information and information related to the facility's discharges or practices. Permitting authorities use the information in the ways discussed below.

Permitting authorities collect and use information such as the name, location, and description of facilities to uniquely identify each applicant seeking individual or general permit coverage and to establish a contact person. This information varies in detail and scope according to the type of respondent.

 EPA and authorized states store basic permit information in EPA's Permit Compliance System (PCS) and the Integrated Compliance Information System (ICIS-NPDES) database. PCS and ICIS-NPDES are used to track permit limits, permit expiration dates, monitoring data, enforcement and compliance data, and other data and to provide EPA with a nationwide inventory of permit holders. EPA and most states store basic information for stormwater permittees in databases separate from ICIS-NPDES. EPA uses this information to develop reports on permit issuance, backlog, and compliance rates. EPA also uses the information to respond to public and congressional inquiries, develop and guide its policies, support enforcement action, formulate its budgets, and manage its programs to ensure national consistency in permitting. For the most part, states and territories are authorized to implement the NPDES permitting program, manage and use the data in a similar fashion to EPA and, as a result, incur similar types of burdens.

 To meet its obligations under the CWA, National Historic Preservation Act (NHPA), and Endangered Species Act (ESA), and to promote those acts' goals, EPA must ensure that discharges covered under EPA-issued NPDES permits are protective of historic properties, endangered and threatened species, and critical habitat. These applicants are required to assess the effects of their stormwater discharges on historic properties, federally listed endangered and threatened species, and designated critical habitat. Information from this assessment for stormwater applicants is provided in the Notice of Intent (NOI) and therefore contained in the NOI database. Authorized states are not required to meet the ESA and NHPA obligations, and therefore no ESA or NHPA burden is associated with state- (or territory)-issued permits.

From the applications and requests for supplemental information, permitting authorities gather information about industrial processes, treatment systems, pollutant characteristics, discharge rates and volumes, sewage sludge use and disposal practices, sewage sludge quality, and other data such as pollution prevention practices. Additional information collection requirements that might be necessary to implement state-, tribal-, or EPA-promulgated provisions consistent with the CWA, the Great Lakes Guidance, and other EPA regulatory requirements include monitoring (pollutant-specific and whole effluent toxicity or WET), pollutant minimization programs, bioassays to support the development of water quality criteria, antidegradation policy/demonstrations, and regulatory relief options (i.e., variances from water quality criteria).

The information is used to develop effluent limitations, compliance schedules, and other routine and special conditions in permits. EPA may use these data to reevaluate testing requirements or to develop or revise effluent standards on a national basis. EPA may also use NOI and stormwater pollution prevention plan (SWPPP) data as part of a compliance evaluation to ensure that the permittee adheres to procedures laid out in the documents.

NPDES permits may not be issued for a period more than five years. The reapplication process is the primary mechanism for obtaining up-to-date information on discharges and sewage sludge quality, particularly for new pollutants. Although existing permittees provide pollutant data from self-monitoring activities in routine reports, these reports are usually limited to pollutants listed in existing permits. Permitting authorities use reapplication data to identify new pollutants or other information that could lead the permit writers to take the following actions: specify additional permit limitations, assess compliance with applicable effluent and sewage sludge guidelines, and place appropriate special conditions in permits.

Permittees use discharge monitoring data or sewage sludge quality data (in the case of publicly owned treatment works [POTWs] and privately owned treatment works [PrOTWs]) to perform routine operations at their facilities and evaluate facility performance. In addition, they might need to collect this information to comply with state-specific program requirements or, in the case of POTWs, to administer pretreatment programs. For these reasons, most permittees collect additional data (i.e., product quality and production efficiency information) that may or may not be included with monitoring reports or required by their permits. Collection and reporting of data to permitting authorities also improves permittee accountability to remain in compliance with their established permit conditions.

As noted above, discharge monitoring data provides EPA and states with authorized NPDES and sewage sludge management programs with the information necessary to assess permittee compliance. Self-monitoring data also helps the permitting authority modify or develop permit limits. Permitting authorities may also require other types of monitoring data, such as influent monitoring data to evaluate a plant's operational aspects; ambient stream monitoring data to measure a permit's effectiveness in protecting water quality; internal waste stream data when monitoring at the point of discharge is impractical or infeasible; or visual monitoring (including underwater surveys) that might be necessary to determine compliance with permit limits.

EPA and states analyze monitoring data when establishing permit conditions. For example, NPDES permit writers may revise permit requirements on the basis of data from monitoring reports. Furthermore, EPA and states have referred to DMR data on pollutants when developing lists of waters impaired by pollutants and point source dischargers that may cause or contribute to degradation of the quality of those waters.

As public information, monitoring data are used by public groups for a variety of purposes. Citizen groups review monitoring data to independently assess pollutant discharger compliance and noncompliance. In some instances, the data form the basis for citizen suits that are authorized under CWA section 505. In addition, environmental groups, academicians, and others use monitoring data to estimate toxic pollutant loading to streams, lakes, oceans, and estuaries.

If noncompliance with permit conditions is detected, the permitting authority will determine the appropriate enforcement response based on the nature and severity of the violation, the overall frequency of noncompliance, and the degree of seriousness of the violation.

There are several exceptions to the general flow of compliance assessment data from the permittee to the permitting authority. EPA may require additional information in the form of a section 308(a) letter (for further explanation, see Section 4(b)(vi) of this ICR).

Another exception to the compliance data information flow from permittee to permitting authority occurs in the case of the NPDES stormwater permitting program where the regulatory requirement is for records retention rather than reporting. This activity is reflected in this ICR as a record-keeping activity.

Use of the data provided in each type of modification or variance request varies greatly because the information requirements of these items are so diverse. In general, EPA and authorized states use the information to determine whether the conditions or requirements that would warrant a modification or variance exist, and the progress toward achieving the goals of the CWA will continue if the modification or variance is granted.

Information submitted by municipalities under the CSO Control Policy provide NPDES permitting authorities with the necessary information to determine whether a municipality's CSO control program is adequate to achieve compliance with CWA requirements and applicable state WQS, to establish permit terms and conditions for CSOs, to track performance, to identify and assess violations, and to target inspection and enforcement actions. The information is also used by EPA Regions and states to develop and evaluate the success of their CSO Control Strategies. EPA will also use this data to measure its performance in achieving the goals of the CSO Control Policy.

Information collected by EPA is used to evaluate the adequacy of a state's NPDES or sludge program, and to provide EPA with the information necessary to fulfill its function of statutory oversight over state program performance and individual permit actions. EPA will also use this information to evaluate states' requests for full or partial program authorization and program modifications. To evaluate the adequacy of a state's proposed program, appropriate information must be provided to ensure that proper procedures, regulations, and statutes are in place and consistent with CWA requirements.

In a Memorandum of Agreement (MOA), EPA Regions and authorized states define which permits the Region will review and which permits it will not review. Generally, the Region must be provided the opportunity to review all permits for major facilities, all general permits, and a small percentage of permits for minor facilities. The information submitted by states consists of all appropriate data necessary for permit review -  - application forms, fact sheets, draft permits, and the like. EPA uses the information submitted by states to review state-issued permits for compliance with federal laws. Sewage sludge noncompliance reports serve the same purposes as NPDES effluent noncompliance reports. However, sewage sludge reports are required only annually.

EPA's ongoing monitoring of authorized state programs ensures continued compliance with the goals and requirements of the CWA and state programs. EPA uses information about permittees' noncompliance to do the following:
Evaluate the effectiveness of state compliance enforcement programs;
Support its own enforcement actions, if any, against dischargers in authorized states; and
Generate and publish noncompliance rates to be used in reports to offices within EPA and to OMB and Congress.

3. Non-duplication, Consultations, and Other Collection Criteria
3(a) Non-duplication
Almost all information requested from respondents under this ICR is required by statute or regulation and, in most cases, is not available from other sources. EPA has examined all other reporting and record-keeping requirements contained in the CWA and 40 CFR Parts 122, 123, 124, 125, 403, 501, and 503. EPA also has consulted the following sources of information to determine if similar or duplicate information is available elsewhere:
The EPA Inventory of ICRs;
The Government Information Locator Service; and
The Toxics Release Inventory (TRI).

EPA has also examined potentially similar reporting requirements for notice of spills under the Resource Conservation and Recovery Act (RCRA) for duplication of the CWA requirement. EPA believes that any duplication between NPDES and RCRA reporting of pollutant releases is negligible because they focus on different areas of a facility (RCRA focuses on on-site activities, and NPDES focuses on discharge outfalls).
3(b) Public Notice Required Prior to ICR Submissions to OMB
This ICR was published in the Federal Register on December 28, 2012 (76 FR 81488). The notice included a request for comments on the content and impact of these information collection requirements on the regulated community. No comments were received.
3(c) Consultations
EPA finalized all regulations containing the requirements addressed in this ICR after receiving comments from the public and the regulated community. EPA headquarters staff responsible for program oversight in the applicable program areas were contacted to provide revised information, data, and review for this ICR.

When this ICR was open for public comments in 2008 (EPA ICR No. 0229.19) EPA received a total of two comments.
3(d) Effects of Less Frequent Collection
EPA recognizes the importance of balancing the need for data collection efforts against respondent burden and costs. From the inception of the NPDES program, cost has been one of the major factors considered in establishing application requirements, monitoring conditions, and report contents and frequencies. In the past several years, the executive and legislative branches of the U.S. government have stressed the need to evaluate the costs and benefits of regulation and the financial impact on the regulated community, state, and local government. EPA regularly seeks new opportunities to reduce burden on the regulated community.

The information needed to meet permitting, monitoring, reporting, and information collection requirements related to the NPDES Program is submitted one time, at a regular frequency, or as needed. EPA and authorized states need current information about permittees, discharge characteristics, enforcement actions, and program performance to fulfill oversight responsibilities. In addition, EPA must track permits, compliance activities, and enforcement actions to ensure that state programs are carrying out the provisions of the CWA in a timely manner. The NPDES burden described in this ICR identifies the burden that EPA has determined as necessary. For example, less frequent reporting would not provide enough data for EPA to effectively provide guidance for state programs, to review or comment on state actions, or to intervene in compliance or enforcement cases, as necessary.

EPA and states also have made extensive use of general permits, which tend to have less burdensome monitoring and reporting requirements than individual permits. In fact, the majority of stormwater permittees, which compose more than three quarters of all NPDES permittees, are covered under general permits.

Permitted facilities must reapply for NPDES and sewage sludge management permits before their existing permits expire, generally once every 5 years. The CWA prohibits NPDES permits from having terms longer than 5 years. Less frequent permit applications would not provide the permitting authority with sufficiently current data to establish effective limitations or conditions when reissuing permits. Less frequent permit issuance would also hinder the ability of EPA and the regulated community to take advantage of technological improvements as they occur. Permits must contain conditions that reflect, for example, the following criteria:

New industrial processes and waste treatment technologies;
New kinds of discharges (such as toxic chemicals);
New detection methods; and
Changes in the quality of receiving waters.

EPA strives to minimize monitoring-related workloads. For example, EPA developed an automated procedure that preprints relevant permittee information, such as discharger name and address, pollutants to be monitored, and effluent limitations on the DMR form before sending it to the permittee; EPA is also piloting netDMR, which will further streamline reporting. Permittees are required to record only their monitoring results and to report any violations. EPA continues its efforts to minimize permittee burden associated with monitoring data collection and reporting requirements. However, EPA has determined that the information currently required is at or near the minimum that is necessary to adequately evaluate permittee compliance.

Some of the information in this ICR that is required to be submitted is collected only after the permittee violates a permit condition or after a certain condition occurs. For example, noncompliance reports are submitted when the facility experiences a bypass, an upset, or a violation of a daily maximum limit. Responses to section 308(a) letters are submitted only when requested by the Administrator, in response to events such as a spill of oil or a hazardous substance, or whenever EPA has reason to believe it needs additional information to determine compliance. Compliance schedule reports are submitted only when a permit contains a compliance schedule and when a milestone identified in the permit is reached to determine the permittee's compliance with that milestone. Also, alternate level reports are submitted only when there is an expected change in the production level at the facility. Therefore, frequency of information collection is not an issue for the reporting requirements in this category.

In certain instances, permittees may choose to submit information when requesting a modification or variance from otherwise applicable requirements. The information collection and reporting requirements associated with NPDES permit modifications and variances are specific, would not be supplied in any other report or application, and are submitted as needed. In most cases, the decision to submit information is made by the NPDES permittee or permit applicant. The exceptions are (1) when outside events trigger the need for a permit modification, and (2) when the Administrator decides to invoke a reporting requirement, such as a request for permit revocation and reissuance. Because information is submitted only when needed, less frequent data collection would not provide the permitting authority and EPA headquarters with sufficient information to meet their responsibilities under the CWA.
3(e) General Guidelines
This information collection is consistent with OMB guidelines contained in 5 CFR 1320.5(d)(2). Requests for supplemental information for the purposes of emergency response or enforcement activities are exempt from the Paperwork Reduction Act requirements.
3(f) Confidentiality
Permit applications and other respondent reports can contain confidential business information. If this is the case, the respondent may request that such information be treated as confidential. All confidential data will be handled in accordance with 40 CFR 122.7, 40 CFR Part 2, and EPA's Security Manual Part III, Chapter 9, dated August 9, 1976. Any claim of confidentiality must be asserted at the time of submission. However, CWA section 308(b) specifically states that effluent data may not be treated as confidential.
3(g) Sensitive Questions
Sensitive questions are defined in EPA's ICR Handbook, Guide to Writing Information Collection Requests Under the Paperwork Reduction Act of 1995 as "questions concerning sexual behavior or attitudes, religious beliefs, or other matters usually considered private." The requirements addressed in this ICR do not include sensitive questions.

4. The Respondents and the Information Requested
4(a) Respondents/Standard Industrial Classification (SIC) Codes
The Clean Water Act (CWA), enacted in 1972, requires operators of point source discharges of pollutants to waters of the United States to obtain a permit to discharge. In response, EPA developed NPDES regulations that provide the mechanisms for permitting these discharges. In addition to permitting point source discharges, EPA promulgated revisions to the NPDES permit regulations at 40 CFR Parts 122 and 124, to expand EPA's authority to include sewage sludge use and disposal standards in permits and to issue permits to treatment works that do not have a discharge (termed sludge-only facilities) to waters of the United States.

EPA issues NPDES permits except where a state can demonstrate that it has adequate legal, technical, and financial capabilities in place to administer the NPDES program. To date, 46 states and one U.S. territory are authorized by EPA to administer some of or the entire NPDES program. EPA continues to be the permitting authority in the other 4 states and remaining territories. Eight states have authorized NPDES sludge management programs. For the number of states authorized by program area, see Table 2.1; and for a detailed NPDES program status by state, see Appendix E. The authorized states and territories are considered respondents for evaluating paperwork burden in this ICR.

In calculating the average number of states with existing programs, the following was assumed:
During the next 3 years, no states will request full or partial NPDES program authority.
During the next 3 years, the average number of states and territories with NPDES authority will be 47.
During the next 3 years, one state will request a sewage sludge program. Because there are eight currently authorized programs, the addition of the new state will result in an average of 8.3 authorized programs operating per year.

All states plus five U.S. territories, the District of Columbia, and 581 federally recognized Indian tribes (for a total of 637 respondents per year) are required to certify, in accordance with CWA section 401, that EPA-issued permits will result in compliance with the state, territory, or tribe's water quality requirements.

All NPDES permittees, whether permitted by EPA or a state, are also respondents in this ICR. These permittees include non-stormwater and stormwater permittees covered under both individual and general permits. In addition, the NPDES regulations exempt or waive certain activities from the requirement to obtain NPDES permit coverage provided certain conditions are met. Operators of these waived and exempted facilities are also respondents in this ICR. Certain NPDES-regulated activities are not included in this ICR (i.e., burden is included in separate ICRs) and include animal feeding operations (CAFOs and CAAPs) and cooling water intakes.

A relatively large portion of permitted non-stormwater facilities are classified in the Sanitary Service industry group (NAICS 221320, SIC 495); these include POTWs and PrOTWs, most of them under NAICS 22132, SIC 4952 (Sewerage Systems).

Unlike sanitary services, which are described by a single NAICS/SIC code, nonmunicipal (industrial) dischargers may be categorized into many NAICS/SIC codes. Industrial categories covered by NPDES permits include facilities in more than 800 industrial classifications. Some industrial sectors that discharge pollutants directly to waters of the United States are covered by effluent limitation guidelines; the specific categories of dischargers are shown on Table 4.1.

Table 4.1 Industrial sectors and corresponding 40 CFR Part
40 CFR Part
Sector name
                                      406
Grain Mills Manufacturing
                                      407
Canned and Preserved Fruits and Vegetable Processing
                                      408
Canned and Preserved Seafood (Seafood Processing)
                                      409
Sugar Processing
                                      410
Textile Mills
                                      411
Cement Manufacturing
                                      412
Concentrated Animal Feeding Operations (CAFO)
                                      413
Electroplating
                                      414
Organic Chemicals, Plastics and Synthetic Fibers (OCPSF)
                                      415
Inorganic Chemicals
                                      417
Soaps and Detergents Manufacturing
                                      418
Fertilizer Manufacturing
                                      419
Petroleum Refining
                                      420
Iron and Steel Manufacturing
                                      421
Nonferrous Metals Manufacturing
                                      422
Phosphate Manufacturing
                                      423
Steam Electric Power Generation
                                      424
Ferroalloy Manufacturing
                                      425
Leather Tanning and Finishing
                                      426
Glass Manufacturing
                                      427
Asbestos Manufacturing
                                      428
Rubber Manufacturing
                                      429
Timber Products Processing
                                      430
Pulp, Paper and Paperboard
                                      432
Meat and Poultry Products
                                      433
Metal Finishing
                                      434
Coal Mining
                                      435
Oil and Gas Extraction
                                      436
Mineral Mining and Processing
                                      437
Centralized Waste Treatment
                                      438
Metal Products and Machinery
                                      439
Pharmaceutical Manufacturing
                                      440
Ore Mining and Dressing (Hard Rock Mining)
                                      442
Transportation Equipment Cleaning
                                      443
Paving and Roofing Materials (Tars and Asphalt)
                                      444
Waste Combustors
                                      445
Landfills
                                      446
Paint Formulating
                                      447
Ink Formulating
                                      451
Concentrated Aquatic Animal Production (Aquaculture)
                                      454
Gum and Wood Chemicals
                                      455
Pesticide Chemicals Manufacturing, Formulating and Packaging
                                      457
Explosives Manufacturing
                                      458
Carbon Black Manufacturing
                                      459
Photographic
                                      460
Hospitals
                                      461
Battery Manufacturing
                                      463
Plastic Molding and Forming
                                      464
Metal Molding and Casting (Foundries)
                                      465
Coil Coating
                                      466
Porcelain Enameling
                                      467
Aluminum Forming
                                      468
Copper Forming
                                      469
Electrical and Electronic Components
                                      471
Nonferrous Metals Forming and Metal Powders

 The NPDES regulations also require permits covering different types of stormwater discharges, including discharges from municipal separate storm sewer systems (MS4s), discharges associated with industrial activity, and discharges associated with construction activity. MS4s requiring NPDES permits include those defined by the regulations at 40 CFR 122.26 and include large, medium, and regulated small MS4s. The types of industrial activities required to obtain NPDES permit coverage for stormwater discharges include the following:
Facilities subject to stormwater effluent limitations guidelines, new source performance standards, or toxic pollutant effluent standards
Heavy industrial manufacturing NAICS codes 321 (except 33711), 322 (except 3222 and 32229), 325 (except 3254 and 3255) 324, 3161, 327 (except 327215), 331, 332312, and 3366; SIC codes 24 (except 2434), 26 (except 265 and 267), 28 (except 283 and 285), 29, 311, 32 (except 323), 33, 3441, and 373
Mineral and metal mining and certain oil and gas exploration, production, processing or treatment, and transmission activities: NAICS codes 2122, 21221, 2121, 211, and 2123; SIC codes 10, 1011, 12, 13, and 14
Hazardous waste treatment, storage, or disposal facilities, including those that are operating under interim status or a permit under Subtitle C of RCRA
Landfills, land application sites, and open dumps that receive or have received any industrial wastes including those that are subject to regulation under Subtitle D of RCRA
Recycling facilities NAICS codes 42114 and 42193; SIC codes 5015 and 5093
Steam electric power generating facilities, including coal handling
Transportation facilities classified as NAICS codes 482, 485, 484 (except 49313-481), 491, 483, 481, and 42271; SIC codes 40, 41, 42 (except 4221 - 45), 43, 44, 45, and 5171, which have vehicle maintenance shops, equipment cleaning operations, or airport deicing operations
Treatment works treating domestic sewage or any other sewage sludge or wastewater treatment device or system
Light industrial activity NAICS codes 311, 3122, 314, 3159, 33711, 33711, 33712, 32221, 32229, 323, 3254, 3255, 326, 316 (except 3161), 327215, 332 (except 332312), 3332, 3353, 336 (except 3366), 3391, 33999, 49313, 49312, and 49311; SIC codes 20, 21, 22, 23, 2434, 25, 265, 267, 27, 283, 285, 30, 31 (except 311), 323, 34 (except 3441), 35, 36, 37 (except 373), 38, 39, 4221, 4222, and 4225

The NPDES regulations also require operators of construction activities that clear, grade, or excavate equal to or greater than 1 acre of total land area to obtain permit coverage. The largest portion of construction activities are carried out by builders, local developers, and contractors. Relevant classifications may include NAICS code 23, SIC code 15 (Building Construction General Contractors and Operative Builders), NAICS code 234, SIC code 16 (Heavy Construction Other Than Building Construction Contractors), and NAICS code 23593, SIC code 1794 (Excavation Work).

The NPDES regulations also provide authority for the permitting authority to designate additional discharges of stormwater that are a significant contributor of pollutants; contribute to a violation of WQS; or for which additional controls are needed based on wasteload allocations that are part of a total maximum daily load (TMDL) [40 CFR 122.26(a)(i)(v) and 122.26(a)(9)(c) and (d)]. Activities and burden associated with these permits are similar to those for stormwater permits and are included as a component of the industrial stormwater permit activities in this ICR.

Concentrated animal feeding operations (CAFOs) are classified according to the primary type of animal confined at the operation. NAICS codes: 112111, 112112, 112120, 112210, 112310, 112320, 112330, 112390, 112410, and 11290; SIC codes: 0211, 0212, 0213, 0214, 0219, 0241, 0251, 0252, 0253, 0254, 0259, and 0272. Activities resulting from the CAFO regulations are not covered under this ICR. EPA transferred this burden to the Animal Sectors ICR (OMB Control No. 2040-0250).

Industries potentially covered by the Vessels General Permit include the water transportation industry (NAICS codes 483 -- Water Transportation; 4872 -- Scenic and Sightseeing Transportation, Water; and 4883 -- Support Activities for Water Transportation; SIC code 44 -- Water Transportation) and the fishing industry (NAICS code 11411 -- Fishing; SIC code 0912 Fishing, hunting, and trapping, Finfish). For the purposes of the VGP, EPA assumed the following vessel class breakdown: Large Vessels (Cruise Ships, Freight Ships, and Tank Ships); Small Vessels (Freight Barges, Passenger Vessels, Utility Vessels, and Tank Barges).

4(b) Information Requested
This section presents the data items, including record-keeping requirements, and required respondent activities involved in preparing and submitting those data items. Throughout this subsection, codes will be presented in brackets (i.e., [1.3]). These codes correspond to the reference code in the Respondents Activities Table in Appendix B in which the first number represents the type of activity and the second the specific activity listed in the table.

All activities reported in the nine ICRs consolidated in this supporting statement were analyzed and allocated to one of seven types of activities related to the NPDES program. These are as follows:
Activities directly related to individual permit applications or permit coverage under a general permit (NOIs) [respondent activities codes 1.1 - 1.146];
Activities associated with plan development or special studies [respondent activities codes 2.1 - 2.86];
Monitoring [respondent activities codes 3.1 - 3.121];
Reporting, including certification [respondent activities codes 4.1 - 4.364];
Record-keeping [respondent activities codes 5.1 - 5.60];
Activities resulting from compliance assessments or enforcement actions [respondent activities codes 6.1 - 6.39]; and
Activities resulting from NPDES program authorization, including approval, modifications, transfer or withdrawal of authorization [respondent activities codes 7.1 - 7.7].

All activities were divided and allocated according to the type of permittee. Below is a list of the possible types of permittees. Please note that not all types of permittees have activities under all types of activities.

(A) Non-Stormwater
      A(1) Nonmunicipal Individual
          A(1)(1) Biosolids
      A(2) Municipal Individual
          A(2)(1) Biosolids
          A(2)(2) CSO
      A(3) General Permits
(B) Stormwater
      B(1) Industrial
      B(2) Municipal
      B(3) Construction
(C) Vessels

4(b)(i) Application/NOI
4(b)(i)(1) Data Items
Federal regulations at 40 CFR 122.21 and 122.28 detail the application and NOI requirements, respectively, for NPDES permits. This section includes specific application requirements related to NPDES discharge permits and sewage sludge management permits [40 CFR 122.21(b) - (l), (p), and (q)], and NOI requirements [40 CFR 122.28]. In addition, this section includes specific application and NOI requirements for stormwater discharges [40 CFR 122.26].

As noted previously, this ICR does not address permit application requirements for cooling water intake structures or CAFOs. Those activities are addressed in separate ICRs: OMB Control Numbers 2040-0241, 2040-0257, 2040-0268, and 2040-0250.

EPA has developed standard application forms for many applicants (see Appendix F), references to which are specified in 40 CFR 122.21(a)(2). Standardized application forms covered under this ICR include Forms 1, 2A, 2B, 2C, 2D, 2E, 2F, and 2S; and the Uniform Federal Transportation/Utility System Application Form. In addition, the NPDES regulations include specific application and NOI requirements for certain other dischargers, although standardized national forms have not been developed. For example, EPA has developed NOI forms for its industrial and construction stormwater general permits, as well as the VGP. Whether or not standard forms exist, this ICR calculates the burden to respondents for supplying the information. No national forms exist for the following information collection activities:

Requests for additional information (Section 308 requests);
Applications for MS4 permits from large or medium municipalities and regulated small municipalities;
Applications for individual construction stormwater permits;
Permit consolidation requests;
Notification of construction before wastewater permit issuance for a new source in an area under federal authority requiring an Environmental Impact Statement (EIS); and
Requests for ocean discharge information (not limited to 301(h) waivers).

Permit requirements for facilities vary according to the following factors:
The type of facility;
The manufacturing process it uses;
The waste treatment it provides;
The pollutant(s) it discharge(s);
The pollutant(s) contained in its sludge; and
The quality of the waters receiving the discharge.

Applications request information that permit writers need to issue permits to particular types of permittees. A facility that employs complex industrial processes and discharges several toxic pollutants, for example, must provide more information to the permitting authority than a facility that discharges stormwater. Similarly, a facility that discharges into waters considered impaired might have to submit more information than a facility that does not.

Because discharges vary in complexity and character, and because discharges and activities from industry groups or treatment works are often similar, EPA has developed several different NPDES application forms. Table 4.2 lists the application forms and other application requirements and the respondents to the request. Each form or request is discussed in more detail below the table.

Table 4.2 Application forms and information requests
Form/request
                                Respondent type
Form 1
Nonmunicipal NPDES applicants not covered under form 2B
Form 2A
All POTWs
Additional NPDES Application Requirements for Municipal Dischargers (Section 308 Request)
Municipal facilities (i.e., POTWs)
Form 2B
CAFO Applications and CAAP facilities (not covered under this ICR)
Form 2C
Existing manufacturing, commercial, mining, and silvicultural operations that discharge process wastewater
Form 2D
New manufacturing and commercial facilities that discharge process wastewater
Additional NPDES Application Requirements for Nonmunicipal Dischargers (Section 308 Requests)
Nonmunicipal facilities
Form 2E
New or existing nonmunicipal facilities that discharge non-process wastewater
Form 2F
Industrial stormwater dischargers applying for an individual permit
Form 2S
POTWs and other treatment works treating domestic sewage (TWTDS) (covers sludge)
NOI-Industrial Activity (NOI-Stormwater)
Industrial stormwater dischargers applying for a Multi-Sector General Permit (MSGP)
Application for Transportation and Utility Systems and Facilities On Federal Lands (Alaskan Lands Application) (Alaskan Lands Applications)
Builders and operators of transportation and utility projects on Alaskan public lands (substitutes for Forms 1, 2B, and 2C)
Application for Phase I MS4s
Phase I MS4s
Petitions for Individual Permit
Small MS4 operators or any person
NOI
Municipal, nonmunicipal, and sewage sludge management facilities applying for general permit coverage, Vessels applying under the VGP
Permit Consolidation Request
Facilities with multiple permits
Notification of Construction
Facilities classified as new sources
Ocean Discharge Information
Ocean dischargers
Notice of Termination (NOT)
General permittees (stormwater) and industrial stormwater dischargers
No Exposure Certification
Industrial stormwater dischargers
Low Erosivity Waiver Certification
General permittees (stormwater)

4(b)(i)(1)(A) Non-Stormwater

4(b)(i)(1)(A)(1) Non-Stormwater -- Nonmunicipal Individual

Form 1 [1.1 - 1.4]
EPA originally developed Form 1 to be used by any facility applying for any EPA permit. On Form 1, applicants provide basic information necessary to all EPA permit programs, including name, address, type of facility, SIC code, and number of outfalls. Applicants must also submit topographic maps and lists of all EPA and state permits presently held. Most facilities applying for an NPDES permit must submit Form 1 along with a second form (Forms 2B, 2C, 2D, 2E, or 2F) requesting information specific to the type of applicant. Facilities with more than one type of discharge submit Form 1 and several of the other forms.

As EPA developed specific forms, submission of Form 1 was no longer mandatory because the specific forms requested essentially the same data. Exemptions from Form 1 submission include facilities that submit NOIs for coverage under general permits, Alaskan applicants who submit the Application for Transportation and Utility Systems and Facilities on Federal Lands (discussed below), POTWs, wastewater treatment plants (WWTPs), and Phase I MS4s.

Form 2C [1.5 - 1.6]
Existing manufacturing, commercial, mining, and silvicultural operations that discharge process wastewater complete Form 2C. Usually, PrOTWs also use Form 2C to apply for individual NPDES permits. The form requests information about a discharger's outfall locations, flow rates, and treatment. Respondents must also perform the following tasks:
Prepare a water flow process line drawing;
Identify levels of production, WWTP construction or improvements, and effluent characteristics; and
Sample and analyze wastewater for pollutant characteristics.

Form 2C requires comprehensive monitoring data, i.e., all applicants must test for and report quantitative data for seven listed conventional and nonconventional pollutants. In addition, all applicants must provide information on the presence of toxic pollutants in accordance with a scheme set forth in the regulations. In establishing testing requirements for toxic pollutants, EPA balances the likelihood of the presence of the pollutants against the costs and burdens for applicants to analyze the effluent. In some industries, there is no reasonable expectation that certain pollutants are present. Therefore, mandatory testing for any toxic pollutants applies only where EPA data has indicated a likelihood that the pollutant will be present in the discharge.

Testing requirements for toxic pollutants fall into two groups. First, all process discharges in primary industrial categories must be tested for the presence of metals, cyanide, and total phenols. However, testing is not required for all organic toxic pollutants in all primary industrial categories. The specific organic pollutants for which an industry must test are listed by industry type in the regulations [40 CFR 122.21(g)(7)]. Second, in addition to the mandatory testing explained above, all industrial dischargers must report quantitative data for any toxic pollutant, conventional pollutant, listed nonconventional pollutant, or radioactivity that they know or have reason to believe is present in the discharge.

Form 2D [1.7 - 1.10]
New facilities applying for NPDES permits to discharge process wastewater complete Form 2D. The form requests information that helps permitting authorities determine if a facility is a new source of process wastewater.

Respondents must report the locations of all outfalls and the names of the receiving waters, describe all operations contributing to the wastewater and the treatment applied to it, and estimate the concentration and mass of pollutants to be discharged from each outfall. The form also stipulates that applicants must submit sampling data no later than 2 years after they begin discharging. Permittees must submit these data to apprise permit authorities of discrepancies between the estimated data and the actual discharge. Permitting authorities need this information to evaluate permit conditions and revise them if necessary.

Additional NPDES Application Requirements for Nonmunicipal Dischargers (Section 308 Requests) [1.11 - 1.17]
Permit authorities occasionally request supplemental application information under the authority of CWA section 308. Supplemental information may also be requested under 40 CFR 122.21(g)(13), which enables the Administrator to request "other information as the Administrator may reasonably require to assess the discharges of the facility and to determine whether to issue an NPDES permit." CWA section 308 requires EPA and authorized state NPDES programs to request that the owner or operator of any point source maintain records, make reports, conduct monitoring and/or sampling, and provide any other information reasonably necessary to carry out the objectives of the CWA.

Section 308 requests vary in complexity and burden, and permit authorities may issue requests for a variety of reasons. Authorities may request simple narrative descriptions or existing discharge information, for example. More burdensome requests include comprehensive sampling and analyses, biomonitoring, fish tissue analyses, wastewater data and related ambient water quality data, sewage sludge characterization, or facility production or process information. In general, requested information relates to discharges or control of particular pollutants. EPA may issue Section 308 requests to formulate permit limitations, especially limitations necessary to protect the environment from toxic pollutants or the effects of toxicity. In addition, EPA may request information necessary to assess national pollutant limitations standards, assess compliance with permit conditions, evaluate permit modifications, revise or add permit standards, impose prohibitions or other special requirements, revoke a permit, issue a permit, or renew a permit. Because Section 308 requests vary substantially, EPA has not created standard forms for the requests.

Form 2E [1.18 - 1.21]
Facilities that submit this form discharge only non-process wastewater that is not regulated by effluent limitations guidelines or new source performance standards (NSPS). The primary respondents include dischargers of non-process wastewater, primarily sanitary waste, and noncontact cooling water. It cannot be used for discharges of stormwater runoff or by educational, medical, or commercial chemical laboratories or POTWs. On Form 2E, applicants provide outfall locations, identify receiving waters, specify effluent characteristics, and describe treatment systems. Form 2E also requires minimal sampling for conventional pollutants such as biochemical oxygen demand (BOD).

Application for Transportation and Utility Systems and Facilities on Federal Lands (Alaskan Lands Application) [1.22]
Persons constructing or operating transportation and utility projects on Alaskan public lands submit the Application for Transportation and Utility Systems and Facilities on Federal Lands instead of application Forms 1, 2B, and 2C. EPA uses the information on this form to determine whether a permit should be issued to these dischargers. The form is also used by the Forest Service, Air Force, Bureau of Land Management, Federal Aviation Agency, Coast Guard, NASA, and by EPA in its RCRA and Underground Injection Control programs.

Permit Consolidation Request [1.23 - 1.24]
40 CFR 124.4 allows facilities that are required to obtain permits for more than one EPA program to request that their permit application processing be consolidated. This is a voluntary request made by submitting a letter to the permit authority.

Permittee Notice of Regulated Discharge Cessation [1.27 - 1.30]
A permittee's decision to cease its regulated discharge must be reported in writing to the permitting authority as required by 40 CFR 122.47(b)(4). The notification must be accompanied by evidence of a firm public commitment, such as a resolution passed by a corporation's board of directors. The permitting authority will establish and enforce a compliance schedule to accommodate the discharge termination using information received in the notice.

Permit Modification, Revocation and Reissuance, or Termination [1.31 - 1.32]
Permitting authorities may require permit modification, revocation and reissuance, or termination for several reasons. For example, national effluent standards might change, state WQS might change, or a facility might begin discharging significant amounts of a pollutant that is not limited by the permit. When permitting authorities consider making modifications, they request dischargers to submit information. See 40 CFR 124.5, 122.41(h), 122.62 and 122.64.

Variance Request Due to Fundamentally Different Factors [1.33 - 1.34]
Regulations at 40 CFR 122.21(m)(1) and 125.30 give dischargers the opportunity to seek a variance from otherwise applicable effluent limits if they can show that their facility contains factors fundamentally different from those EPA considered when establishing national effluent limits. Applicants must request this type of variance in writing on or before the close of the public comment period on the draft permit for Best Practicable Control Technology Currently Available (BPT) standards, or within 180 days of the establishment of the effluent limitation or pretreatment standards for Best Available Technology Economically Achievable (BAT), Best Conventional Pollutant Control Technology (BCT), NSPS, Pretreatment Standards for Existing Sources (PSES), and Pretreatment Standards for New Sources (PSNS). This request may take any number of forms but is usually a letter. EPA has final approval authority for Fundamentally Different Factors (FDF) variances, although FDF variance requests denied at the state level in authorized states are not forwarded to EPA for review.

Variance Request for Non-conventional Pollutants [1.35 - 1.36]
Facility owners or operators may apply for a CWA section 301(g) variance if they can show that discharging nonconventional pollutants at limits less stringent than BAT limits will not interfere with the attainment or maintenance of water quality. This request must include such information as the permit number, the number of outfalls, applicable effluent(s), and water quality data showing that the modification will not impede improvements in, or hinder maintenance of, water quality. EPA must approve all section 301(g) variances. However, these variance requests may be denied by the states with authority for the NPDES program.

Variance Request Due to Economic Capability [1.37 - 1.38]
Section 301(c) of the CWA allows a variance for nonconventional pollutants from technology-based BAT effluent limitations due to economic factors, at the request of the facility and on a case-by-case basis. The applicant normally files the request for a variance from effluent limitations developed from BAT guidelines during the public notice period for the draft permit. Other filing time periods may apply, as specified in 40 CFR 122.21(m)(2). The variance application must show that the modified requirements represent the maximum use of technology within the economic capability of the owner or operator and result in further progress toward the goal of discharging no process wastewater. EPA must approve all section 301(c) variances. However, these variance requests may be denied by the states with authority for the NPDES program.

Variance Request for Innovative Pollution Control Technology [1.39 - 1.40]
Nonmunicipal dischargers apply for this variance [40 CFR 122.21(m)(4)], which extends the compliance schedule for BAT up to 2 years. The variance gives dischargers an opportunity (1) to develop innovative technologies that will reduce pollutant concentrations beyond BAT levels, or (2) to experiment with in-plant changes to reduce the costs associated with attaining BAT limits. Requests for this variance must be filed in conjunction with NPDES permit applications. To qualify for this type of variance, the innovative pollution control system to be tested must have the potential for industry-wide application. The permitting authority, after consultation with EPA, decides whether to grant this variance request.

Variance Request Regarding Thermal Discharges [1.42 - 1.46]
Federal regulations at 40 CFR 122.21(m)(6) state that dischargers seeking this variance must demonstrate that the existing limitations on the thermal component of their discharges are more stringent than necessary to ensure the protection and propagation of indigenous fish, shellfish, and wildlife in the receiving water. The application of this variance includes a description of the studies performed and the results of biological, hydrological, and physical data gathered in support of the request. The permitting authority uses this information to evaluate alternative limits.

Modification and Variance under the Great Lakes Water Quality Guidance [1.47 - 1.48]
Under the Great Lakes Guidance, several additional regulatory relief options are allowed if appropriate documentation is submitted to substantiate and justify them. In sum, relief options for dischargers to the Great Lakes include mechanisms such as variances from criteria, alternative mixing zones, phased-TMDLs, and site-specific criteria. All these mechanisms are available under the CWA and existing NPDES programs. Therefore, this ICR includes information collection and record-keeping activities associated with analyses and reporting to request regulatory relief from guidance requirements that are in excess of what would already be covered under other modification and variance activities.

4(b)(i)(1)(A)(1)(1) Non-Stormwater -- Nonmunicipal Individual -- Biosolids

Form 2S [1.49 - 1.53]
Form 2S is the mechanism by which POTWs and other treatment works treating domestic sewage (TWTDS) will apply for permits containing standards for use and disposal of sewage sludge. Applicants submitting Form 2S are not required to submit Form 1. Form 2S consists of two main sections, Limited Background Information and Permit Application Information, and a preliminary information section that directs the applicant to complete either of the two main sections. Facilities that are not requesting site-specific permit limitations, do not have a currently effective NPDES permit, and/or have not been directed by the permitting authority to apply for a permit, complete the first part -- Limited Background Information. All other applicants complete the second part -- the Permit Application Information.

4(b)(i)(1)(A)(2) Non-Stormwater -- Municipal Individual

Form 2A [1.56 - 1.74, 1.137]
Form 2A consolidates the application requirements for POTWs into a three-part application: Introductory Application Overview, Basic Application Information, and Supplemental Application Information. The introductory section directs the applicant to complete the basic section as well as applicable portions of the supplemental section on the basis of the applicant's responses to specific questions. As suggested by the title, the Basic Application Information section collects elementary data for drafting a POTW NPDES permit, i.e., facility name, location, service area data, receiving stream, WWTP design criteria, and so on. The supplemental section consists of four parts: Expanded Effluent Testing Data, Toxicity Testing Data, Industrial User (IU) Discharges and RCRA/CERCLA wastes, and Combined Sewer Systems, and applicants are instructed to complete the appropriate part of the supplemental section if they meet the following:
Expanded Effluent Testing Data: > 1 million gallons per day (mgd) treatment design capacity, has or is required to have a pretreatment program, or is instructed by the permitting authority that they must
Toxicity Testing Data: > 1 mgd treatment design capacity, has or is required to have a pretreatment program, or is instructed by the permitting authority that they must
Industrial User (IU) Discharges and RCRA/CERCLA wastes: accept IU process wastewater or receive RCRA or CERCLA wastes
CSSs: have a combined sewer system

Additional NPDES Application Requirements for Municipal Dischargers (Section 308 Requests) [1.75 - 1.83]
As explained above, municipal facilities (i.e., POTWs) must complete Form 2A to apply for NPDES permits. Occasionally, permit writers require additional information from municipal facilities to establish permit conditions. Section 308 grants permit authorities the power to require the owner or operator of any point source to provide supplemental information reasonably necessary to carry out the objectives of the CWA. Section 308 requests vary in complexity and burden depending on such factors as facility size or effluent characteristics. Because Section 308 requests can vary substantially, EPA has not created standard forms for the requests.

NPDES Ocean Discharge Information [1.84 - 1.85]
Under 40 CFR 125.120, during the first 2 years of operation, facilities that discharge into territorial seas, the contiguous zone, and the oceans must provide information that supplements the data they provide in Form 1. This supplemental information is site-specific and highly variable. It ranges from routine water quality and sediment analyses to complex impact analyses that involve studies of large magnitude and area. Permitting authorities use the information to modify permit conditions before a permit expires or when dischargers apply for new permits. The permit authority reviews all other available sources of information, which may include EISs and CWA section 301(h) variance requests, before requesting dischargers to submit additional information.

Request for Water Quality Related Effluent Limitations Modification [1.86 - 1.87]
Under CWA section 302(b) and 40 CFR 122.21(n)(3), POTWs with NPDES permits may seek modification of the effluent limitations required by CWA section 302(a) for pollutants other than toxic pollutants. To do that, a POTW must show that there is no reasonable relationship between the economic and social costs of the limitation and the benefits obtained from achieving it. POTWs may also seek this type of modification by showing that the modified effluent limitations for toxic pollutants represent further progress toward achieving the goals of the CWA section 302(a). However, EPA notes that it has never received a request for this type of modification and does not anticipate receiving such a request. Consequently, it is noted here only to ensure completeness.

Permit Modification, Revocation and Reissuance, or Termination [1.88 - 1.89]
Permitting authorities may require permit modification, revocation and reissuance, or termination for several reasons. For more information, see section 4(b)(i)(1)(A)(1).

Application for Variance Regarding Discharge into Marine Waters [1.90 - 1.91]
POTWs may request a variance under CWA section 301(h) and 40 CFR 122.21(n)(1) from the requirements of CWA section 301(b)(1)(B) for discharges into marine waters. This variance is administered by the Office of Wetlands, Oceans, and Watersheds (OWOW), and it is the subject of a separate ICR. Therefore, no respondent burden or cost associated with this requirement is reported in this ICR. This information collection and reporting requirement is noted here only to ensure completeness.

Modification and Variance under the Great Lakes Water Quality Guidance [1.92 - 1.93]
Under the Great Lakes Guidance, several additional regulatory relief options are allowed if appropriate documentation is submitted to substantiate and justify them. For more information, see section 4(b)(i)(1)(A)(1).

4(b)(i)(1)(A)(2)(1) Non-Stormwater -- Municipal Individual -- Biosolids

Form 2S [1.94 - 1.97]
Form 2S is the mechanism by which POTWs and other treatment works treating domestic sewage (TWTDS) will apply for permits containing standards for use and disposal of sewage sludge. For more information about form 2S, see Section 4(b)(i)(1)(A)(1)(1).

4(b)(i)(1)(A)(3) Non-Stormwater -- General Permits

NOI to be Covered Under a Non-Stormwater General Permit [1.98 - 1.99]
Permitting authorities issue general permits to groups of facilities that have similar operating procedures, discharge characteristics, and geographic location (e.g., states). In this way, permitting authorities can cover a large number of facilities within one permit and establish a common set of limitations, monitoring requirements, and permit conditions. Non-stormwater general permittees are covered by many NAICS/SIC codes. Rather than submitting an individual application, the owner or operator of a facility or activity seeking coverage under a general permit must submit an NOI, although Federal Regulations provide some limited exceptions to the NOI requirement. Where an NOI is required, Federal regulations require, at a minimum, that owners or operators provide the following information in the NOI:
The legal name and address of the owner or operator;
The facility name and address; and
The type of facility or discharges, and the receiving stream(s).

When they issue general permits, permitting authorities may impose additional information to be submitted with the NOI that they regard as necessary to ensure that facilities covered under the permits comply with the objectives and provisions of the CWA.

Permittee Notice of Regulated Discharge Cessation [1.100 - 1.101]
A permittee's decision to cease its regulated discharge must be reported in writing to the permitting authority as required by 40 CFR 122.47(b)(4). For more information, see section 4(b)(i)(1)(A)(1).

Permit Modification, Revocation and Reissuance, or Termination [1.102 - 1.103]
Permitting authorities may require permit modification, revocation and reissuance, or termination for several reasons. For more information, see section 4(b)(i)(1)(A)(1).

4(b)(i)(1)(B) Stormwater

4(b)(i)(1)(B)(1) Stormwater -- Industrial

Form 1 [1.104 - 1.107]
Industrial stormwater facilities applying for individual permits must complete Form 1. This form is explained under Section 4(b)(i)(1)(A)(1).

Form 2F [1.108 - 1.109]
Dischargers of stormwater associated with industrial activity wishing to obtain an individual permit, as opposed to a general permit, submit Form 2F. This form requests information about outfall locations, scheduled improvements, flow rates, the history of leaks and spills at the facility, treatment applied to discharges, the drainage and surface area associated with discharges, and contractors used by the facility. It solicits narrative descriptions of pollutant sources, including the materials present at the site. It requires applicants to sample discharges for conventional pollutants and other pollutants regulated in NPDES permits held by the facility. The form also requests biological toxicity testing data.

NOI for Stormwater Discharges Associated with Industrial Activity [1.110 - 1.113]
The NOI for stormwater discharges associated with industrial activity under a general permit requests basic applicant data as well as stormwater information such as runoff, stormwater management and control measures, monitoring, and spills.

To obtain the no exposure exclusion from permitting, the Phase II Rule requires operators of industrial facilities identified in the categories under 40 CFR 122.26(b)(14) to submit to the NPDES permitting authority a written certification that a condition of no exposure exists. The Phase II Rule includes a form for this purpose titled No Exposure Certification for Exclusion from NPDES Stormwater Permitting (NPDES Form 3510-11). Authorized states may use this or a similar form. The certification must be resubmitted once every 5 years. If conditions change during the 5-year period such that exposure exists, the operator must obtain coverage under an NPDES permit immediately.

40 CFR 122.26(a)(4) includes an additional requirement for facilities that discharge stormwater through Phase I MS4s to notify these MS4s of such discharges. However, information required to address this requirement has negligible effect on NOI burden and costs.

Notice of Termination (NOT) for Stormwater Discharges Associated with Industrial Activity [1.114 - 1.115]
When all stormwater discharges associated with industrial activity authorized by an EPA or state-issued general permit are eliminated, or when the operator changes, the operator of the facility must submit an NOT to the permitting authority. Following is the type of information generally required on NOT forms:
NPDES stormwater permit number;
Name, address, and phone number of the operator;
Name and address of the facility; and
Certification of eligibility for filing the NOT (i.e., the stormwater discharge has been eliminated or the person filing the NOT is no longer the operator).

4(b)(i)(1)(B)(2) Stormwater -- Municipal

Application for Phase I MS4s [1.116 - 1.119]
MS4s typically consist of many outfalls. Permitting authorities issue one permit covering all discharges from a system. The NPDES regulations defined Phase I MS4 areas and required that applications be submitted in the early 1990s. By now, all Phase I MS4s have submitted applications; future requests are limited to reapplications. On August 9, 1996, EPA published a policy memorandum clarifying the permit reapplication requirements for Phase I MS4s (61 FR 41,698) to include the following:
Name and mailing address(es) of the permittee(s) that operate the MS4;
Names and titles of the primary administrative and technical contacts for the municipal permittee(s); and
Any proposed changes or improvements to the storm water management program and monitoring activities for the upcoming 5-year term of the permit, if those proposed changes have not already been submitted pursuant to the annual reporting requirements in 40 CFR 122.42(c).

NOI or Individual Permit Application for Small MS4s [1.120 - 1.121]
Operators of small MS4s that are to be covered under a Phase II municipal stormwater permit must prepare and submit a permit application or NOI. EPA provides three options that an operator can follow to apply for Phase II permit coverage: (1) complete and file an NOI under a general permit; (2) complete and file an individual application for an individual permit; or (3) apply to be a co-permittee under an existing Phase I MS4 individual permit through a modification of the permit. Except in states where all MS4s are required to seek individual permit coverage, EPA expects few of the small MS4 respondents to submit an individual permit application or seek a modification of an existing Phase I permit; this is, in part, because the burden hours and costs associated with a general permit typically are less than the burden and costs associated with these other two options. If a small MS4 chooses to submit an individual permit, the Phase II Rule includes simplified individual permit application requirements that are consistent with those for the general permit NOI. Therefore, this ICR assumes that the burden associated with the individual or general permit are the same.

Permit coverage, and submittal of an NOI if the general permit option is chosen or a permit application if the individual permit option is chosen, is required under 40 CFR 122.33(a). The information requested on the NOI or application must include, at a minimum, the following elements:
Name of the small MS4 and the name, address, and phone number of a contact person at the MS4;
A list of the best management practices (BMPs) that are to be implemented for each of the six required minimum control measures;
A schedule detailing when the BMPs are to be implemented and completed, or an indication of the frequency of the actions to be taken;
The measurable goals to be achieved for each of the required six minimum control measures; and
A certification that the information provided is true and complete.

A waiver from the permitting requirements may be available for certain regulated small MS4s as determined by the NPDES permitting authority. EPA expects that all waiver determinations will be made by the NPDES permitting authorities before issuing the small MS4 general permit, thus negating the need to submit a waiver request. Therefore, this ICR does not include any costs associated with a waiver request.

4(b)(i)(1)(B)(3) Stormwater -- Construction

Individual Application or NOI for Stormwater Discharges Associated with Construction Activity [1.122 - 1.132]
Construction site operators are required to complete an NOI or file an individual application using Forms 1 and 2F. Although the NPDES regulations allow the option of submitting individual applications instead of an NOI, EPA does not anticipate that many operators will choose this option.

 Stormwater discharges associated with construction activity exist in vast numbers. EPA has recognized that the burden to issue individual permits to each discharger would be prohibitive. EPA uses, and expects to continue and encourage the use of, a general permit option and standardized application forms for construction activities regulated under Phase I and II. EPA expects that most operators of Phase I and II construction sites will submit an NOI for coverage under a general permit consistent with the requirements of 40 CFR 122.28(b)(2). EPA has developed an NOI form that applies to both Phase I and Phase II of the construction stormwater program. Entities within the construction industry and their industry organizations are familiar with an NOI as a means of seeking coverage under Phase I of the stormwater program.

 Federal regulations require, at a minimum, that applicants provide the following information in the NOI:

The legal name and address of the operator;
The facility name and address;
The type of facility or discharges; and
The name of the receiving water(s).

 When NPDES permitting authorities issue general permits, they may require additional information to be submitted with the NOI that is deemed necessary to ensure that facilities covered under the permits are eligible for coverage under the permit. However, NPDES permitting authorities typically use general permits to minimize the burden associated with reviewing application information. Consequently, applicants are usually required to provide simple, easily obtainable data in their NOIs.

 Small construction sites (1 - 5 acres) may submit a written certification for one of the following two waiver conditions:

Low rainfall potential. The value of the rainfall erosivity factor (R in the Revised Universal Soil Loss Equation) must be less than 5 during the period of construction activity; or
A determination that stormwater controls are not needed on the basis of an EPA-approved TMDL that addresses the pollutants of concern or, if a TMDL has not been developed or approved, an equivalent analysis that determines sources and allocations for the pollutants of concern.

Notice of Termination (NOT) for Stormwater Discharges Associated with Construction Activity [1.133 - 1.136]
When all stormwater discharges associated with construction activity authorized by a general permit are eliminated, or when the operator of stormwater discharges associated with construction activity at a facility changes, the operator of the facility must submit an NOT to the permitting authority. This form requires basic facility information, operator information, permit number, reason for the termination, and a certification statement. NOTs are submitted to EPA and authorized states. Following, is the type of information generally required on NOT forms:

NPDES stormwater permit number;
Name, address, and phone number of the site operator;
Name and address of the site; and
Certification of eligibility for filing the NOT (i.e., the stormwater discharge has been eliminated or the person filing the NOT is no longer the operator of the site).

4(b)(i)(1)(C) Vessels

Vessel General Permit NOI filing [1.138 - 1.146]
To obtain authorization under the VGP, operators must meet the eligibility requirements and, if required, submit a complete and accurate NOI. An operator is required to submit an NOI for its vessel if the vessel is greater than or equal to 300 gross registered tons, or the vessel has the capacity to hold or discharge more than 8 cubic meters (2,113 gallons) of ballast water. Following is the type of information generally required on the NOI form:

   *    Owner/operator information;
   *    Vessel information;
   *    General voyage information;
   *    Discharge information; and
   *    Certification.

4(b)(i)(2) Respondent Activities
Respondent activities can vary substantially depending on the type and characteristics of the respondent and of the authorized state or territory. This ICR explains these activities, in terms of the type of information submission they require, in detail in Section 4(b)(i)(1) above. However, any respondent can engage in preparing basic information. This includes reading and reviewing instructions and regulatory requirements, gathering general information, consulting technical and legal officials, reviewing guidance materials, typing or filling out forms, drafting letters, reviewing applications or other materials, maintaining records, and mailing completed submissions. Each of these requirements is described in more detail in Section 6 of this ICR.
4(b)(ii) Plan Development/Special Studies
4(b)(ii)(1) Data Items

4(b)(ii)(1)(A) Non-Stormwater

4(b)(ii)(1)(A)(1) Non-Stormwater -- Nonmunicipal Individual

Pollution Prevention Alternative (Pesticides Packaging & Repackaging) [2.1]
For certain facilities in the pesticide formulating and packaging category, the discharger may choose to submit an annual certification to use pollution prevention alternatives. Dischargers submitting a certification for a pollution prevention alternative must also develop a pollution prevention plan.

Regulatory Options for the Pulp, Paper, and Paperboard Point Source Category (40 CFR Part 430) [2.2 - 2.11]
Operators of direct discharging mills in the Bleached Papergrade Kraft and Soda Subcategory and the Papergrade Sulfite Category are required to prepare site-specific BMP plans (including training).

In lieu of certain monitoring requirements (primarily submission of periodic reports certifying that the fiber line(s) are operating within the range of certain process and operating conditions), direct mills associated with the Pulp, Paper, and Paperboard Point Source Category also have the options of voluntarily choosing to enroll in the Voluntary Advanced Technology Incentives Program (VATIP), which requires development of a Milestone Plan, or demonstrating compliance with applicable chloroform limitations and standards at a fiber line.

Coal Mining Point Source Category - Coal Remining Subcategory and Western Alkaline Coal Remining Subcategory [2.12 - 2.15]
Federal regulations for the Coal Mining Point Source Category (40 CFR Part 434) established two subcategories: one that addresses preexisting discharges at coal remining operations and a second that addresses drainage from coal mining reclamation and other non-process areas in the arid and semiarid western United States. The Coal Remining and Western Alkaline Coal Remining Subcategories created a set of standards and requirements for the specific waste streams, which include the development and implementation of BMPs.

Antidegradation Demonstration under the Great Lakes Water Quality Guidance [2.16 - 2.18]
The antidegradation provisions in the final guidance applies to the discharge of non-deminimis levels of pollutants to high quality waters. However, the criteria for when an antidegradation demonstration must be performed are different for bioaccumulative chemicals of concern (BCCs) and non-BCCs. The purpose of the demonstration is to confirm that the permittee has evaluated options to reduce the extent of the need to lower water quality. In general, an antidegradation demonstration consists of first performing a pollution prevention alternatives analysis to identify prudent and feasible alternatives. If no pollution prevention alternatives are deemed prudent and feasible, the permittee must identify alternative or enhanced treatment techniques. Finally, a permittee must demonstrate that the lowering of water quality is necessary to ensure social and economic development.

Pollutant Minimization Programs (PMPs) under the Great Lakes Water Quality Guidance [2.19 - 2.21]
After state/tribal or federal promulgation of provisions consistent with the guidance, permittees are required to establish PMPs for pollutants for which water quality-based effluent limits (WQBELs) are below quantification levels. Permittees must develop and submit a control strategy, including implementation of appropriate practicable control measures.

Bioconcentration Studies under the Great Lakes Water Quality Guidance [2.22]
States and tribes may, but are not required to, direct permittees to use fish monitoring and other bio-uptake studies to evaluate PMP performance where WQBELs are established below analytical detection limits. Such studies would require sampling and laboratory analysis of fish tissue.

4(b)(ii)(1)(A)(1)(1) Non-Stormwater -- Nonmunicipal -- Biosolids

EPA has not identified any unique activities associated with plan development/special studies for these permittees.

4(b)(ii)(1)(A)(2) Non-Stormwater -- Municipal Individual

Antidegradation Demonstration under the Great Lakes Water Quality Guidance [2.23 - 2.25]
The antidegradation provisions in the final guidance apply to the discharge of non-deminimis levels of pollutants to high-quality waters. For more information, see Section 4(b)(ii)(1)(A)(1).

Pollutant Minimization Programs (PMPs) under the Great Lakes Water Quality Guidance [2.26 - 2.28]
For more information, see section 4(b)(ii)(1)(A)(1).

Bioconcentration Studies under the Great Lakes Water Quality Guidance [2.29]
For more information, see section 4(b)(ii)(1)(A)(1).

4(b)(ii)(1)(A)(2)(1) Non-Stormwater -- Municipal Individual -- Biosolids

EPA has not identified any unique activities associated with plan development/special studies for these permittees.

4(b)(ii)(1)(A)(2)(2) Non-Stormwater -- Municipal Individual -- CSO

CSO Control Policy - Nine Minimum Controls [2.30 - 2.63]
The CSO Control Policy recommends that municipalities implement the nine minimum controls (NMC) and submit documentation demonstrating their implementation activities. NPDES permitting authorities generally require this activity as an NPDES permit condition. The policy recommends that this documentation be submitted within 2 years after this requirement is included in an NPDES permit or other enforceable mechanism.

 CSO Long-Term Control Plans and Supplementary Information [2.64 - 2.75]
 The CSO Control Policy recommends that permittees develop and submit a Long-Term Control Plan (LTCP) within 2 years after the inclusion of LTCP requirements in an NPDES permit or other enforceable mechanism. LTCPs should recognize the site-specific nature of CSOs and their effects on receiving waters.

4(b)(ii)(1)(A)(3) Non-Stormwater -- General Permits

EPA has not identified any unique activities associated with plan development/special studies for these permittees.

4(b)(ii)(1)(B) Stormwater

4(b)(ii)(1)(B)(1) Stormwater -- Industrial

SWPPP for Stormwater Discharges Associated with Industrial Activity [2.76 - 2.79]
All facilities submitting an industrial NOI-Stormwater application must develop a new or update an existing SWPPP to obtain permit coverage. The two stated objectives of these plans are to identify sources of pollution potentially affecting the quality of stormwater discharges associated with industrial activity from the facility and to describe control measures to meet permit requirements. The development of a SWPPP is unique to each facility; EPA's Multi-Sector General Permit (MSGP) has sector-specific SWPPP requirements for 29 industrial sectors.

4(b)(ii)(1)(B)(2) Stormwater -- Municipal

Stormwater Management Plans [2.80 - 2.81]
Phase I MS4s were required to develop stormwater management plans (SWMP) programs in advance of permit coverage. All initial plans for Phase I MS4s have been completed, but permittees continue to update their SWMPs. For small MS4s, SWMPs are generally contained within the NOI, but states may request individual plans.

4(b)(ii)(1)(B)(3) Stormwater -- Construction

SWPPP for Stormwater Discharges Associated with Construction Activity [2.82 - 2.86]
As an NPDES construction permit condition, EPA requires operators of construction sites to develop a SWPPP. A SWPPP is typically kept on-site and not submitted. The development of a SWPPP is unique to each construction site even though it is based on common required elements.
4(b)(ii)(2) Respondent Activities
Respondent activities can vary substantially depending on the type and characteristics of the respondent and of the authorized state or territory. This ICR explains these activities, in terms of the type of information submission they require, in detail in Section 4(b)(ii)(1) above. However, any respondent may engage in generating detailed information. Detailed information gathered can include topographic maps, water flow process line drawings, data on production levels, data on effluent characteristics, local development patterns, management programs, financial estimates (i.e., available funds and staff resources), engineering data, or other information required by permitting authorities, such as developing a SWPPP, LTCP, or NMCs.
4(b)(iii) Monitoring
4(b)(iii)(1) Data Items

4(b)(iii)(1)(A) Non-Stormwater

4(b)(iii)(1)(A)(1) Non-Stormwater -- Nonmunicipal Individual

DMRs for Major and Minor Individual Permittees [3.1 - 3.14]
Federal regulations at 40 CFR 122.44(i) outline the monitoring requirements for NPDES permittees. NPDES permittees are required to collect representative samples of all monitored activity and to take associated measurements. Permittees are also required to conduct pollutant analysis on all samples collected according to the parameters outlined in the facility's permit. The permit also will specify the frequency with which the permittee must conduct sampling and analysis.

Regulatory Options for the Pulp, Paper, and Paperboard Point Source Category (40 CFR Part 430) [3.15 - 3.22]
Operators of direct discharging mills in the Bleached Papergrade Kraft and Soda Subcategory and the Papergrade Sulfite Category are required to monitor discharges at a frequency of daily, weekly, or monthly.

Coal Mining Point Source Category - Coal Remining Subcategory and Western Alkaline Coal Remining Subcategory [3.23 - 3.44]
Federal regulations for the Coal Mining Point Source Category (40 CFR Part 434) established two subcategories: one that addresses preexisting discharges at coal remining operations and a second that addresses drainage from coal mining reclamation and other non-process areas in the arid and semiarid western United States. The Coal Remining and Western Alkaline Coal Remining Subcategories created a set of standards and requirements for the specific waste streams, which include data collection and record keeping associated with modeling, implementation of BMPs, baseline monitoring, and performance monitoring.

WET Data Collection under the Great Lakes Water Quality Guidance [3.45]
Whole effluent toxicity (WET) testing is required to meet minimum data requirements to evaluate the need for WET limits. A minimum of 1 year of quarterly acute or chronic WET testing using a fish and a macroinvertebrate (e.g., daphnia) was assumed necessary to evaluate the need for WET limits in a facility's permit.

WQBEL Compliance Monitoring under the Great Lakes Water Quality Guidance [3.46]
Information collection requirements specified in the Great Lakes Guidance include monitoring, record keeping, and reporting requirements for WQBEL compliance monitoring.

4(b)(iii)(1)(A)(1)(1) Non-Stormwater -- Nonmunicipal -- Biosolids

DMRs for Sewage Sludge Facilities [3.47 - 3.54]
40 CFR Parts 501 and 503 outline the monitoring requirements and include tables listing minimum monitoring frequencies for sewage sludge facilities whose sewage sludge will be land applied, placed on a surface disposal site, or incinerated. Frequency of monitoring requirements range from once per year for facilities using or disposing of relatively small amounts of sludge to once per month for facilities disposing of larger amounts of sludge.

Requirements for additional monitoring are determined according to the permit writer's best professional judgment (BPJ). These requirements are dependent on the amount of sewage sludge produced, sewage sludge use, the number and types of industrial users discharging to treatment works, and previous sewage sludge quality data. EPA may require more frequent data collection or additional pollutant monitoring to assess permit compliance.

While monitoring requirements vary considerably among and within permittee categories, all permits specify sampling frequency and location as well as other sampling and analysis parameters. The permittee must collect and analyze representative samples and must conduct all monitoring according to permit specific conditions and/or approved test procedures as set forth under 40 CFR Part 136 or as specified in 40 CFR Part 503.

4(b)(iii)(1)(A)(2) Non-Stormwater -- Municipal Individual

DMRs for Major and Minor Individual Permittees [3.55 - 3.66]
Federal regulations at 40 CFR 122.44(i) outline the monitoring requirements for NPDES permittees. For more information, see section 4(b)(iii)(A)(1).

WET Data Collection under the Great Lakes Water Quality Guidance [3.67]
For more information, see section 4(b)(iii)(1)(A)(1).

WQBEL Compliance Monitoring under the Great Lakes Water Quality Guidance [3.68]
For more information, see section 4(b)(iii)(1)(A)(1).

4(b)(iii)(1)(A)(2)(1) Non-Stormwater -- Municipal Individual -- Biosolids

DMRs for Sewage Sludge Facilities [3.69 - 3.76]
40 CFR Parts 501 and 503 outline the monitoring requirements and include tables listing minimum monitoring frequencies for sewage sludge facilities that will be land applied, placed on a surface disposal site, or incinerated. For more information, see section 4(b)(iii)(1)(A)(1)(1).

4(b)(iii)(1)(A)(2)(2) Non-Stormwater -- Municipal Individual -- CSO

CSO Control Policy - Compliance Monitoring [3.77 - 3.79]
The policy recommends that municipalities develop CSO monitoring programs to document compliance with applicable state WQS, protection of designated uses, and to measure the effectiveness of CSO control programs after they are implemented. The NPDES permitting authority should approve the compliance monitoring program as part of the LTCP review process. During the term of this renewal ICR, municipalities will collect information on the sampling and analysis of pollutants in CSOs and the effects of CSOs on the quality of the receiving waters.

4(b)(iii)(1)(A)(3) Non-Stormwater -- General Permits

 DMRs for Non-Stormwater General Permittees [3.80 - 3.91]
Federal regulations at 40 CFR 122.44(i) outline the monitoring requirements for NPDES permittees. For more information, see section 4(b)(iii)(1)(A)(1).

4(b)(iii)(1)(B) Stormwater

4(b)(iii)(1)(B)(1) Stormwater -- Industrial

Inspections for Industrial Stormwater General Permittees [3.92]
Federal regulations at 40 CFR 122.44(i)(4) establish monitoring requirements for industrial stormwater general permittees to include annual inspection at a minimum. In addition, many permits for industrial stormwater include additional routine inspection requirements.

DMRs for Industrial Stormwater General Permittees [3.93 - 3.94]
In addition to annual inspections, federal regulations at 40 CFR 122.44(i)(3)-(4) outline the monitoring requirements for NPDES permittees and describe the situations in which DMRs may be submitted for industrial stormwater. For more information, see section 4(b)(iii)(1)(A)(1).

4(b)(iii)(1)(B)(2) Stormwater -- Municipal

MS4 Monitoring [3.95 - 3.96]
Federal regulations at 40 CFR 122.44(i) outline the monitoring requirements for NPDES permittees. For more information, see section 4(b)(iii)(1)(A)(1).

4(b)(iii)(1)(B)(3) Stormwater -- Construction

Stormwater Discharges Associated with Construction Activity [3.97 - 3.102]
 As an NPDES construction permit condition, EPA's construction general permit (CGP) requires that operators perform routine site inspections to assess the effectiveness of the SWPPP and associated control measures. Some authorized states also require monitoring in their construction permits.

4(b)(iii)(1)(C) Vessels

Vessel General Permit Routine Inspections [3.103 - 3.111]
Vessel self-inspections are required as a means of identifying, for example, sources of spills, broken pollution prevention equipment, or other situations that are or might lead to permit violations and allow the owner or operator to correct the situation as soon as possible. The permit requires self-inspections so that the owner or operator can diagnose and fix problems to remain compliant with the permit. These self-inspections can and must be conducted while the vessel is underway as well as while in port and are designed to fit easily into other, already-established vessel routines.

Vessel General Permit Annual Inspection [3.112 - 3.120]
The comprehensive annual inspection requirements include a more detailed, thorough inspection of areas of the vessel that are difficult to inspect on a more regular basis, such as the vessel hull, ballast water tanks and bilges, pumps and oily water separators. The annual inspections also include a review of monitoring data collected and routine maintenance records to ensure that required maintenance is being performed (e.g., annual tune-ups for small boats that have wet exhaust). Annual inspection of these areas ensures that they are inspected frequently enough to identify and correct problems. In addition, the annual review of all inspection and monitoring data highlights problem areas of the vessel that might need additional attention. This allows the owner or operator to establish and implement additional procedures applicable to problem areas to reduce future problems. Additionally, the annual inspection requires that all pollution control and monitoring equipment be inspected to ensure that it is functioning properly. This requirement provides a reminder and opportunity to complete maintenance activities on onboard equipment. Each annual inspection must be recorded in the official logbook or other record-keeping documentation, signed by the person conducting the inspection, and include basic information relating to the inspection and any corrective actions taken as a result of inspection findings.

Vessel General Permit Monitoring [3.121]
 Certain vessels are required to conduct sampling and analysis of gray water, bilge water, ballast water and wastewater discharges from exhaust gas cleaning systems. The monitoring requirements vary considerably between the discharge categories and all of the requirements are spelled out in the permit.
4(b)(iii)(2) Respondent Activities
Respondent activities can vary substantially depending on the type and characteristics of the respondent and of the authorized state or territory. This ICR explains these activities, in terms of the type of information submission they require, in detail in Section 4(b)(iii)(1) above. However, any respondent may engage in the following types of activities:
Sampling and analyzing discharges and sludge. This can involve pollutant scans, biological toxicity testing, impact analyses, field monitoring, or other scientific analyses.
Performing routine inspections. This could involve routine site inspections to assess the site for information required by the permitting authorities, such as effectiveness of the SWPPP and associated BMPs in protecting water quality.

4(b)(iv) Reporting (including certification)
4(b)(iv)(1) Data Items

4(b)(iv)(1)(A) Non-Stormwater

4(b)(iv)(1)(A)(1) Non-Stormwater -- Nonmunicipal

Permittee Report of Planned Facility Changes [4.1 - 4.4]
Consistent with 40 CFR 122.41(l)(1), any planned alteration or addition to a permitted facility must be reported to the permitting authority when any of the following are true:
The change could meet one of the criteria at 40 CFR 122.29(b) for determining whether a facility is a new source;
The alteration or addition to the facility could significantly change the nature or quantity of discharged pollutants that are not subject to effluent limitations in the existing permit; or
The alteration significantly changes the sewage sludge use or disposal practices.

A Permittee Report of Planned Facility Changes applies to a change in the discharge of pollutants that are not already subject to the facility's permit requirements. When reporting planned facility changes, a permittee must provide a description of the planned alterations or additions and a statement outlining the anticipated effects of the changes on the facility's discharge. The permitting authority may use the information submitted by the discharger to modify the NPDES permit before the planned facility changes are made.

Permittee Report of Anticipated Noncompliance [4.5 - 4.8]
The Permittee Report of Anticipated Noncompliance in 40 CFR 122.41(l)(2) applies to a change in the discharge of pollutants that might result in noncompliance with existing permit limits. Changes in production or process are examples of activities that permittees must report. Permittees typically make this sort of report by a letter that explains the reasons for the anticipated noncompliance. The advance notice provided by this reporting requirement enables the permitting authority to modify a permit or help a permittee mitigate the effects of anticipated noncompliance on the receiving waters or on the site or facility where sewage sludge is used or disposed of.

Facility and Permit Transfer Report [4.9 - 4.12]
Under 40 CFR 122.41(l)(3), when a facility's ownership changes, it must notify the permitting authority. Generally, this takes place in a letter stating the date of the transfer and the name of the new permit holder. If the new owner agrees to abide by the conditions of the old permit, the notice of transfer must include a written and signed agreement containing a specific date for transferring responsibility, coverage, and liability between the new and former owners. The permitting authority uses this information to update permit records, evaluate the new discharge situation, and determine whether public notification and opportunity for comment are necessary.

Permittee Report of Inaccurate Previous Information [4.13 - 4.16]
According to 40 CFR 122.41(l)(8), permittees must correct inaccurate information that has been submitted in a permit application or permit report as soon as the permittee learns of the error(s). Usually, permittees notify the permitting authority by letter. The permitting authority uses this information to set or modify permit conditions or to execute appropriate enforcement actions. The information is also used to update permit records.

Notification of New or Increased Discharge [4.17 - 4.20]
The Notification of New or Increased Discharge requirements in 40 CFR 122.42(a)(1) and (2) mandate that all manufacturing, commercial, mining, and silvicultural dischargers must notify EPA when they know or have reason to believe (1) that any activity has occurred or will occur that would result in discharge on a routine or frequent basis of any toxic pollutant that is not limited in the permit if the discharge exceeds certain defined notification levels for pollutants, or (2) that any activity has occurred or will occur that would result in any discharge on a nonroutine or infrequent basis of a toxic pollutant that is not limited in the permit if that discharge would exceed notification levels. This report provides up-to-date, plant-specific information to the permitting authority, which uses it to decide whether permit modification or revocation and reissuance are necessary. Because NPDES permits are usually in effect for 5 years, reports of new toxic discharges enable the permitting authority to decide whether permit modification or revocation and reissuance is necessary in the interim.

DMRs for Major and Minor Individual Permittees [4.21 - 4.34]
40 CFR 122.41(j)(1)-(2) and 40 CFR 122.41(l)(1) outline the reporting requirements for NPDES permittees. NPDES permittees are required to report all monitoring results to the permitting authority. The frequency with which the permittee must submit these reports is permit-specific. Appendix G contains a sample preprinted discharge monitoring form (i.e., a blank DMR). Permittees reporting monitoring data that are not effluent data may submit the information in other formats, as specified by the permitting authority.

Compliance Schedule Reports [4.35 - 4.40]
Adherence to an NPDES permittee's compliance schedule is determined by evaluation of the compliance schedule reports submitted by the permittee [40 CFR 122.41(l)(5)]. This information is used to assess the permittee's progress in installing the treatment facilities (or milestones) necessary to meet discharge limitations. Compliance schedule reports must be submitted within 14 days following the schedule date of each of the scheduled milestones. A schedule violation could result in an enforcement action.

Noncompliance Reports [4.41 - 4.66]
Requirements in 40 CFR 122.41(l)(6)-(7) specify that a permittee must provide 24-hour oral reporting of any noncompliance that could endanger human health or the environment (with a written follow-up submission within 5 days). The following must be reported within 24 hours to the permitting authority: (1) any unanticipated bypass that exceeds any effluent limitation in the permit; (2) any upset that exceeds any effluent limitation in the permit; and (3) violation of a maximum daily discharge limitation for any of the pollutants listed by the Administrator in the permit.

Alternate Level Reports [4.67]
The permitting authority may, at its discretion, apply tiered production-based effluent limits in an NPDES permit as described in 40 CFR 122.45(b)(2)(i). Tiered permit limits allow facilities to operate under different sets of limits for pollutants based on varying production levels. In the case of automotive factories, however, a reasonable demonstration by the permittee of the requirement for tiered limits obligates EPA (not states) to grant tiered limits to the industry. Nevertheless, every facility operating under tiered limits is required to submit a notification to the permitting authority if it intends to operate at a production level higher than the lowest production level identified in the permit.

Certification for Exemption from Monitoring and Notification of Process Changes [4.68 - 4.91]
The effluent limitations guidelines and standards regulations for 14 industrial categories (12 categories and 2 subcategories) allow dischargers to submit a certification to exempt them from monitoring one or more pollutants.

Synthetic-Based Fluids (SBF) Well Drilling Operations [4.92]
SBF well drilling operations that elect to control their SBF-cuttings discharges through the use of BMPs under 40 CFR Part 435 are required to prepare the following information: (1) certification of BMP completion and a copy of the most current BMP Plan; (2) records demonstrating periodic review of the BMP Plan (at a minimum once every 5 years); (3) monitoring reports (including the operation of monitoring systems) to establish equivalence with a numeric cuttings retention limitation and to detect leaks, spills, and intentional diversion; and (4) training reports to document refresher training necessary to ensure the effectiveness of the BMP Plan.

Regulatory Options for the Pulp, Paper, and Paperboard Point Source Category (40 CFR Part 430) [4.93 - 4.101]
Operators of direct discharging mills in the Bleached Papergrade Kraft and Soda Subcategory and the Papergrade Sulfite Category are required to prepare monitoring reports associated with collection of daily, weekly, or monthly discharges. The permitting authority must process and analyze the reported monitoring data.

In lieu of certain monitoring requirements (primarily submission of periodic reports certifying that the fiber line(s) are operating within the range of certain process and operating conditions), direct mills associated with the Pulp, Paper, and Paperboard Point Source Category also have the options to enroll in the Voluntary Advanced Technology Incentives Program (VATIP), which requires development of a Milestone Plan, or demonstrating compliance with applicable chloroform limitations and standards at a fiber line.

Annual Status Report under the Great Lakes Water Quality Guidance [4.102]
After state/tribal or federal promulgation of provisions consistent with the Guidance, permittees are required to establish pollutant minimization programs (PMPs) for pollutants for which WQBELs are below quantification levels. Information collection activities associated with PMPs include an annual status report.

4(b)(iv)(1)(A)(1)(1) Non-Stormwater -- Nonmunicipal -- Biosolids

Permittee Report of Planned Facility Changes [4.103 - 4.104]
Consistent with 40 CFR 122.41 and 501.15, the permittee must give notice to the Director as soon as possible of any planned physical alterations or additions to the permitted facility, or significant changes planned in the permittee's sludge disposal practice, where such alterations, additions, or changes could justify the application of permit conditions that are different from or absent in the existing permit, including notification of additional disposal sites not reported during the permit application process or not reported pursuant to an approved land application plan.

Permittee Report of Anticipated Noncompliance [4.105 - 4.106]
The Permittee Report of Anticipated Noncompliance in 40 CFR 122.41 and 501.15 applies to any planned changes in the permitted facility or activity that could result in noncompliance with permit requirements.

Facility and Permit Transfer Report [4.107 - 4.108]
Federal regulations at 40 CFR 122.41 and 501.15 specify that a sludge permit is not transferable to any person except after notice to the Director.

Permittee Report of Inaccurate Previous Information [4.109 - 4.110]
According to 40 CFR 122.41 and 501.15, where the permittee becomes aware that it failed to submit any relevant facts in a permit application, or submitted incorrect information in a permit application or in any report to the Director, it must promptly submit such facts or information.

DMRs for Sewage Sludge Facilities [4.111 - 4.118]
40 CFR 122.41, and Parts 501 and 503 outline the reporting requirements and include tables listing minimum monitoring frequencies for sewage sludge facilities whose sewage sludge will be land applied, placed on a surface disposal site, or incinerated.

Treatments works that land apply, surface dispose, or incinerate sewage sludge are required to report all pollutant monitoring results to the permitting authority. Reporting frequencies are permit-specific. The permitting authority requires sewage sludge monitoring reports at least once a year. In addition, 40 CFR Part 503 requires Class I sludge management facilities, and POTWs with a flow rate equal to or greater than 1 mgd or that serve a population of 10,000 or more, to report data at least once per year if they land apply, surface dispose, or incinerate sewage sludge.

Requirements for additional reporting are determined according to the permit writer's best professional judgment (BPJ). These requirements depend on the amount of sewage sludge produced, sewage sludge use, the number and types of industrial users discharging to treatment works, and previous sewage sludge quality data. Reporting requirements vary considerably among and within permittee categories. If a facility chooses to collect and analyze more samples than specified in its permit, the permittee is required to include all monitoring data in reports.

Compliance Schedule Reports [4.119 - 4.120]
Adherence to a sewage sludge permittee's compliance schedule is determined by evaluation of the compliance schedule reports submitted by the permittee [40 CFR 122.41 and 501.15]. This information is used to assess the permittee's progress in installing the treatment facilities (or milestones) necessary to meet sewage sludge quality standards. Compliance schedule reports must be submitted within 14 days following the schedule date of each of the scheduled milestones. A schedule violation could result in an enforcement action.

Noncompliance Reports [4.121 - 4.122]
Requirements in 40 CFR 122.41 and 501.15 require permittees to report instances of noncompliance with sewage sludge regulations such as noncompliance with sewage sludge pollution standards. Timely reporting is essential in these cases, and thus, separate reporting requirements have been established for reporting bypass, upset, or violation of a maximum daily discharge. If required, the written report of the occurrence will describe the event, its cause, its duration, and remedial actions taken. In addition, respondents must report other noncompliance situations as soon as they occur, even if they are not covered under these reporting requirements.

4(b)(iv)(1)(A)(2) Non-Stormwater -- Municipal Individual

Permittee Report of Planned Facility Changes [4.123 - 4.126]
Consistent with 40 CFR 122.41(l)(1), any planned alteration or addition to a permitted facility must be reported to the permitting authority. A Permittee Report of Planned Facility Changes applies to a change in the discharge of pollutants that are not already subject to the facility's permit requirements. When reporting planned facility changes, a permittee must provide a description of the planned alterations or additions and a statement outlining the anticipated effects of the changes on the facility's discharge. The permitting authority may use the information submitted by the permittee to modify the NPDES permit before the planned facility changes are made. For more information, see 4(b)(iv)(1)(A)(1).

Permittee Report of Anticipated Noncompliance [4.127 - 4.130]
The Permittee Report of Anticipated Noncompliance in 40 CFR 122.41(l)(2) applies to a change in the discharge of pollutants that might result in noncompliance with existing permit limits. For more information, see 4(b)(iv)(1)(A)(1).

Facility and Permit Transfer Report [4.131 - 4.134]
Federal regulations at 40 CFR 122.41(l)(3) specify that when a facility's ownership changes, it must notify the permitting authority in a letter stating the date of the transfer and the name of the new permit holder. For more information, see 4(b)(iv)(1)(A)(1).

Permittee Report of Inaccurate Previous Information [4.135 - 4.138]
According to 40 CFR 122.41(l)(8), permittees must correct inaccurate information that has been submitted in a permit application or permit report as soon as the permittee learns of the error(s). For more information, see 4(b)(iv)(1)(A)(1).

New Introduction of Pollutants to POTWs [4.139 - 4.142]
Federal regulations at 40 CFR 122.42(b) specify that all POTWs must provide adequate notice to the Director of any substantial change in the volume or character of pollutants being introduced into that POTW by a source introducing pollutants into the POTW at the time of issuance of the permit.

DMRs for Major and Minor Individual Permittees [4.143 - 4.154]
Federal regulations at 40 CFR 122.41(j)(1)-(2) and 40 CFR 122.41(l)(1) outline the monitoring, reporting, and record-keeping requirements for NPDES. For more information, see 4(b)(iv)(1)(A)(1).

Compliance Schedule Reports [4.155 - 4.160]
Adherence to an NPDES permittee's compliance schedule is determined by evaluation of the compliance schedule reports submitted by the permittee [40 CFR 122.41(l)(5)]. For more information, see Section 4(b)(iv)(1)(A)(1).

Noncompliance Reports [4.161 - 4.186]
Requirements in 40 CFR 122.41(l)(6)-(7) specify that a permittee must provide 24-hour oral reporting of any noncompliance that could endanger human health or the environment (with a written follow-up submission within 5 days. For more information, see Section 4(b)(iv)(1)(A)(1). These reports can include sanitary sewer overflow (SSO) events; however, in this ICR, SSO reporting burdens appear as separate line items [4.185 - 4.186].

Annual Status Report under the Great Lakes Water Quality Guidance [4.187]
After state/tribal or federal promulgation of provisions consistent with the guidance, permittees are required to establish PMPs for pollutants for which WQBELs are below quantification levels. Information collection activities associated with PMPs include an annual status report.

4(b)(iv)(1)(A)(2)(1) Non-Stormwater -- Municipal Individual -- Biosolids

Permittee Report of Planned Facility Changes [4.188 - 4.189]
Consistent with 40 CFR 122.41 and 501.15, the permittee must give notice to the Director as soon as possible of any planned physical alterations or additions to the permitted facility. For more information, see Section 4(b)(iv)(1)(A)(1)(1).

Permittee Report of Anticipated Noncompliance [4.190 - 4.191]