[Federal Register Volume 80, Number 204 (Thursday, October 22, 2015)]
[Rules and Regulations]
[Pages 64064-64158]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-24954]



[[Page 64063]]

Vol. 80

Thursday,

No. 204

October 22, 2015

Part II





Environmental Protection Agency





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40 CFR Parts 9, 122, 123, et al.





National Pollutant Discharge Elimination System (NPDES) Electronic 
Reporting Rule; Final Rule

  Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / 
Rules and Regulations  

[[Page 64064]]


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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 9, 122, 123, 124, 127, 403, 501, and 503

[EPA-HQ-OECA-2009-0274; FRL-9930-70-OECA]
RIN 2020-AA47


National Pollutant Discharge Elimination System (NPDES) 
Electronic Reporting Rule

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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SUMMARY: The Environmental Protection Agency (EPA) is publishing this 
final regulation that requires the electronic reporting and sharing of 
Clean Water Act National Pollutant Discharge Elimination System (NPDES) 
program information instead of the current paper-based reporting of 
this information. This action will save time and resources for 
permittees, states, tribes, territories, and the U.S. Government while 
increasing data accuracy, improving compliance, and supporting EPA's 
goal of providing better protection of the nation's waters. By 
modernizing this Clean Water Act reporting program, permittees and 
regulators will use existing, available information technology to 
electronically report information and data related to the NPDES permit 
program. This regulation will help provide greater clarity on who is 
and who is not in compliance and enhances transparency by providing a 
timelier, complete, more accurate, and nationally-consistent set of 
data about the NPDES program. By providing improved data in a more 
accessible form, this final rulemaking will improve the ability of EPA 
and authorized NPDES programs to target the most serious water quality 
and compliance problems. Furthermore, by reducing the time and 
resources devoted to outdated data management activities, the rule 
could allow authorized NPDES programs to shift limited resources to 
important water quality and public health protection activities. The 
transition from paper to electronic reporting will require close 
coordination and cooperation between EPA and authorized NPDES programs. 
This regulation provides important flexibility while still implementing 
electronic reporting in a timely and effective fashion.

DATES: The final rule is effective on December 21, 2015. The 
incorporation by reference of certain publications listed in this rule 
was approved by the Director of the Federal Register as of February 7, 
2000. In accordance with 40 CFR part 23, this regulation shall be 
considered issued for purposes of judicial review at 1 p.m. Eastern 
time on November 5, 2015. The start dates for electronic reporting are 
provided in 40 CFR 127.16.

ADDRESSES: EPA has established a docket for this action under Docket ID 
No. EPA-HQ-OECA-2009-0274. All documents in the docket are listed on 
the www.regulations.gov Web site. Although listed in the index, some 
information is not publicly available, e.g., confidential business 
information or other information whose disclosure is restricted by 
statute. Certain other material, such as copyrighted material, is not 
placed on the Internet and will be publicly available only in hard copy 
form. Publicly available docket materials are available either 
electronically through www.regulations.gov or in hard copy at the EPA 
Docket Center, EPA West Building, Room 3334, 1301 Constitution Avenue 
NW., Washington, DC. The Public Reading Room is open from 8:30 a.m. to 
4:30 p.m., Monday through Friday, excluding legal holidays. The 
telephone number for the Public Reading Room is (202) 566-1744. For 
additional information about EPA's public docket, please visit the EPA 
Docket Center homepage at http://www.epa.gov/dockets.

FOR FURTHER INFORMATION CONTACT: For additional information, please 
contact Messrs. John Dombrowski (202-566-0742) or Carey A. Johnston 
(202-566-1014), Office of Compliance (mail code 2222A), Environmental 
Protection Agency, 1200 Pennsylvania Avenue NW., Washington, DC 20460; 
email addresses: [email protected] or [email protected].

SUPPLEMENTARY INFORMATION: 

How is this document organized?

    The outline of this document follows the following format:

I. General Information
II. Legal Authority
III. Legislative and Regulatory Background
IV. Rulemaking History
V. Summary of Decisions in the Final Rule
VI. Economic Analysis
VII. Regulatory Implementation
VIII. Statutory and Executive Order Reviews

I. General Information

A. Executive Summary

1. Purpose of the Regulatory Action
    The final rule substitutes electronic reporting for paper-based 
reports and, over the long term, saves time and resources for 
permittees, states, tribes, territories, and EPA, while improving 
compliance and better protecting the Nation's waters. The final rule 
requires permittees and regulators to use existing, available 
information technology to electronically report information and data 
related to the NPDES permit program in lieu of filing paper-based 
reports. Authorized NPDES programs may adopt EPA data systems or elect 
to use their own data systems to collect NPDES program information as 
the initial recipient. All authorized programs are required to 
electronically transmit the federally-required data (identified in 
appendix A to 40 CFR part 127) to EPA.
    The purpose and need for this rule was highlighted in the 
development of the Clean Water Act Enforcement Action Plan (Plan). 
Announced by EPA Administrator Lisa Jackson in October 2009, the Plan 
was a collaborative effort by EPA and state environmental agencies to 
explore opportunities to improve water quality by emphasizing and 
adopting new approaches that will improve how the NPDES permitting and 
enforcement program is administered. The goals of the Plan include 
improving transparency of the information on compliance and enforcement 
activities in each state, connecting this information to local water 
quality, and providing the public with real-time, easy access to this 
information. The final NPDES Electronic Reporting Rule will make 
achievement of these goals possible by requiring electronic reporting 
of facility and operational data, as well as discharge monitoring, 
compliance, and enforcement data.
    In addition to substituting electronic reporting for paper-based 
reports, the final rule requires authorized NPDES programs to share the 
minimum set of NPDES program data (appendix A to 40 CFR part 127) with 
EPA for all facilities including nonmajor facilities. Historically, EPA 
and authorized NPDES programs have focused on major facilities as a way 
of prioritizing resources for permitting, enforcement and data sharing. 
Over time, there has been a growing recognition that these nonmajor 
sources significantly impact water quality as well. Storm water 
discharges, concentrated animal feeding operations, mines, and raw 
sanitary sewage overflows could all be significant contributors to 
water quality impairment; however, they have not been treated as NPDES 
major facilities. The final rule is intended to improve data quality 
collected from major and nonmajor facilities, thereby providing the 
states, tribes, territories, and EPA with more complete and comparable 
data on all NPDES permittees. These

[[Page 64065]]

data will improve the ability of existing state and federal programs to 
target the most serious water quality and compliance problems, thus 
supporting EPA's goal of protecting the nation's waters. A broader and 
more in-depth discussion of the purpose and need for this rulemaking is 
provided in Section III of the proposed rule (30 July 2013; 78 FR 
46013).
2. Summary of the Key Provisions
    This final rule requires NPDES regulated entities to electronically 
submit NPDES compliance monitoring reports and notices [e.g., Discharge 
Monitoring Reports (DMRs), Notices of Intent to discharge in compliance 
with a general permit, other general permit waivers, certifications, 
and notices of termination of coverage, and program reports] to their 
authorized NPDES program or to EPA through the National Environmental 
Information Exchange Network. Importantly, while the final rule changes 
the mode of transmission of these data (i.e., electronic rather than 
paper-based reporting), it does not change the information required 
from NPDES-permitted facilities under existing regulations and 
practices.
    States, tribes, and territories that are authorized to implement 
the NPDES program are the sources of certain key information regarding 
the regulated facilities. For example, states have information from 
NPDES permit applications, which includes information concerning 
facility location, outfalls, effluent limits, and permit conditions, as 
well as information from their compliance monitoring activities, 
violation determinations, and enforcement actions. Under this final 
regulation, NPDES permitting authorities are required to share 
important components of this information electronically with EPA. The 
list of data elements that must be electronically collected, managed, 
and shared is provided in this final rule (appendix A to 40 CFR part 
127). By ``NPDES program,'' this rule refers not only to the discharge 
permit program, but also the pretreatment program and the biosolids 
program, both of which are implemented in some ways without NPDES 
permits.
    Separate from this rulemaking, EPA intends to make this more 
complete set of data available electronically to the public, to promote 
transparency and accountability by providing communities and citizens 
with easily accessible information on facility and government 
performance. This can serve to elevate the importance of compliance 
information and environmental performance within regulated entities, 
providing opportunity for them to quickly address any noncompliance. 
The ease of reviewing and assessing electronically submitted data will 
help provide greater clarity on who is and who is not in compliance. 
Currently, some noncompliance information is not easily reviewable by 
the authorized NPDES programs or accessible to EPA and these 
noncompliance events are sometimes not resolved in a timely manner. The 
result of this uneven response to noncompliance by regulators means 
that some facilities in noncompliance will not take immediate action, 
which gives them a financial edge over other facilities in states where 
there is a timelier response to noncompliance. This rule opens the 
opportunity for two-way communication between authorized NPDES programs 
or EPA and regulated facilities to immediately address data quality 
issues and to provide compliance assistance or take other action when 
potential problems are identified. Complete and accurate data also will 
allow comparison of performance across authorized NPDES programs as 
well as EPA's performance.
    Key provisions of this final rule are identified in the 
implementation schedule in Section VII of the preamble. This includes 
the schedule of milestones for NPDES program data submission from 
states, tribes, and territories regarding their implementation 
activities, programs and permits as well as electronic NPDES program 
data submissions from regulated entities.
3. Costs and Benefits
    To fully implement this final regulation, there will be initial 
investment costs associated with needed changes to information 
technology and infrastructure. For example, EPA has developed a data 
system called the [Integrated Compliance Information System for the 
National Pollutant Discharge Elimination System (ICIS-NPDES) and two 
NPDES electronic reporting systems to collect NPDES program data 
(NetDMR and NPDES eReporting Tool (NeT)]. While all authorized NPDES 
programs are welcome to use EPA's data systems, authorized NPDES 
programs also have the flexibility to develop their own data systems 
that meet the regulatory requirements of 40 CFR part 3 (including, in 
all cases, subpart D), 40 CFR 122.22, and 40 CFR part 127. EPA will 
continue to closely work with authorized NPDES programs to make EPA's 
systems available and assist the development of their data systems in a 
cost-effective manner.
    The initial cost of implementing the final rule is $77.9 million in 
undiscounted dollars (see Table 4-11: Total Initial Implementation 
Costs of the Rule, DCN 0197). While most of these costs are incurred 
within the first year after the effective date of the rule, this 
estimate includes certain recurring activities that should cease once 
full implementation is achieved. Five years after rule promulgation, 
assuming all regulated facilities have converted to electronic 
reporting (other than 1 percent that are assumed to receive waivers 
from electronic reporting), the cost is estimated to be $20.3 million 
per year in undiscounted dollars (see Table 4-10: Annual Cost of Data 
Entry and Operations for the Updated System after Implementation, DCN 
0197). However, one year after rule promulgation, annual savings 
greatly outweigh annual costs, by approximately $23.9 million per year 
[calculated by subtracting the projected costs in year one from the 
projected savings; see Table 4-16: Schedule of Savings and Costs (3% 
Discount Rate), DCN 0197]. Cumulative savings over a ten-year period 
(using a 3 percent discount rate) are $406 million while cumulative 
costs are $250 million. As a result the overall economic effect of this 
rule is a net cumulative savings of $156 million over the ten years of 
the projection.
    The final rule will save money for states, tribes, and territories 
authorized to administer the NPDES program as well as EPA and most 
NPDES permittees, while resulting in a more complete, more accurate, 
and nationally-consistent set of data about the NPDES program. With 
full implementation (expected to be five years after the effective date 
of the final rule), the anticipated annual net savings are expected to 
be $22.6 million for NPDES programs, $0.5 million for regulated 
entities, and $1.2 million for EPA, assuming a 3% discount rate 
[calculated by subtracting the projected costs in year five from the 
projected savings in year five; see Table 4-16: Schedule of Savings and 
Costs (3% Discount Rate), DCN 0197]. The economic analysis supporting 
this rule provides a more detailed description of the costs and savings 
(see DCN 0197).
    The electronic submittal of data will help support EPA's goal of 
protecting and restoring water quality and will result in significant 
cost savings for the authorized NPDES programs, as well as savings for 
the permittees and EPA, when the rule is fully implemented. The final 
rule will also reduce the reporting burden currently borne by the 
authorized NPDES programs, improve overall facility compliance, allow 
better

[[Page 64066]]

allocation and use of limited program resources, and enhance 
transparency and public accountability by allowing EPA to provide the 
public with timely information on potential sources of water pollution.
    The final rule will also lighten the reporting burden currently 
placed on the authorized NPDES programs. Upon successful 
implementation, the final rule would provide authorized NPDES programs 
with regulatory relief from reporting associated with the non-
compliance reporting [see 40 CFR 123.45--(a) Quarterly Non-Compliance 
Report (QNCR), (b) Semi-Annual Statistical Summary Report, and (c) 
Annual Non-Compliance Report (ANCR)] and the biosolids report submitted 
to EPA annually by authorized NPDES programs with the Federal biosolids 
program (40 CFR 501.21).
4. Compliance Dates for Final Rule
    The implementation schedule for the final rule is divided in two 
phases. Prior to the deadline for each phase, EPA will work with 
authorized NPDES programs to collect the necessary facility, permit, 
inspection, and enforcement action information that supports electronic 
reporting. For example, EPA will work with authorized NPDES programs 
which opt to use EPA's national NPDES data system (i.e., ICIS-NPDES) to 
ensure that the necessary facility and permit data are entered no later 
than nine months after the effective date of the final rule to allow 
for the electronic reporting of DMR data and Sewage Sludge/Biosolids 
Annual Program Report data, which are scheduled for the first phase. 
Likewise, EPA will also work with authorized NPDES programs to collect 
the necessary data to support electronic reporting for the second 
phase. Regulated entities must report electronically prior to this 
compliance schedule if required to do so in their permit or any other 
enforcement instrument issued by the relevant NPDES program. This rule 
reinforces existing electronic reporting efforts by authorized programs 
and regulated entities. The rule also grandfathers any existing 
requirements to report electronically.
    The key compliance dates are set out below and set out in further 
details in Section VII and in the final rule (see 40 CFR 127.16).
     Phase 1 Data: Authorized NPDES programs must 
electronically transmit to EPA basic facility and permit information 
(see list of data elements in ``ICIS Addendum to the Appendix of the 
1985 Permit Compliance System Policy Statement,'' 28 December 2007, DCN 
0007, also known as Water Enforcement National Database or ``WENDB'') 
for all permits as well as other data necessary for implementation of 
Phase 1 data collection within nine months after the effective date of 
the final rule. One year after the effective date of the final rule, 
authorized NPDES programs must start electronically transmitting to EPA 
their state performance data (subject to applicable waivers), which 
includes information generated from compliance monitoring (e.g., 
inspections), violation determinations, and enforcement actions. 
Additionally, one year after the effective date of the final rule, 
NPDES regulated entities that are required to submit DMRs (including 
majors and nonmajors, individually permitted facilities and facilities 
covered by general permits) must do so electronically. EPA and 
authorized NPDES programs will begin electronically receiving these 
DMRs from all DMR filers and start sharing these data with each other. 
One year after the effective date of the final rule, all NPDES 
regulated entities in states where EPA is the authorized NPDES 
biosolids program (currently 42 of 50 states and all other tribal lands 
and territories) must electronically submit their Sewage Sludge/
Biosolids Annual Program Report to EPA.
     Phase 2 Data: Authorized NPDES programs have five years to 
begin electronically collecting, managing, and sharing the remaining 
set of information in appendix A in 40 CFR part 127. This information 
includes: General permit reports [e.g. Notice of Intent to be covered 
(NOI); Notice of Termination (NOT); No Exposure Certification (NOE); 
Low Erosivity Waiver and Other Waivers from Stormwater Controls (LEW)]; 
Sewage Sludge/Biosolids Annual Program Report (where the state is the 
authorized NPDES biosolids program); and all other remaining NPDES 
program reports (e.g., CAFO Annual Report, Pretreatment Program Annual 
Report). Authorized NPDES programs will also share with EPA all data 
necessary for implementation of Phase 2 data collection three months 
before the Phase 2 deadline as defined in the data element analysis for 
the final rule (see DCN 0200). Additionally, one year after the 
effective date of the final rule, authorized NPDES programs will submit 
an implementation plan (IP) for meeting the Phase 2 data requirements 
for EPA to review. EPA will inform the state if its IP is inadequate.
     NPDES Noncompliance Report (NNCR) and Other State 
Reporting: EPA will replace a number of currently required state 
reports (e.g., QNCR and ANCR) with the new NNCR when EPA has a timely, 
complete, more accurate, and nationally-consistent set of data about 
the NPDES program. Full implementation of the NNCR and phase out of 
certain state reports will only be possible one full year after full 
implementation of Phase 2 data collection (i.e., six years after the 
effective date of this rule). A complete set of Phase 1 and 2 data are 
necessary to develop and produce the NNCR.
    As with any new regulation, some authorized NPDES programs may need 
to update their regulations or statutes to make clear that electronic 
reporting is required for the reports listed in Table 1 of appendix A 
and that these electronic submissions must be compliant with 40 CFR 
part 127 (including appendix A) and 40 CFR part 3 (including, in all 
cases, subpart D) [Cross-Media Electronic Reporting Regulation 
(CROMERR)--authentication and encryption standards]. Existing EPA 
regulations at 40 CFR 123.62(e) require that any updates to the 
authorized NPDES program take place within one year of the effective 
date of the final rule (if no state statute change is required) and 
within two years of the effective date of the final rule (if a state 
statute change is required). Accordingly, all authorized NPDES programs 
should complete any necessary updates to their state regulations within 
one year and statutes within two years of the effective date of the 
final rule.

B. Does this action apply to me?

    Entities potentially affected by this action include all NPDES-
permitted facilities, whether covered by an individual permit or 
general permit, industrial users located in cities without approved 
local pretreatment programs, and governmental entities that have 
received NPDES program authorization or are implementing portions of 
the NPDES program in a cooperative agreement with EPA. These entities 
include:

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------------------------------------------------------------------------
               Category                  Examples of regulated entities
------------------------------------------------------------------------
NPDES-permitted facilities...........  Publicly-owned treatment works
                                        (POTW) facilities, treatment
                                        works treating domestic sewage
                                        (TWTDS), municipalities,
                                        counties, stormwater management
                                        districts, state-operated
                                        facilities, Federally-operated
                                        facilities, industrial
                                        facilities, construction sites,
                                        and concentrated animal feeding
                                        operations (CAFOs).
Facilities seeking coverage under      Stormwater management districts,
 NPDES general permits.                 construction sites, CAFOs,
                                        POTWs, TWTDS, municipalities,
                                        counties, stormwater management
                                        districts, and state-operated
                                        facilities.
Industrial users located in cities     Industrial facilities discharging
 without approved local pretreatment    to POTWs and for which the
 programs.                              designated pretreatment Control
                                        Authority is EPA or the
                                        authorized state, tribe, or
                                        territory rather than an
                                        approved local pretreatment
                                        program.
State and territorial government.....  States and territories that have
                                        received NPDES program
                                        authorization from EPA, that are
                                        implementing portions of the
                                        NPDES program in a cooperative
                                        agreement with EPA, or that
                                        operate NPDES-permitted
                                        facilities.
Tribal government....................  Tribes that have received NPDES
                                        program authorization from EPA,
                                        that are implementing portions
                                        of the NPDES program in a
                                        cooperative agreement with EPA,
                                        or that operate NPDES-permitted
                                        facilities.
Federal government...................  Federal facilities with a NPDES
                                        permit and EPA Regional Offices
                                        acting for those states, tribes,
                                        and territories that do not have
                                        NPDES program authorization or
                                        that do not have program
                                        authorization for a particular
                                        NPDES subprogram (e.g.,
                                        biosolids or pretreatment).
------------------------------------------------------------------------

    This table is not intended to be an exhaustive list, but rather 
provides some examples of the types of entities regulated by this 
action. Other types of entities not listed in this table may also be 
regulated.

II. Legal Authority

    Pursuant to the Clean Water Act (CWA), 33 U.S.C. 1251 et seq., the 
U.S. Environmental Protection Agency (EPA) is promulgating the National 
Pollutant Discharge Elimination System (NPDES) Electronic Reporting 
Rule, which adds a new part to title 40 (40 CFR part 127) as well as 
making changes to existing regulations. The U.S. Environmental 
Protection Agency is promulgating the NPDES Electronic Reporting Rule 
under authority of the CWA sections 101(f), 304(i), 308, 402, and 501. 
EPA notes that the Congressional Declaration of Goals and Policy of the 
CWA specifies in section 101(f) that ``It is the national policy that 
to the maximum extent possible the procedures utilized for implementing 
this chapter shall encourage the drastic minimization of paperwork and 
interagency decision procedures, and the best use of available manpower 
and funds, so as to prevent needless duplication and unnecessary delays 
at all levels of government.''
    Harnessing information technology that is now a common part of 
daily life is an important step toward reaching the goals of the CWA. 
EPA is promulgating this rule under the authority of CWA section 304(i) 
that authorizes EPA to establish minimum procedural and other elements 
of state programs under section 402, including reporting requirements 
and procedures to make information available to the public. In 
addition, EPA is promulgating this rule under section 308 of the CWA. 
Section 308 of the CWA authorizes EPA to require access to information 
necessary to carry out the objectives of the Act, including sections 
301, 305, 306, 307, 311, 402, 404, 405, and 504. Section 402 of the CWA 
establishes the NPDES permit program for the control of the discharge 
of pollutants into the nation's waters. EPA is promulgating this rule 
under CWA sections 402(b) and (c), which require each authorized state, 
tribe, or territory to ensure that permits meet certain substantive 
requirements, and provide EPA information from point sources, 
industrial users, and authorized programs in order to ensure proper 
oversight. Finally, EPA is promulgating this rule under the authority 
of section 501, which authorizes EPA to prescribe such regulations as 
are necessary to carry out provisions of the Act.
    Under section 509(b)(1) of the CWA, judicial review of this 
regulation can be had only by filing a petition for review in the U.S. 
Court of Appeals within 120 days after the regulation is considered 
issued for purposes of judicial review. Under section 509(b)(2), the 
requirements in this regulation may not be challenged later in civil or 
criminal proceedings brought by EPA to enforce these requirements.

III. Legislative and Regulatory Background

A. The Clean Water Act

    The 1948 Federal Water Pollution Control Act and subsequent 
amendments are now commonly referred to as the Clean Water Act (CWA). 
The CWA establishes a comprehensive program for protecting and 
restoring our nation's waters. The CWA established the NPDES permit 
program to authorize and control the discharges of pollutants to waters 
of the United States [CWA section 402]. This final rule, which is 
intended to reduce resource burdens associated with the paper-based 
system and increase the timeliness, accuracy, completeness, and 
usefulness of the information received by EPA, the states, tribes, 
territories, and the public, echoes the goals of CWA section 101(f).
    Implementation of information technology that is now a common part 
of daily life is an important step toward reaching the goals of the 
CWA. EPA is promulgating this rule under the authority of CWA section 
304(i) that authorizes EPA to establish minimum procedural and other 
elements of state programs under section 402, including reporting 
requirements and procedures to make information available to the 
public. In addition, EPA is promulgating this rule under the authority 
of section 308 of the CWA. Section 308 of the CWA authorizes EPA to 
require information to carry out the objectives of the Act, including 
sections 301, 305, 306, 307, 311, 402, 404, 405, and 504. Section 402 
of the CWA establishes the NPDES permit program for the control of the 
discharge of pollutants into the nation's waters. EPA is promulgating 
this rule under CWA sections 402(b) and (c), which require each 
authorized state, tribe, or territory to ensure that permits meet 
certain substantive requirements, and provide EPA information from 
point sources, industrial users, and the authorized program in order to 
ensure proper oversight. Finally, EPA is promulgating this rule under 
the authority of section 501 of the Act, authorizing EPA to prescribe 
such regulations as are necessary to carry out provisions of the Act.

[[Page 64068]]

B. National Pollutant Discharge Elimination System

    As authorized by the CWA, the NPDES permit program protects the 
nation's waters by controlling the discharge of pollutants into waters 
of the United States. Such discharges are illegal unless authorized by 
an NPDES permit. The NPDES permit program requires all point source 
discharges of pollutants (other than dredged or fill material regulated 
under Section 404 of the CWA) to waters of the United States to have a 
permit, the term of which may not exceed five years. The term ``NPDES-
regulated facilities,'' as used in this rule, refers broadly to 
entities regulated under the Clean Water Act, including permittees 
under CWA section 402 along with the biosolids program, indirect 
dischargers, and non-discharging entities with permits. NPDES permits 
may be issued by EPA or by a state, tribe, or territory authorized by 
EPA to implement the NPDES program. As of May 1, 2015, EPA has 
authorized 46 states and the Virgin Islands to implement the base NPDES 
program as well as the general permits program; as of that same date, 
no tribe was currently authorized to implement the NPDES program. There 
are several subprograms of the NPDES program that states, tribes, and 
territories may also receive authorization from EPA to administer, 
including the pretreatment and the biosolids programs. As of May 1, 
2015, 36 states are authorized to implement the pretreatment program 
and eight states are authorized to implement the biosolids program as 
part of the NPDES program.
    Authorization to discharge may be provided under an individual 
NPDES permit, which is developed after a process initiated by the 
facility's submission of a permit application (40 CFR 122.21), or under 
a general NPDES permit (for example, most oil and gas extraction 
facilities and most construction sites operate under NPDES general 
permits). See 40 CFR 122.28(a)(2). Authorization to discharge under a 
general NPDES permit typically occurs following the submission of an 
NOI by the facility seeking authorization to discharge under the permit 
[40 CFR 122.28(b)(2)] and approval of that NOI by the permitting 
authority. Submission of an NOI is not required for specified types of 
discharges under certain circumstances [40 CFR 122.28(b)(2)(v)]. Most 
NPDES-permitted sources are regulated under general permits.
    EPA has developed criteria to determine which sources should be 
considered ``major'' facilities (see DCN 0195). The distinction was 
made initially to assist EPA, states, tribes, and territories in 
setting priorities for permitting, compliance, and enforcement 
activities. Historically, EPA has placed greater priority on major 
facilities and has required NPDES-authorized states, tribes, and 
territories to provide more information about these dischargers. EPA's 
previous regulations establish annual, semi-annual, and quarterly 
reporting requirements, which mostly focused on major facilities. These 
previous reporting requirements provided violation information and 
facilitated EPA's assessment of the effectiveness of authorized 
programs and EPA regional program activities (e.g., permitting, 
compliance monitoring, and enforcement). This information has guided 
EPA in the management and oversight of program activities. More 
background information regarding the NPDES program is in the docket 
supporting this rulemaking (see DCN 0005).

C. Evolution of the NPDES Program and Data Sharing

    In order to support development of appropriate permit limits and 
conditions, issuance of effective permits, compliance monitoring, and 
appropriate enforcement actions, EPA has developed requirements along 
with policies, guidance, and expectations to track, measure, evaluate, 
and report on these efforts on a nationwide basis. Over the past 30 
years, these efforts to establish significant pollutant controls 
focused primarily on major facilities and resulted in important 
pollutant discharge reductions from traditional major sources.
    Although major municipal and industrial point sources continue to 
be significant sources of pollution, permitting experience with more 
diffuse sources shows that these point sources also contribute 
significant amounts of pollutants to our nation's waters. About 40,000 
nonmajor facilities have individual permits which have requirements 
similar to the permits for major facilities (e.g., requirements to 
submit DMRs) (source: ICIS-NPDES). As the understanding of water 
quality issues has evolved, the universe of regulated nonmajor sources 
has also expanded. In order to efficiently manage the growing universe 
of regulated facilities, sources that are sufficiently similar are 
often regulated under general permits rather than individual permits. 
In many cases, nonmajor facilities use pollutant control measures based 
on best management practices in operational activities rather than on 
implementation of pollutant control technologies, which are measured 
with numeric effluent limits on pollutant discharges and reported on 
DMRs. Several hundred thousand nonmajor facilities are covered by NPDES 
general permits; therefore, the number of nonmajor dischargers covered 
by general permits is very large compared to the number of major or 
nonmajor dischargers covered by individual permits. The universe of 
nonmajor dischargers also includes some large volume dischargers (e.g., 
MS4s) that had not previously been regulated with the same types of 
individual permits used to regulate discharges from major facilities.
    The most recent state water quality assessment reports submitted 
under CWA section 305(b) and compiled by EPA in the National Water 
Quality Inventory Reports indicate the growing significance and link 
between nonmajor sources and impairments in water quality of U.S. 
waters, particularly from precipitation-induced or ``wet weather'' 
point sources of pollutants.\1\ These sources include discharges of 
stormwater associated with construction, concentrated animal feeding 
operations (CAFOs), overflows from combined sewer systems (CSSs) and 
sanitary sewer systems (SSSs), and urban stormwater pollution from 
Municipal Separate Storm Sewer Systems (MS4s). Stormwater discharges 
include a variety of pollutants, such as sediment, oil and grease, 
chemicals, nutrients, metals, and pathogens. Discharges from CAFOs 
often include bacteria, nutrients, organic matter, pathogens, and trace 
metals. Overflows from combined and separate sanitary sewer systems 
pose a significant threat to public health and the environment due to 
high concentrations of bacteria from fecal contamination, as well as 
disease-causing pathogens. Common pollutants discharged from MS4s 
include oil and grease from roadways, pesticides from lawns, sediment 
from construction sites, and carelessly discarded trash, such as 
cigarette butts, paper wrappers, and plastic bottles. The pollution 
controls for wet-weather sources are often best management practices 
(BMPs) rather than traditional end-of-pipe controls. These wet-weather

[[Page 64069]]

sources are high priorities for EPA and authorized NPDES programs and 
have been for almost over two decades.
---------------------------------------------------------------------------

    \1\ The link provides access to the 2004 Water Quality Report to 
Congress, which was the last hard-copy version of this report. Since 
2004 these data are made available directly via the ATTAINS database 
(link provided at above site). The ATTAINS database provides state 
information showing the water quality impairments and the likely 
causes of impairments. In particular, ``Urban-Related Runoff/
Stormwater'' ranks high among the list of impairment causes. See: 
http://ofmpub.epa.gov/waters10/attains_nation_cy.control.
---------------------------------------------------------------------------

    In the past, states, tribes, and territories generally did not 
consistently share information with EPA on most wet-weather sources. 
Therefore, EPA and the public do not have complete information on these 
pollution sources. Electronic reporting from all NPDES permittees will 
efficiently provide these data and will assist EPA and authorized NPDES 
programs in focusing their limited resources on the most significant 
water pollution sources and violations, whether from major or nonmajor 
facilities.
    Transitioning to electronic reporting and data sharing will bring 
the NPDES program into the 21st century. Tracking data electronically 
is less expensive, more efficient, more accurate, and better able to 
support program management decisions than paper tracking (see July 30, 
2013; 78 FR 46015-17, DCN 0015). In particular, Congress and the public 
expect environmental program managers at every level of government--
local, state, tribal, territorial, and federal--to design and implement 
programs that deliver environmental and public health results. To 
target the most important pollution problems, better ensure 
environmental protection and public health, and enable more integrated 
program assessment and planning at the national level, the data that 
are electronically collected, managed, and shared between authorized 
NPDES programs and EPA should have the following characteristics:
    I. The data should be current. Recent data are more likely to be 
representative of current conditions. Although historical data may be 
useful in identifying trends and patterns, outdated data are not as 
reliable for drawing conclusions as to the current level of discharge, 
the compliance status at permitted facilities, or for making plans for 
improvements.
    II. The data should generally be comparable in format, reporting 
units, frequency, etc. In order to aggregate and compare data across 
the states, tribes, and territories for national program planning and 
reporting purposes, it is important that the data from the individual 
states, tribes, and territories be reported in a similar format (e.g., 
reporting units are the same and the metrics being measured are defined 
identically) and with the same minimum frequency. For example, for EPA 
to assess the volume of waste discharged by POTWs nationally, those 
providing the data would need to consistently provide data to EPA, 
share the same definition of POTWs, the same definition of volume (per 
day, per week, per month) and express the measure in the same units 
(gallons, million gallons, cubic feet, liters, etc.). However, 
authorized NPDES programs can certainly institute more stringent 
reporting requirements than EPA (if shared data remain nationally 
consistent).
    III. The data should be accurate and complete. Incomplete, 
inaccurate data can lead to wrong conclusions. For example, the 
significant noncompliance rate for major facilities is a key indicator 
of the effectiveness of the NPDES compliance and enforcement program. 
This rate is derived in large part from effluent data self-reported in 
DMRs to EPA, the states, tribes, and territories by major facilities. 
These data are then entered into or provided to ICIS-NPDES by the 
states, tribes, territories, or EPA. Incomplete compliance data in 
ICIS-NPDES prevent EPA from adequately assessing industry, state, and 
national noncompliance rates and identifying any potential corrective 
actions. Consequently, program planning and authorized program 
evaluation resulting from such incomplete data can be unreliable.
    Similarly, incomplete data may result in inaccurate conclusions as 
to noncompliance rates for nonmajor permittees. EPA found through the 
Annual Noncompliance Report (ANCR) (see DCN 0016) \2\ for NPDES 
Nonmajor Permittees that the reported noncompliance rate for serious 
violations is much higher for those authorized NPDES programs with 
detailed compliance data in EPA's national data systems than it is for 
authorized NPDES programs that only provide summary data. These 
findings suggest that instances of noncompliance may be higher than 
reported by states, tribes, and territories that do not routinely 
provide facility-specific compliance data to EPA's national data 
systems. The final rule will ensure that DMR information from 
facilities and ANCR data from authorized NPDES programs would be 
received electronically, allowing the data system to identify 
violations and thereby reducing the burden on states, tribes, 
territories, and EPA to independently identify effluent violations.
---------------------------------------------------------------------------

    \2\ 2008 ANCR, available at http://www.epa-echo.gov/echo/ancr/us/docs/ancr_report_2008.pdf.
---------------------------------------------------------------------------

    IV. The data should be nationally consistent. EPA needs nationally 
consistent data to make program evaluation and subsequent planning 
transparent and replicable. The basis for EPA's planning and 
conclusions about the status of program implementation needs to be 
readily available to those affected, including the regulated community, 
the general public, Congress, federal, state, tribal, and territorial 
agencies. For example, the data that EPA needs to evaluate the 
performance of an authorized program should be readily available to EPA 
(and readily available from EPA to the state, tribe, or territory) and 
the state, tribe, or territory should be able to easily duplicate EPA's 
analysis.
    These factors demonstrate the need for a shared definition and 
central management of the information necessary to manage the NPDES 
program, ready access to that information by states, tribes, 
territories, and EPA, and assurance that the data across the authorized 
NPDES programs are complete, more accurate, and timely reported. The 
final rule provides parameters for the shared data, ensures the 
accessibility of that information, and provides the basis for ensuring 
that the data are nationally consistent, complete, more accurate, and 
timely.

D. EPA's Next Generation Compliance Strategy

    EPA's Next Generation Compliance is an integrated strategy to 
improve regulations and permits with new monitoring and information 
technology and expanded transparency.\3\ It is designed to motivate the 
regulated community to increase compliance, inform the public about 
performance, and help ensure the public has access to information about 
their communities that allows them to more fully engage in 
environmental protection efforts.
---------------------------------------------------------------------------

    \3\ See http://www2.epa.gov/compliance/next-generation-compliance.
---------------------------------------------------------------------------

    In addition to converting reporting from a paper to electronic 
format, the electronic system guides the user through the reporting 
process with integrated compliance assistance and data quality checks. 
From a compliance perspective, electronic reporting will allow 
regulated entities, governmental agencies, and the public to more 
quickly identify violations, and then more quickly address them.
    Electronic reporting is a key component of the Next Generation 
Compliance Strategy (see DCN 0192). This strategy and rulemaking record 
shows that the shift from paper reporting toward electronic reporting 
is easier, more efficient, and costs less for the facility and for 
regulatory agencies. Electronic systems are used in the modern era for 
almost every kind of transaction. For the user, these systems offer 
speed, convenience, expanded

[[Page 64070]]

information choices and filing capabilities. For government, they offer 
the ability to increase transparency and an opportunity to improve the 
ability to spot pollution and compliance issues and respond quickly to 
emerging problems. Under EPA policy, electronic reporting is now the 
default assumption for new regulations (see DCN 0193).

IV. Rulemaking History

A. Proposed Rule

    Since 2002, EPA and the authorized NPDES programs have worked 
together to update the information and data that states, tribes, 
territories, and EPA need to successfully implement, manage, and 
oversee the NPDES program. Various iterations of critical data elements 
were discussed by the state and EPA members of the Permit Compliance 
System (PCS) Steering Committee, the PCS Modernization Executive 
Council, and the Expanded PCS Steering Committee, which added 
representatives from the Environmental Council of the States (ECOS) and 
the Association of Clean Water Administrators (ACWA).\4\ Those efforts 
led to the April 2007 issuance by EPA of a draft ICIS-NPDES Policy 
Statement that included the list of NPDES data elements that states, 
tribes, and territories would report to EPA (see DCN 0056).
---------------------------------------------------------------------------

    \4\ Formerly known for 50 years as the Association of State and 
Interstate Water Pollution Control Agencies (ASIWPCA).
---------------------------------------------------------------------------

    After receiving numerous comments on the draft ICIS-NPDES Policy 
Statement from the states, EPA began to develop a federal regulation 
that would require electronic reporting of specific NPDES information 
from the regulated permittees, states, tribes, and territories (see DCN 
0215 and 0216). In 2010, EPA initiated an effort to carefully review 
the data needs and uses, identify the types of information and specific 
data elements that would allow EPA to meet those needs and uses, and 
evaluate whether some information should be sought directly from NPDES-
regulated facilities or from states, tribes, and territories. This was 
done with full acknowledgement that for certain activities (such as 
permit issuance, inspections, compliance determinations, and issuance 
of enforcement actions), the states, tribes, and territories are the 
unique source of the identified NPDES information. During the summer of 
2010, EPA conducted a series of concurrent technical analyses of 
various data types and facility types, which examined the feasibility 
of electronic reporting, various regulatory options, the existing 
regulatory data and reporting requirements, key considerations, and 
preliminary information regarding costs and benefits (see DCN 0018, 
0019, 0020, 0021, 0022). After significant deliberations and 
consultations with states, EPA published the proposed rule on 30 July 
2013 (78 FR 46006) and opened a 135 day public comment period.
    EPA received 170 public comments on the proposed rule from a 
variety of stakeholder groups. The comments were generally supportive 
of electronic reporting as modern and efficient, but raised issues 
regarding aspects of the proposed implementation and operation of the 
rule. Table 1 provides an overview of the public comments EPA received 
during the proposed rule comment period. The largest number of public 
comments (by pages) came from state government agencies with industrial 
stakeholders contributing most of the remaining comments. Many of the 
industrial comments came from the agricultural sector.

               Table 1--Number of Proposal Public Comments
------------------------------------------------------------------------
                                             Number of       Number of
             Commenter type                 submissions    comment pages
------------------------------------------------------------------------
Anonymous or Individual Person..........              32              44
Environmental Advocacy Organization.....               3              22
Government (Local)......................              28             114
Government (State)......................              39             308
Government (Federal)....................               2               5
Industry (Misc.)........................              39             188
Industry (Agriculture)..................              25             163
Industry (Software Vendors).............               2               6
                                         -------------------------------
    Total...............................             170             850
------------------------------------------------------------------------

    EPA considered all of these comment submissions and identified the 
key issues raised by commenters. EPA has responded to these comments in 
the comment response document supporting this rulemaking (see DCN 
0218).

B. Supplemental Notice of Proposed Rulemaking (SNPR)

    On 1 December 2014, EPA published a supplemental notice to the 2013 
proposed NPDES Electronic Reporting Rule and opened a 60-day public 
comment period (79 FR 71066). EPA used this document to identify many 
of the issues raised by commenters during the public comment period for 
the proposed rule, clarify misunderstandings about the proposal, and 
discuss possibilities for how EPA might modify the rule to address 
issues raised by stakeholders.
    EPA received 58 public comments on the supplemental notice to the 
proposed rule from a variety of stakeholder groups. The comments were 
again generally supportive of electronic reporting as modern and 
efficient and provided meaningful comments on alternative means for 
implementing the final rule. Table 2 provides an overview of the public 
comments EPA received during the SNPR comment period. As with the 
proposed rule, the largest number of public comments (by pages) came 
from state government agencies.

[[Page 64071]]



  Table 2--Number of Supplemental Notice of Proposed Rulemaking Public
                                Comments
------------------------------------------------------------------------
                                             Number of       Number of
             Commenter type                 submissions    comment pages
------------------------------------------------------------------------
Anonymous or Individual Person..........               1               1
Environmental Advocacy Organization.....               2               9
Government (Local)......................               4              12
Government (State)......................              28             179
Government (Federal)....................               1               6
Industry (Misc.)........................              17              75
Industry (Agriculture)..................               4              19
Industry (Software Vendors).............               1               4
                                         -------------------------------
    Total...............................              58             305
------------------------------------------------------------------------

    EPA considered all of these comment submissions and has responded 
to these comments in the comment response document supporting this 
rulemaking (see DCN 0218).

C. Outreach

    Section VI of the proposed rule details EPA's extensive outreach 
efforts prior to the proposed rule. EPA continued this outreach during 
the public comment period on the proposed rule (DCN 0111). In 
particular, EPA held over 30 webinars and meetings with over 1,200 
people to discuss the proposed rule. In addition to two public comment 
periods, EPA has conducted additional stakeholder meetings to further 
discuss and refine particular aspects of the rule prior to 
promulgation.
    Many states expressed concerns with the proposed rule. EPA held 
teleconferences with authorized NPDES programs to obtain their 
individual views on various aspects of the proposed rule. EPA met with 
over twenty five states, ECOS, ACWA, and New England Interstate Water 
Pollution Control Commission to take into account their individual 
comments and concerns about the rule (see DCN 0128 to 0142, 0181, 0219 
to 0229). Additionally, EPA separately contacted each authorized NPDES 
program to individually assess its readiness for these new electronic 
reporting requirements. This extensive outreach helped inform the 
implementation process of the final rule and the additional 
flexibilities that authorized states, tribes, and territories need for 
a measured and orderly conversion from paper to electronic reporting. 
As noted elsewhere in this preamble, EPA has extended the time for full 
implementation of this final rule from two years to five years. EPA has 
also provided authorized NPDES programs with more flexibility in how 
they administer electronic reporting waivers. EPA will continue its 
outreach to NPDES regulated entities and authorized NPDES programs 
during the implementation of this final rule.

V. Summary of Decisions in the Final Rule

    This section identifies the regulatory changes made by this final 
rule and the significant decisions made by EPA in response to public 
comments. EPA has responded to all public comments in the comment 
response document supporting this rulemaking (see DCN 0218).

A. Overview of Existing Regulations Modified by the Final Rule

    EPA is amending the following NPDES regulations to require 
electronic reporting by NPDES-regulated facilities, to require 
electronic reporting of NPDES information by the states, tribes, and 
territories to EPA, and to eliminate some existing reporting 
requirements, particularly those for states, tribes, and territories. 
In addition to the creation of a new 40 CFR part 127, the final rule 
adds or modifies the following existing regulations:
     40 CFR 122.22. Signatories to permit applications and 
reports;
     40 CFR 122.26(b)(15), (c)(1)(ii), and (g)(1)(iii). 
Stormwater discharges (applicable to State NPDES programs, see 40 CFR 
123.25);
     40 CFR 122.28(b)(2). General Permits (applicable to State 
NPDES programs, see 40 CFR 123.25);
     40 CFR 122.34(g)(3). Reporting [as related to small 
Municipal Separate Storm Sewer Systems (MS4s)];
     40 CFR 122.41(l)(4)(i). Monitoring reports [Discharge 
Monitoring Reports];
     40 CFR 122.41(l)(6). Twenty-four hour reporting 
[Noncompliance which may endanger health or the environment];
     40 CFR 122.41(l)(7). Other noncompliance;
     40 CFR 122.41(l)(9). Identification of the Initial 
Recipient for the Electronic Reporting of NPDES Program Data [a new 
standard condition added by this final rule];
     40 CFR 122.41(m)(3). Notice [as related to Bypass sewer 
overflows];
     40 CFR 122.42(c). Municipal separate storm sewer systems 
[as related to medium or large MS4s];
     40 CFR 122.42(e)(4). Annual reporting requirements for 
CAFOs;
     40 CFR 122.43. Establishing permit conditions (applicable 
to State NPDES programs, see 40 CFR 123.25);
     40 CFR 122.44(i). Monitoring requirements;
     40 CFR 122.48(c). Requirements for recording and reporting 
of monitoring results (applicable to State NPDES programs, see 40 CFR 
123.25);
     40 CFR 122.63(f). Minor modifications of permits [a new 
option that explicitly states that NPDES programs may use the minor 
modification process to incorporate electronic reporting into NPDES 
permits];
     40 CFR 122.64(c). Termination of permits (applicable to 
State NPDES programs, see 40 CFR 123.25);
     40 CFR 123.22. Program description;
     40 CFR 123.24(b)(3). Memorandum of Agreement with the 
Regional Administrator;
     40 CFR 123.25(a). Requirements for permitting;
     40 CFR 123.26. Requirements for compliance evaluation 
programs;
     40 CFR 123.41(a). Sharing of information;
     40 CFR 123.43(d). State data transmission of information 
from states to EPA;
     40 CFR 123.45. Noncompliance and program reporting by the 
Director; [this replaces several state reports of noncompliance with 
the NNCR];
     40 CFR 403.10(f). State Pretreatment Program requirements;
     40 CFR 403.12(e). Periodic reports on continued compliance 
[Pretreatment program reports for Categorical Industrial Users];

[[Page 64072]]

     40 CFR 403.12(h). Reporting requirements for Industrial 
Users not subject to categorical Pretreatment Standards [Pretreatment 
program reports for Significant Industrial Users not subject to EPA 
categorical pretreatment standards];
     40 CFR 403.12(i). Annual POTW reports [Pretreatment 
program report];
     40 CFR 501.21. Program Reporting to EPA (State Sludge 
Management Program) [the final rule eliminates the state annual 
biosolids report to EPA];
     40 CFR 503.18. Reporting [Sewage Sludge/Biosolids Annual 
Program Report for land application];
     40 CFR 503.28. Reporting [Sewage Sludge/Biosolids Annual 
Program Report for surface disposal]; and
     40 CFR 503.48. Reporting [Sewage Sludge/Biosolids Annual 
Program Report for incineration].
    EPA has grouped the existing NPDES reporting requirements into 
``NPDES Data Groups,'' which are defined and listed in 40 CFR 127.2(c) 
and in Table 1 to appendix A of 40 CFR part 127. As defined in 40 CFR 
127.2(c), the term ``NPDES data group'' means the group of related data 
elements identified in Table 1 in appendix A to 40 CFR part 127. These 
NPDES data groups have similar regulatory reporting requirements and 
have similar data sources. The final rule uses the NPDES Data Groups to 
identify the minimum set of data elements for each type of NPDES 
reporting (e.g., DMRs, NOIs, program reports) and to help permittees 
and regulated entities identify the initial recipient, as defined below 
in Section B.1, of electronic NPDES data submissions.

B. Implementation

1. Initial Recipient Status
    Under the final rule, NPDES-regulated entities are required to 
submit NPDES program data to the designated initial recipient, as 
defined in 40 CFR 127.2(b). For this rule, the term ``initial 
recipient'' means the governmental entity, either the state or EPA, who 
first receives the NPDES program data listed in appendix A to 40 CFR 
part 127. The initial recipient designation is made separately for each 
state and by each NPDES data group, which is defined in 40 CFR 
127.2(c). EPA is using the initial recipient term to help NPDES 
regulated entities properly identify the recipient for their electronic 
NPDES program data submissions. The initial recipient provision will 
also help ensure that authorized NPDES programs and EPA are properly 
sharing these NPDES program data with each other. EPA is required by 
the rule to maintain the initial recipient list for each state and by 
each NPDES data group and publish this list on its Web site and in the 
Federal Register. Identification of the initial recipient for each 
NPDES data group is included as a new NPDES permit standard condition 
as is the URL to the above Web site [see 40 CFR 122.41(l)(9)]. EPA will 
work with authorized NPDES programs that would like more flexibility 
with the initial recipient designation (e.g., a state may want to be 
designated for NOIs for CAFOs but not MS4s).
    As necessary, the initial recipient designation can switch back and 
forth between the authorized state, tribe, or territory NPDES programs 
and EPA. EPA's goal is to help all authorized NPDES programs be the 
initial recipient for any data group (e.g., DMRs) for which they would 
like to first receive the data.
     As of the effective date of the final rule, the Initial 
Recipient determination is an `opt-out' process for authorized state, 
tribe, or territory NPDES programs. Per Sec.  127.27(a), an authorized 
NPDES program must notify EPA within 120 days of the effective date of 
the final rule if it wishes EPA to be the Initial Recipient for a 
particular NPDES data group. If EPA receives no such notification, EPA 
will designate the authorized state, tribe, or territorial NPDES 
program as the Initial Recipient for all NPDES data groups.
     An authorized NPDES program can initially elect for EPA to 
be the initial recipient and then, at a later date, seek EPA approval 
to change the initial recipient status for one or all of the NPDES data 
groups from EPA to the authorized state, tribe, or territory. To make 
this switch, the authorized state, tribe, or territory must send a 
request to EPA. This request shall identify the specific NPDES data 
groups for which the state, tribe, or territory would like to be the 
initial recipient of electronic NPDES information, include a 
description of how its data system will be compliant with 40 CFR part 3 
(including, in all cases, subpart D) and 40 CFR part 127, and the date 
or dates when the state, tribe, or territory will be ready to start 
receiving this information. Section 127.27 outlines the process for 
requesting the designation of initial recipient. After EPA approval of 
the request, EPA will update the initial recipient list and will 
publish the revised initial recipient listing on its Web site and in 
the Federal Register.
     An authorized NPDES program can initially elect to be the 
Initial Recipient for one or all of the NPDES data groups and then at a 
later date request that EPA become the initial recipient for one or all 
of the NPDES data groups. To make this switch the authorized state, 
tribe, or territory will send a request to EPA. After coordination with 
the state, EPA will update the initial recipient list and will publish 
the revised initial recipient listing on its Web site and in the 
Federal Register [see Sec.  127.27(a)].
     There is also a process in Sec.  127.27(d) for ensuring 
that authorized NPDES programs share the minimum set of NPDES program 
data with EPA (see Appendix A to 40 CFR part 127). This process will 
switch the initial recipient status from the authorized state, tribe, 
or territory to EPA if the authorized NPDES program is not sharing the 
minimum set of NPDES program data with EPA. As noted in the proposed 
Sec.  127.27(d)(4), EPA will work with the Director of the authorized 
NPDES program to remediate all issues identified by EPA that prevent 
the authorized NPDES program from being the initial recipient. When all 
issues identified by EPA are determined by EPA to be satisfactorily 
resolved, EPA is required to update the initial recipient listing in 
Sec.  127.27(c) in order to list the authorized state, tribe, or 
territory as the initial recipient.
    An authorized NPDES program will continue to retain its 
responsibilities to facilitate electronic reporting even if it elects 
for EPA be the Initial Recipient for a particular NPDES data group. For 
example, an authorized NPDES program will still be expected to continue 
to provide support to NPDES regulated entities to facilitate electronic 
reporting (e.g., provide registration support, electronic reporting 
system training and user support) even when the authorized NPDES 
programs elects for EPA to be the initial recipient. EPA will assist 
authorized NPDES programs by providing training and support to 
authorized NPDES programs so that they can fully understand and use 
EPA's electronic reporting systems and thereby provide effective 
support to NPDES regulated entities.
    It is important to note the interaction between the CROMERR 
requirements and the Initial Recipient requirements in the final 
rule.\5\ For example, if the initial recipient status for a particular 
state for a particular data group switches from the state to EPA, then 
the NPDES-regulated entities in that data group in

[[Page 64073]]

that state would need to ensure they register with the appropriate 
CROMERR-compliant system. In this example, NPDES-regulated entities 
will switch from using the state electronic reporting systems to EPA's 
electronic reporting systems (e.g., NetDMR, NeT). This means that these 
regulated entities will need to register and obtain the necessary 
signing credentials for EPA's electronic reporting systems. Similarly, 
if the initial recipient status for a particular state for a particular 
data group switches from EPA to the state, then those NPDES-regulated 
entities in that data group in that state would switch from using an 
EPA electronic reporting system to a state electronic reporting system. 
Under this scenario, regulated entities will need to register and 
obtain the necessary signing credentials for the authorized NPDES 
program's electronic reporting systems. However, if a state is using 
EPA's electronic reporting systems, the regulated entities would not 
need to register again.
---------------------------------------------------------------------------

    \5\ EPA seeks to ensure that electronic reporting has at least 
the same level of legal defensibility and dependability as 
information that EPA would obtain through hard-copy paper 
submission. The Cross-Media Electronic Reporting Regulation 
(CROMERR), promulgated October 13, 2005, provides the legal 
framework for electronic reporting requirements established under 
all EPA environmental regulations (40 CFR part 3). See the proposed 
rule for more background detail on CROMERR (30 July 2013; 78 FR 
46035).
---------------------------------------------------------------------------

2. Implementation Plan Schedule
    EPA initially proposed two phases for the implementation of 
electronic reporting with the first phase starting one year after the 
effective date of the final rule and a second phase starting two years 
after the effective date of the final rule. EPA proposed full 
implementation of electronic reporting within two years after the 
effective date of the final rule. Many authorized NPDES programs 
indicated that they would likely not be able to implement electronic 
reporting for all data within two years of the effective date of the 
final rule. One commenter suggested that EPA consider working with 
authorized NPDES programs to develop individual state plans with a 
schedule for implementation based on state readiness and resources to 
implement electronic reporting. Other commenters suggested extending 
the IP beyond two years. After significant consultation with authorized 
NPDES programs EPA is adopting the implementation schedule described in 
Section VII.A.
    EPA is providing additional time (five years from the effective 
date of the final rule) for authorized NPDES programs to switch their 
processing of Phase 2 NPDES program data (e.g., general permit reports, 
program reports) from paper to electronic format in this final rule. 
This additional implementation time for Phase 2 data collection, 
management, and sharing will help authorized NPDES programs build or 
adopt electronic reporting systems for Phase 2 data as well as register 
and train NPDES regulated entities. EPA is keeping the proposed one-
year schedule for the DMR data flow to be switched from paper to 
electronic format since nearly all authorized NPDES programs and many 
tens of thousands of NPDES permittees are already using NetDMR and 
other electronic Discharge Monitoring Report (eDMR) systems. The 
proposed rule also had the Federal general permit reports (NOIs, NOTs, 
LEWs, NOEs) included in Phase 1 implementation. These permits are now 
included in Phase 2 of the final rule so that the implementation is 
consistent for all general permits. EPA will incorporate the 
requirements of this final rule into re-issued general permits so that 
EPA can expedite electronic reporting as soon as possible.
    In accordance with the final rule [40 CFR 127.26(h)], authorized 
NPDES programs will also need to submit an IP to EPA for EPA's review. 
The content of these plans must provide enough detail (e.g., key tasks 
and end dates) to ensure successful implementation of electronic 
reporting for Phase 2 data. These plans must include key tasks and the 
related end dates necessary for implementing this final rule, such as: 
(1) Describing key tasks for electronically collecting all Phase 2 data 
from NPDES-regulated facilities (e.g., developing and deploying 
electronic reporting systems and applications); (2) describing key 
tasks for updating state NPDES data systems to manage and share Phase 2 
data with EPA's ICIS-NPDES (e.g., adding new data elements to state 
NPDES data systems, updating the state's electronic data transmission 
capabilities, which includes incorporating new data schemas and 
Environmental Information Exchange Network node plug-ins); (3) CROMERR 
compliance status for electronic reporting systems (e.g., approval 
dates or anticipated approval end dates for each NPDES data group); (4) 
schedule end dates for updating state statutes, regulations, and NPDES 
permits; (5) summary of outreach and training necessary to alert and 
educate NPDES regulated entities on how to utilize electronic reporting 
systems; (6) alternative options for converting to electronic reporting 
(e.g., utilization of EPA services and systems like NetDMR or NeT) if 
the state continually misses its own scheduled milestones end dates; 
and (7) temporary and permanent waiver approval processes. EPA will 
provide authorized NPDES programs with additional guidance on the 
content of these plans after promulgation of the final rule. EPA will 
inform the state if its implementation plan is inadequate.
    These plans should be sent to EPA within one year of the effective 
date of the final rule. EPA will review each IP and work with the 
corresponding authorized NPDES program to identify potential weaknesses 
and suggest potential revisions. EPA will finish its review of all IPs 
and inform the authorized NPDES program if its implementation plan is 
inadequate no later than six months after receipt. EPA plans to post 
these IPs on its Web site to provide the public with greater 
transparency on the milestones and tasks each state will be taking to 
move towards electronic reporting.
3. Ensuring Compliance With the Implementation Schedule
    As noted in Section V.B.2, EPA is phasing in the electronic 
reporting requirements of this final rule over five years. In 
accordance with the schedule, and as a means to ``fill in the gaps'' 
where NPDES-regulated entities are not yet reporting electronically, 
EPA will use its authority, as appropriate, to issue targeted 
individual notices requiring NPDES-regulated entities to electronically 
report their NPDES program data (appendix A to 40 CFR part 127). EPA 
initially proposed to have these data come directly to EPA. Authorized 
NPDES programs suggested that instead EPA should require NPDES 
regulated entities to use state, tribe, or territorial electronic 
reporting systems that are in compliance with the final rule, as this 
would be more efficient. In this final rule, EPA is adopting the 
approach recommended by authorized NPDES programs and will use its 
existing authority under the CWA along with current technology and an 
Information Collection Request (ICR) to require NPDES-regulated 
entities to report electronically. EPA is using its authority under CWA 
sections 101, 304(i), 308, 402(b), and 501 to require NPDES-regulated 
entities to electronically report NPDES program data. Section 308 of 
the CWA authorizes EPA to require access to information necessary to 
carry out the objectives of the Act, including Section 402, which 
establishes the NPDES program. EPA provided examples in the SNPR 
regarding when it would use this authority to send notices to NPDES 
regulated entities to start electronic reporting (1 December 2014; 79 
FR 71070).
    EPA also notes that authorized NPDES programs can use their 
enforcement discretion to refrain from enforcing conditions in the 
permit or other control mechanisms that explicitly require paper 
reporting as long as the regulated entity successfully reports its data 
electronically using the appropriate CROMERR-approved electronic

[[Page 64074]]

reporting system. This would enable EPA and authorized states, tribes, 
and territories to realize the benefits of electronic reporting without 
requiring double reporting from regulated entities and coordinating two 
separate submissions. The following are the main methods by which 
electronic reporting requirements will most likely be implemented by 
authorized NPDES programs and NPDES regulated entities under the final 
rule. As shown in Table 3, authorized programs have several mechanisms 
to minimize the potential for dual reporting (paper and electronic 
submissions of the same data).

------------------------------------------------------------------------
                                                      Potential for dual
             Method                  Description       reporting (paper
                                                       and electronic)
------------------------------------------------------------------------
Electronic Reporting Allowable   Existing reporting  No.
 in Existing NPDES Permit.        requirements in
                                  some NPDES
                                  permits may
                                  already allow for
                                  permittees to
                                  switch to
                                  electronic
                                  reporting (e.g.,
                                  no explicit
                                  requirement to
                                  report DMRs on
                                  paper forms to
                                  the state).
NPDES Permit Issuance..........  NPDES permit        No.
                                  issuances are
                                  staggered. This
                                  means that some
                                  NPDES permits
                                  will be
                                  incorporating
                                  electronic
                                  reporting
                                  requirements
                                  before the
                                  implementation
                                  schedule
                                  deadlines.
Enforcement Discretion.........  Authorized NPDES    No.
                                  programs can
                                  issue an
                                  enforcement
                                  letter that
                                  allows NPDES
                                  permittees to
                                  forgo filing
                                  paper forms as
                                  long as they use
                                  the approved
                                  electronic
                                  reporting systems.
Minor Modification.............  With the consent    No.
                                  of the permittee,
                                  the NPDES
                                  permitting
                                  authority can
                                  incorporate
                                  electronic
                                  reporting
                                  requirements
                                  through a minor
                                  modification.
                                  This is usually
                                  done permit-by-
                                  permit but there
                                  are no
                                  restrictions on a
                                  state that would
                                  like to take one
                                  action to change
                                  multiple permits
                                  at once. These
                                  minor
                                  modifications are
                                  very specific
                                  updates and do
                                  not require
                                  public notice.
                                  The NPDES
                                  regulated entity
                                  can use these
                                  minor
                                  modifications to
                                  eliminate the
                                  potential for
                                  dual reporting
                                  (paper and
                                  electronic).
Dual Reporting.................  The state can also  Yes.
                                  require
                                  electronic
                                  reporting in
                                  addition to paper
                                  reporting, which
                                  is required by
                                  existing permit
                                  language. The
                                  dual reporting
                                  would last only
                                  until the permit
                                  expires and the
                                  next permit is
                                  issued with
                                  electronic
                                  reporting
                                  requirements.
                                  This is EPA's
                                  least preferred
                                  option to phase
                                  in electronic
                                  reporting.
------------------------------------------------------------------------

    Under the implementation schedule for this final rule, EPA will 
assess the electronic reporting participation rate of NPDES regulated 
entities in each state and by each data group to determine when it 
would be appropriate to send individual notices. For example, EPA may 
send individual notices to compel electronic reporting when the 
authorized state, tribe, or territory has less than 90-percent 
participation rate for one or more data groups (e.g., MS4 program 
reports), calculated after the required time for electronic reporting 
of the particular data group. EPA will separately calculate the 
participation rate for each state and for each data group no later than 
six months after the deadline for conversion from paper to electronic 
submissions (e.g., 18 months after the effective date of the final rule 
for DMRs). As appropriate, EPA will then send notice to the NPDES 
regulated entities that are not utilizing electronic reporting (e.g., 
21 months after the effective date of the final rule for DMRs). This 
notice will direct NPDES regulated entities to use their authorized 
NPDES program's electronic reporting system. Failure to comply with 
this notice will result in noncompliance with the CWA and may result in 
penalties. EPA will repeat its review of the participation rate for 
each state and for each data group on an annual basis as needed and 
send out notices as appropriate. EPA will coordinate the distribution 
of these notices with the authorized NPDES program.
    EPA anticipates that it may use individual notices to compel 
electronic reporting will likely be minimal as electronic reporting, 
over the long term, reduces burden for the reporter. It is also 
important to note that many facilities have already made the switch to 
electronic reporting (e.g., most DMR filers in Ohio are using Ohio's e-
DMR system).
    EPA solicited comment on this 90-percent participation rate metric. 
Commenters noted difficulties in outreach and training for the large 
number of NPDES-regulated entities that will need to switch from paper 
to electronic reporting. As described above, EPA is providing more time 
for

[[Page 64075]]

authorized NPDES programs to switch their processing of Phase 2 NPDES 
program data (e.g., general permit reports, program reports) from paper 
to electronic. This additional three years will help authorized NPDES 
programs build or adopt electronic reporting systems for Phase 2 data 
as well as register and train NPDES regulated entities. EPA is keeping 
the proposed one-year schedule for the DMR data flow since DMR 
electronic reporting tools are already deployed in 42 states, with an 
additional six states actively developing similar systems. This 
existing electronic reporting capacity has allowed tens of thousands of 
NPDES regulated entities to electronically report their DMRs over a 
number of years.\6\ EPA is also retaining the 90 percent participation 
rate as this single simple measure will be an effective system to track 
progress and prompt NPDES regulated entities and authorized NPDES 
programs to switch from paper to electronic reporting within a 
reasonable time period. While the 90-percent figure is not codified in 
the final regulation [see 40 CFR 127.26(i)], EPA is including the 90-
percent figure in this preamble to the final rule and the accompanying 
ICR as a goal to promote electronic reporting and as a reasonable 
estimate of the number of entities that EPA may directly contact. EPA 
will work with states if there is a significant delay in the adoption 
of electronic reporting and re-assess the 90-percent participant rate 
goal as part of its ICR renewal (ICRs are typically approved by OMB for 
three years) or as appropriate.
---------------------------------------------------------------------------

    \6\ See: https://netdmr.zendesk.com/entries/45318090-For-New-Users-Who-Can-Report-.
---------------------------------------------------------------------------

    Another state commenter also suggested that EPA calculate for each 
authorized NPDES program one DMR electronic submission participant rate 
for individually permitted facilities and another DMR electronic 
submission participant rate for facilities covered under general 
permits. The commenter suggested that there are important differences 
between individually permitted facilities, which tend to be the larger 
facilities with a continuous discharge like POTWs, and facilities 
covered under general permits, which tend to be more numerous. Some 
authorized NPDES programs also use different agencies to manage 
specific industrial sectors (e.g., oil and gas facilities, mines, 
CAFOs) and these industrial sectors are often covered by general 
permits. EPA agrees with the commenters that there are important 
differences between individually permitted facilities and facilities 
covered by general permits. Having one DMR electronic submission 
participant rate for individually permitted facilities and another DMR 
electronic submission participant rate for facilities covered under 
general permits will allow EPA to more accurately target only those 
facilities and sectors with the poorest electronic reporting 
participation rates. In this final rule, EPA is adopting the approach 
recommended by some authorized NPDES programs and will use one DMR 
electronic submission participant rate for individually permitted 
facilities and another DMR electronic submission participant rate for 
facilities covered under general permits.
    EPA will also work with states to evaluate how best to assess 
electronic reporting participation for general permit reports (e.g., 
NOIs) for different sectors (e.g., oil and gas facilities, mines, 
CAFOs). The authorized NPDES program will document how to assess 
electronic reporting participation rates for general permit reports in 
their IP.
    Another important consideration is that NPDES-regulated entities 
with temporary waivers are excluded from the participation 
calculations. For example, if state X has 1,020 individually permitted 
facilities that are required to submit DMRs and 20 of these facilities 
are granted temporary waivers from electronic reporting, then as a 
group at least 900 of the 1,000 individually-permitted facilities 
without waivers [= 0.9 x (1,020 - 20)] need to electronically submit 
DMRs to state X in order to meet the 90-percent participation rate. 
Examples of how EPA will use individual notices to ``fill in the gaps'' 
where NPDES-regulated entities are not yet fully electronically 
reporting their NPDES program data are provided in the supplemental 
notice to the proposed rule (1 December 2014; 79 FR 71070) and more 
examples are in the docket (see DCN 0106).
4. Hybrid Approach for Construction Stormwater NOIs
    As an alternative to use of a CROMERR-compliant electronic 
reporting system, one commenter suggested that EPA allow the initial 
recipient the option of using data capture technology [e.g., two 
dimensional barcodes such as Quick Response (QR) codes, optical 
character recognition] (see DCN 0178). In particular, authorized NPDES 
programs have noted their difficulty in getting construction operators 
to apply for and maintain electronic signatures for use with CROMERR-
compliant electronic reporting systems for stormwater related 
discharges. Authorized NPDES programs suggested that EPA provide some 
flexibility in the final rule that would allow construction operators 
the ability to electronically submit data from construction stormwater 
general permit reports [e.g., Notice of Intent (NOI) to discharge; 
Notice of Termination (NOT); and Low Erosivity Waiver and Other Waivers 
from Stormwater Controls (LEW)] but without an electronic signature. 
EPA solicited comment on this approach in the supplemental notice to 
the proposed rule (1 December 2014; 79 FR 71076). Several comments 
expressed support for EPA to include this option in the final rule as a 
means to provide authorized NPDES programs with more options in 
implementing the final rule. In this final rule, EPA is providing the 
option for the initial recipient to use data capture technology for 
construction stormwater general permit reports (i.e., NOIs, NOTs, NOEs, 
LEWs). The following discussion provides more detail on this optional 
method for authorized NPDES programs to comply with this final rule for 
construction stormwater general permit reports.
    The final rule provides the initial recipient the option of 
allowing data capture technologies for construction stormwater general 
permit reports. This is defined in the final rule as the ``Hybrid 
Approach.'' For example, under the Hybrid Approach, the initial 
recipient may allow construction operators to complete an online 
construction stormwater general permit report, which simultaneously 
produces a paper copy of the report and electronically transmits a copy 
of the data from the report to the initial recipient. The construction 
operator will sign and date the paper copy of the construction 
stormwater general permit report with a handwritten signature and this 
paper document will be the ``copy of record.'' The paper document will 
be managed in accordance with 40 CFR 122.28. It is important to note 
that EPA general permit regulations (40 CFR 122.28) do not require all 
general permit covered facilities to submit NOIs for all general 
permits as some general permits provide for automatic coverage. The 
final rule does not change EPA's general permit regulations with 
respect to the discretion of the authorized NPDES program in deciding 
when a notice of intent requirement would be inappropriate [see 40 CFR 
122.28(b)(2)(v)]. Under the Hybrid Approach, the paper copy of the 
construction stormwater general permit report with a handwritten 
signature must be submitted to the authorized NPDES program.

[[Page 64076]]

    Under the Hybrid Approach, the initial recipient must have the 
ability to definitively and uniquely link the signed and dated paper 
document with the electronic submission from the NPDES regulated 
entity. This could be done through use of a unique code or mark on the 
signed and dated paper document that is also embedded in the electronic 
submission. See Figure 1.
[GRAPHIC] [TIFF OMITTED] TR22OC15.000

    Under the Hybrid Approach, the initial recipient can also use 
automated data capture technology (e.g., Optical Character Recognition) 
to allow a NPDES-regulated entity to submit NPDES program data on paper 
with a handwritten signature and date in a structured format that 
allows for easy data importation into the authorized program's NPDES 
data system. It is likely in this example that the initial recipient 
will also be the authorized state, tribe, or territory since the paper 
form will be sent by the construction operator to the authorized NPDES 
program.
    EPA notes that using the Hybrid Approach will require the 
procurement and management of the necessary data capture technology, 
maintenance of the signed and dated paper submission, and the training 
of potential users; however, some authorized NPDES programs have 
suggested the Hybrid Approach may be less burdensome than requiring all 
construction operators to register and submit using standard CROMERR-
compliant identity-proofing and electronic reporting services.
    Finally, EPA notes that it is limiting this approach to the 
construction sector due to the large and transient number of permittees 
that are reporting each year for new locations (approximately 200,000 
new construction sites each year). Use of the Hybrid Approach 
eliminates the need for construction operators to obtain and maintain a 
digital signature and the need for authorized NPDES programs to oversee 
and troubleshoot the process for these construction operators to obtain 
these digital signatures.
    EPA encourages state, local, or municipal government that make the 
Hybrid Approach available to regulated entities in the construction 
sector to also make CROMERR-complaint, fully-electronic reporting 
available as well, reducing to the degree possible any reliance on 
paper.

C. Waivers

    In the preamble to the proposed rule, EPA introduced the concept of 
temporary waivers from electronic reporting of NPDES program data. EPA 
proposed to limit the availability of these temporary waivers to 
regulated facilities in areas that lacked sufficient broadband 
availability. Under the proposal, temporary waivers would be available 
for one year at a time. Authorized NPDES programs would be required to 
enter the hard-copy NPDES program data submitted by facilities with 
waivers into the state or federal NPDES data system and share it with 
EPA. EPA requested comment on the need for such temporary waivers, 
possible options for such waivers, and on the possibility of permanent 
waivers for religious reasons.
1. Temporary Waivers
    During the two public comment periods, EPA received several 
comments on temporary waivers. The majority of the comments on this 
topic supported the overall concept of temporary waivers from NPDES 
electronic reporting. Commenters expressed support for waivers that 
would have a longer duration than the one-year renewable timeframe 
identified in the proposed rule. Several commenters suggested that 
waivers should also be

[[Page 64077]]

made available for certain circumstances beyond broadband availability 
issues, such as undue burden or cost to the authorized NPDES program. 
For example, it may be more efficient for the state to manually enter 
data into an electronic system, than to train a NPDES regulated entity 
when there are numerically few of a certain category of permittees or 
when the sector is known to have limited computer skills even if the 
entity potentially has access to broadband internet.
    In the final rule, EPA is providing authorized NPDES programs with 
more flexibility in how they may grant temporary waivers. Per Sec.  
127.15 of the final rule, each authorized NPDES program will describe 
in its IP how it will implement the NPDES Electronic Reporting Rule 
waiver provision. Authorized NPDES programs will review and update, as 
necessary, their implementation of the NPDES Electronic Reporting Rule 
waiver provision once every five years and submit any changes to EPA 
for review. EPA will inform the state if its waiver process description 
is inadequate. The duration of a temporary waiver may not exceed five 
years, which is the normal period for an NPDES permit term. EPA also 
notes that these waivers are not transferrable.
    Additionally, authorized NPDES programs may issue episodic waivers 
to address large-scale national disasters (e.g., hurricanes) or 
prolonged electronic reporting system outages (i.e., outages longer 
than 96 hours). The authorized NPDES program will describe in the IP 
how it plans to issue episodic waivers in these extreme situations as 
part of its implementation of the NPDES Electronic Reporting Rule 
waiver provision.
2. Permanent Waivers
    Commenters suggested that EPA should make permanent waivers for 
NPDES-regulated entities owned or operated by members of religious 
communities (e.g., Amish, Mennonite, and Hutterite). EPA agrees that it 
would be appropriate for the final rule to accommodate the religious 
practices of individuals that choose not to use certain technologies 
(e.g., computers, electricity) in accordance with their religion. In 
the final rule, authorized NPDES programs may issue permanent waivers 
to facilities owned or operated by members of religious communities 
that choose not to use certain technologies. Authorized NPDES programs 
will document their procedures for issuing permanent waivers as part of 
their implementation of the NPDES Electronic Reporting Rule waiver 
provision, which is described above. EPA notes that a NPDES regulated 
entity will need to re-apply for a permanent waiver upon any change in 
facility ownership and that these waivers are not transferrable.

D. Summary of Changes to Appendix A

    Appendix A to the final rule (40 CFR part 127) is the minimum set 
of NPDES program data that must be electronically collected, managed, 
and shared between NPDES-regulated facilities, authorized NPDES 
programs, and EPA.\7\ Authorized programs that are the ``initial 
recipient'' of these data must electronically transfer these data to 
EPA on a regular schedule (within 40 days of completed action). EPA 
worked extensively with NPDES program experts from across the Agency 
and with authorized NPDES programs to develop and refine Appendix A. 
The purpose of Appendix A is to ensure that there is consistent and 
complete reporting nationwide, and to expedite the collection and 
processing of the data, thereby reducing burden and making the data 
more timely, accurate, complete, useful, and transparent for everyone. 
EPA recognizes that there may be certain instances where appendix A 
data do not apply directly to particular permitted activities as 
written and will work with states to accommodate any necessary 
differences. For instance, there may not be a fixed address for the 
application of pesticides, so, in this instance, the NOI may not 
include facility physical address, latitude, and longitude information 
as described in Appendix A, but would likely contain equivalent 
information as required by the permit.
---------------------------------------------------------------------------

    \7\ Authorized NPDES programs may grant electronic reporting 
waivers to NPDES-regulated facilities. In these cases, states 
perform the data entry from the paper submissions.
---------------------------------------------------------------------------

    When reviewing the list of Appendix A data elements, it is 
important to note the following concepts:
     Frequency: Reporting frequency varies based on the type of 
data (e.g., permit issuance would likely be every five years; DMR data 
may be monthly).
     Applicability: Many of the data elements are only 
applicable to certain NPDES sectors (e.g., CAFO data elements do not 
apply to POTWs).
     Efficiency: Many of the data elements use codes or unique 
descriptions to facilitate easier data entry.
    These concepts highlight the fact that there is a direct 
relationship between the amount of data that will be reported, 
collected, and managed and the overall burden of the rulemaking. The 
amount of data generated by each data element is directly tied to how 
frequently the data element is reported, the number of regulated 
entities that are covered by the data element (i.e., applicability), 
and the ease of reporting (i.e., efficiency). The amount of data 
generated by a data element directly increases with more frequent data 
reporting of the data element, more entities subject to the data 
element, and decreases with simplified data reporting (e.g., using text 
fields instead of use of codes or unique descriptions, which facilitate 
easier data entry). Consequently, it is important to focus on the 
amount of data that will be collected by this final rule and not the 
number of data elements listed in appendix A. EPA used the following 
process to create the initial draft of appendix A:
     Identify current candidate reports and information from 
authorized NPDES programs and NPDES regulated entities that are 
practical to standardize and electronically process and have important 
value to the permitting and compliance and enforcement programs and the 
public.
     Identify the required data elements for each candidate 
data flow and report based on the CWA or existing EPA regulations.
     Minimize the number of data elements to create 
efficiencies without losing the utility of the data.
    During 2014 and 2015, EPA met with state technical experts to 
discuss all the data elements in appendix A. EPA summarized these 
discussions for the Docket (see DCN 0128 to 0142, 0181, 0219 to 0229).
    In general, EPA simplified appendix A to help make implementation 
of the final rule easier for authorized NPDES programs and NPDES 
regulated entities. The data elements in appendix A support the 
electronic collection, management, and sharing of Phase 1 and Phase 2 
data.
    EPA also noted that authorized NPDES programs can require NPDES 
regulated entities to submit more data than what is listed in appendix 
A. The authorized NPDES program can require NPDES regulated entities to 
submit these ``non-appendix A'' data on paper, electronically, or as 
attachments (e.g., PDF files, CSV files) to electronic notices and 
reports filed in compliance with this final rule. Some commenters 
requested clarification on how EPA's electronic reporting tools will be 
configured to separately handle appendix A and non-appendix A data. 
EPA's electronic reporting tools allow for non-Appendix A data to be 
collected and shared with authorized NPDES programs. EPA will continue 
to work

[[Page 64078]]

with authorized NPDES programs to configure these data systems such 
that the non-appendix A data are collected in the format needed by the 
authorized NPDES program. These implementation efforts will ensure that 
NPDES regulated entities only need to make one electronic submission 
with EPA's electronic reporting tools and that these submissions may 
contain a mix of appendix A and non-appendix A data. EPA will work with 
authorized NPDES programs that build their own electronic reporting 
tools to ensure that their tools have similar capabilities.

E. Unpermitted Facilities

    Current EPA regulations and policy set forth expectations for 
authorized NPDES programs to provide compliance monitoring data on all 
permitted facilities, both major and nonmajor facilities, and a limited 
group of unpermitted facilities. See 40 CFR 123.41, DCN 0007, DCN 0037, 
and DCN 0188. Under the 2014 Clean Water Act National Pollutant 
Discharge Elimination System Compliance Monitoring Strategy (``2014 
CMS''), authorized NPDES programs can propose an alternative Compliance 
Monitoring Strategy (CMS) plan, which may include the state's plan to 
conduct ``focused inspections'' or ``off-site desk audits'' instead of 
``comprehensive inspections'' for certain facilities (see DCN 0188). An 
alternative NPDES CMS plan is a plan that includes one or more 
compliance monitoring commitments that deviate from the national goals 
and flexibilities (see Part 2 of the 2014 CMS for detailed description 
of the national goals). As compared to the national goals, an 
alternative plan could include modified frequency of comprehensive 
inspections, modified compliance monitoring activities (e.g., offsite 
desk audit), or a combination of the two. As a condition for EPA 
approval of the alternative CMS plan, the state must commit to share 
with EPA's ICIS-NPDES compliance monitoring data on all facilities 
(including unpermitted facilities) subject to a ``focused inspection'' 
or an ``off-site desk audit'' instead of ``comprehensive inspection'' 
(see Part 1 of the 2014 CMS). Additionally, EPA regulations require 
authorized NPDES programs to share compliance monitoring data with EPA 
on unpermitted facilities found to be in violation of the Clean Water 
Act (e.g., discharging without an NPDES permit) (see 40 CFR 123.41).
    This final rule does not change the existing requirements for NPDES 
programs to report information on certain unpermitted facilities to 
EPA. See 40 CFR 123.41(a); 123.43(d). In order to provide clarity, the 
following examples clarify when authorized NPDES programs are required 
to share NPDES program data on unpermitted facilities with EPA by 
entering these data in to EPA's national NPDES data system (i.e., ICIS-
NPDES).
    Example #1: As part of an approved alternative CMS plan, an 
authorized NPDES program evaluated ten unpermitted facilities with a 
focused inspection or an off-site desk audit. As a condition of EPA's 
approval of the alternative CMS plan, the authorized NPDES program is 
required to share NPDES program data on these ten unpermitted 
facilities with EPA by entering these data in to EPA's national NPDES 
data system (i.e., ICIS-NPDES).
    Example #2: The same authorized NPDES program in Example #1 
responds to a citizen complaint of an unpermitted facility by 
conducting an inspection of the unpermitted facility. This inspection 
is not part of the authorized NPDES program's approved alternative CMS 
plan. The authorized NPDES program determines that this unpermitted 
facility is discharging pollutants to waters of the U.S. without an 
NPDES permit in violation of the CWA. In accordance with this rule, the 
authorized NPDES program is required to share NPDES program data on 
this unpermitted facility with EPA by entering these data in to EPA's 
national NPDES data system (i.e., ICIS-NPDES).
    Example #3: The same authorized NPDES program in Example #1 
responds to a citizen complaint of another unpermitted facility by 
conducting an inspection of the unpermitted facility. This inspection 
is not part of the authorized NPDES program's approved alternative CMS 
plan. The state determines that this unpermitted facility is not in 
violation of the CWA. The authorized NPDES program is not required to 
share NPDES program data on this unpermitted facility with EPA's 
national NPDES data system (i.e., ICIS-NPDES).
    Example #4: An authorized NPDES program responds to a citizen 
complaint of an unpermitted facility by conducting an inspection of the 
unpermitted facility. The inspection is not conducted pursuant to the 
authorized NPDES program's approved CMS plan. The authorized NPDES 
program determines that this unpermitted facility is discharging 
pollutants to waters of the U.S. without an NPDES permit in violation 
of the CWA. In accordance with this rule, the authorized NPDES program 
is required to share NPDES program data on this unpermitted facility 
with EPA by entering these data in to EPA's national NPDES data system 
(i.e., ICIS-NPDES).
    Example #5: The same authorized NPDES program in Example #4 
responds to a citizen complaint of another unpermitted facility. The 
inspection is not conducted pursuant to the authorized NPDES program's 
approved CMS plan. The state determines that this unpermitted facility 
is not in violation of the CWA. The authorized NPDES program is not 
required to share NPDES program data on this unpermitted facility with 
EPA's national NPDES data system (i.e., ICIS-NPDES).
    Example #6: An authorized NPDES program inspects a facility with 
both an NPDES permit and state groundwater protection permit. During a 
compliance monitoring activity the inspector does not evaluate 
compliance with the NPDES permit but does determine that the facility 
is in violation of several state groundwater permit requirements (i.e., 
these violations are not violations of the CWA). The authorized NPDES 
program is not required to share NPDES program data from this 
compliance monitoring activity on this facility with EPA's national 
NPDES data system (i.e., ICIS-NPDES) because it was not an NPDES 
program inspection.
    Example #7: An authorized NPDES program performs a comprehensive 
inspection of an unpermitted facility to determine if it is discharging 
without an NPDES permit. The inspection is conducted pursuant to the 
authorized NPDES program's approved CMS plan. During the comprehensive 
inspection the authorized NPDES program determines that the unpermitted 
facility is violating two state permit requirements; however, the 
authorized NPDES program also determines that the unpermitted facility 
is not violating the CWA. The authorized NPDES program is not required 
to share NPDES program data on this unpermitted facility with EPA's 
national NPDES data system (i.e., ICIS-NPDES).
    In summary, the final rule does not require authorized NPDES 
programs to share NPDES program data on unpermitted facilities with 
EPA's national NPDES data system (i.e., ICIS-NPDES) with the following 
exceptions:
    a. The approved alternative CMS plan includes compliance monitoring 
of unpermitted facilities through use of a ``focused inspection'' or an 
``off-site desk audit'' instead of a ``comprehensive inspection.''
    b. Unpermitted facilities were subject to compliance monitoring and 
found to be in violation of the CWA (e.g., discharging pollutants to 
waters of the

[[Page 64079]]

U.S.) and thus required to have an NPDES permit.
    c. Unpermitted facilities were subject to a formal enforcement 
action, an administrative penalty order, or an informal enforcement 
action (if such informal action addressed significant noncompliance).
    d. Authorized NPDES programs must share with EPA NPDES program data 
on industrial users regulated by the Federal pretreatment program (40 
CFR part 403).
    e. Authorized NPDES programs must share with EPA NPDES program data 
on entities regulated by the Federal biosolids program (40 CFR part 
503).
    Basic facility data on these unpermitted facilities and the related 
compliance monitoring data must be shared with EPA's national NPDES 
data system (i.e., ICIS-NPDES). For the first three types of exceptions 
identified above, EPA Regions, authorized states, tribes, and 
territories would be required to electronically provide the following 
information to EPA's national NPDES data system: basic facility 
information; compliance monitoring related information; and, if 
applicable, violations, and information regarding enforcement actions.
    Facilities included in the fourth group would be operating under a 
control mechanism, which may or may not be a permit (see 40 CFR 403.8). 
In accordance with the final rule, these facilities will electronically 
submit their bi-annual compliance reports [40 CFR 403.12(e) and (h)] to 
their Control Authority (when the state or EPA is the Control 
Authority). Additionally, the Control Authority will summarize the 
compliance and enforcement action data for industrial users as part of 
the Pretreatment Program Report [40 CFR 403.12(i)].
    Facilities included in the fifth group would be operating under 
EPA's Standards for the Use or Disposal of Sewage Sludge (40 CFR part 
503), which are directly applicable to ``any person who prepares sewage 
sludge, applies sewage sludge to the land or fires sewage sludge in a 
sewage sludge incinerator and to the owner/operator of a surface 
disposal site'' (see 40 CFR 503.1). This means that the annual 
reporting requirements in 40 CFR 503.18, 503.28, and 503.48 are 
applicable even in the absence of an NPDES permit.

F. Nonmajor Facility Inspection Single Event Violation (SEV) Data

    Single Event Violations (SEVs) include one-time events as well as 
violations with longer durations. These are violations that are 
generally not automatically flagged by the data system (e.g., 
inspection identified violations, sewer overflow, spill of industrial 
waste, discharges without an NPDES permit). These violation 
determinations are often manually generated by the authorized NPDES 
program as opposed to violations that can be system created or 
generated (e.g., effluent exceedances of permit limits are 
automatically flagged by ICIS-NPDES).
    SEV data are generated from inspection reports and other compliance 
monitoring activities by authorized NPDES programs. Currently 
approximately ten percent of facilities designated as majors in ICIS-
NPDES have a SEV in any given year. These are important violations that 
are not automatically identified through self-monitoring data like 
DMRs, and these data are important for targeting, transparency, and 
state oversight. The availability of such compliance determination 
information from states, tribes, territories, and EPA is critical to 
determining the compliance status of NPDES regulated facilities. This 
information is needed on a facility-specific basis to better identify 
potential problems; ensure that appropriate action is taken to address 
noncompliance; better quantify national or state noncompliance rates; 
and to provide a more complete and transparent picture to permitting 
authorities, the public, Congress, and other stakeholders of the 
overall implementation and effectiveness of the authorized NPDES 
program. There are two to three data elements associated with SEVs:
     Violation Code (this uniquely identifies the type of 
violation)
     Date Data which includes: Single Event Violation Date 
(used when violation occurs on one date) or Single Event Violation 
Start Date and Single Event Violation End Date (used when violation 
spans multiple dates)
    Prior to this final rule, EPA only required authorized NPDES 
programs to share with EPA SEV data on facilities designated as majors. 
In the proposed rule, EPA discussed requiring authorized NPDES programs 
to also share with EPA SEV data on facilities designated as nonmajors 
(see 30 July 2013; 78 FR 46041). EPA received comments from authorized 
NPDES programs suggesting that EPA rely on the Performance Partnership 
Agreements (PPA) and Performance Partnership Grants (PPG) process to 
manage SEV data sharing expectations.\8\ EPA has decided not to use the 
PPA and PPG process to manage SEV data sharing between authorized NPDES 
programs and EPA for the following reasons.
---------------------------------------------------------------------------

    \8\ Individual PPAs can range from general statement about how 
the state and EPA will work together as partners (perhaps 
identifying joint priorities that will be addressed) to 
comprehensive, multi-program documents that detail each party's 
roles and responsibilities. Some PPAs meet relevant statutory and 
regulatory requirements and also serve as the work plans for 
Performance Partnership Grants (PPGs) or other EPA grants. In a few 
cases, the PPA contains a more general discussion of the working 
relationship between EPA and the state rather than a discussion of 
priorities and programs.
---------------------------------------------------------------------------

    PPAs and PPGs are often voluntary and all authorized NPDES programs 
use these documents to govern data sharing between authorized NPDES 
programs and EPA. Several states with PPAs have not updated them since 
the mid to late 1990s, and the degree of specificity of PPA commitments 
such as data entry, inspections, and enforcement actions varies widely. 
This highly variable, voluntary process is not sufficient to encourage 
and evaluate national consistency in meeting national program 
expectations for NPDES data entry and tracking, compliance evaluations 
and determinations, and timely and appropriate enforcement response.
    Additionally, an authorized NPDES program is only required to share 
with EPA SEV data from a construction stormwater inspection when the 
authorized NPDES program also issues a formal enforcement action 
against the inspected construction site. As noted in the proposal, EPA 
made this distinction based on the large number of facilities in this 
segment of the NPDES universe (approximately new 200,000 construction 
sites each year). This distinction is made in appendix A to 40 CFR part 
127.
    Finally, EPA notes that data from some SEVs will be self-reported 
by the permitted facilities. For example, a sewer overflow is an SEV 
but the permittee will be collecting and electronically sharing these 
data with the permitting authority (i.e., it will be the permittee that 
will electronically report these SEV data to the authorized NPDES 
program who will then electronically share these data with EPA). There 
are similar examples of permitted facilities reporting on SEVs in other 
program reports (e.g., CAFO Annual Report, Biosolids Annual Report). 
EPA has included in the Economic Analysis and Information Collection 
Request supporting the final rule the cost and burden of expanding the 
requirement on authorized NPDES programs to share with EPA SEV data on 
nonmajors (see DCN 0197).

[[Page 64080]]

VI. Economic Analysis

A. Regulatory Requirements Addressed by the Economic Analysis

    Executive Order 12866 directs federal agencies to perform an 
economic analysis (EA) to give decision makers information to determine 
that there is a need for the rule and that benefits of the rule justify 
the costs of the rule. Further, Executive Order 12866 requires that the 
rule maximize the net benefits to society, be cost effective and be 
based on the best reasonably obtainable information.\9\ E.O. 12866 
defines the threshold for economically significant rules as one that is 
expected to create impacts to the economy of $100 million or more or 
otherwise adversely affect the economy, a sector of the economy, 
productivity, competition, jobs, the environment, public health or 
safety, or State, local, or tribal governments or communities in a 
material way.\10\ The EA also addresses the requirements of the 
Unfunded Mandates Reform Act (UMRA) and the Regulatory Flexibility Act 
(RFA).
---------------------------------------------------------------------------

    \9\ Economic Analysis of Federal Regulations Under Executive 
Order 12866, Office of Management and Budget, January 11, 1996, DCN 
0064.
    \10\ Id.
---------------------------------------------------------------------------

    The Regulatory Flexibility Act (RFA) of 1980 (5 U.S.C. 601 et seq.) 
requires Federal agencies to review their proposed rules and 
regulations to determine if they will have ``a significant economic 
impact on a substantial number'' of small entities. But the RFA does 
not define ``significant economic impact'' or ``substantial number.'' 
In its regulatory flexibility analysis EPA adopted the Small Business 
Administration's (SBA) definition of small entities, and used a 
threshold of 1% of revenue to determine economic significance. Using 
the SBA definition, EPA estimated that 108,000 small entities would 
incur costs under the final rule.\11\
---------------------------------------------------------------------------

    \11\ Note that fewer facilities are considered in the small 
entity analysis (164,093 unique facilities, reflecting the number of 
facilities in ICIS-NPDES at the time of this analysis) than were 
estimated in Chapter Two of the EA (393,359 unique facilities) due 
to data limitations. As a result, the estimated number of small 
entities incurring costs under the rule is likely underestimated. 
However, the assumption is made that facilities affected by the rule 
but not currently in ICIS-NPDES will experience small entity impacts 
similar to the facilities currently in ICIS-NPDES. See the Economic 
Analysis for the Final Rule for more details.
---------------------------------------------------------------------------

    EPA estimates initial implementation costs for the regulated 
facilities to be no more than $314 per facility, with an additional 
intermittently recurring cost of approximately $6 for some permittees. 
EPA also estimates that a limited number of small entities might be 
required to report both electronically and on paper to their permitting 
authority during the first five years after the effective date of the 
rule, each incurring as much as $86 in additional annual costs. Only 
one entity is expected to incur a cost impact of 1% or greater 
associated with the annualized compliance costs resulting from the 
final rule. While impacts of greater than 1% are estimated to be 
incurred by one entity due to the rule, impacts of greater than 1% are 
incurred by far fewer than 100 small entities and considerably less 
than 20% of all small entities for all sectors and for each sector 
individually. Therefore, following EPA guidance on assessment of the 
rule's direct adverse impact on any small entities, the rule is not 
expected to significantly impact a substantial number of small 
entities.

B. Economic Significance of This Rule

    According to the threshold set out in E.O. 12866, this final rule 
is not economically significant. The threshold for a finding of 
economic significance is an annual effect, either costs or savings, of 
$100 million annually. EPA estimates the largest annual economic 
impacts to be $74.4 million in net costs during the first year after 
the effective date of the rule [Year 0 in Table 4-16: Schedule of 
Savings and Costs (3% Discount Rate) and Table 4-17: Schedule of 
Savings and Costs (7% Discount Rate), see DCN 097]. EPA also estimates 
$24.3 million in net savings five years after the effective date of the 
rule [Year 5 in Table 4-16: Schedule of Savings and Costs (3% Discount 
Rate), see DCN 0197].
    Although this rule does not meet the economic significance 
threshold, this economic analysis includes most of the elements that 
would be required if the threshold were met--a statement of the need 
for the rule, an examination of alternatives, and the costs and 
benefits. The statement of need is located in Section II, and a 
description of the alternative approaches that were considered is 
located at Section IV. The non-monetary benefits were discussed in the 
first portion of Section VI. The balance of this section summarizes the 
estimated savings and costs of the selected approach.

C. Description of Key Factors Used in the Economic Analysis

    The final rule would reduce the data entry burden on the states, 
tribes, and territories while increasing the percentage of the NPDES 
universe for which data are available electronically. Compared to the 
current reporting guidance, known as WENDB, the rule would reduce the 
data entry burden on states, tribes, and territories, increase the 
number of NPDES-regulated facilities for which NPDES data is available 
to EPA, and expand the scope of the available data for all NPDES-
regulated facilities covered by this rule.
    The main elements of this EA are the reporting universe, reporting 
frequencies, required data, changes in who reports the data, systems 
and infrastructure changes to make the reporting possible, and the 
schedule for implementation.
(a) Estimated Universe of Potentially Affected Permittees
    This rule would change the universe of permit types for which EPA 
will receive data. As described in Section II, the current reporting 
guidance instructs the states to provide EPA with data on the major 
dischargers (6,800 permittees) and nonmajor dischargers with individual 
permits (approximately 40,000 permittees). Some states provide data on 
a larger section of the permittee universe.
    Under the final rule, EPA would receive data on the entire 
permittee universe (approximately 400,000 permittees including 
pesticides applicators and vessels), as represented in Table 4.

[[Page 64081]]



                   Table 4--Universe of NPDES Permits
------------------------------------------------------------------------
                                          Number of NPDES permits
                                  --------------------------------------
         NPDES Subprogram           Individual   Individual    General
                                      majors     nonmajors    nonmajors
------------------------------------------------------------------------
           Non-POTWs (Industrial, Agriculture, and Stormwater)
------------------------------------------------------------------------
Standard Industrial Dischargers          1,683       18,993  \a\ 118,073
 (may also file CWA section
 316(b) data)....................
------------------------------------------------------------------------
                        CWA section 316(b) Filers
------------------------------------------------------------------------
Permits with Cooling Water Intake        1,171            0            0
 Data............................
Permits with Thermal Variance              554            0            0
 Data............................
Industrial Facilities Submitting           200            0            0
 CWA section 316(b) Annual
 Reports.........................
------------------------------------------------------------------------
                 Significant Industrial Users (SIUs) \b\
------------------------------------------------------------------------
SIUs in Municipalities with                  0       29,060            0
 Pretreatment Program............
SIUs in Municipalities without               0        2,487            0
 Pretreatment Program............
Concentrated Animal Feeding                  0        1,266        5,291
 Operations......................
------------------------------------------------------------------------
                 Industrial and Construction Stormwater
------------------------------------------------------------------------
Industrial.......................          132          563       92,282
Construction.....................            1          638      243,227
------------------------------------------------------------------------
                        Municipal Stormwater \c\
------------------------------------------------------------------------
Phase I municipal separate storm           249            0            9
 sewer systems (MS4s)............
Phase II MS4s....................            0          204        5,093
------------------------------------------------------------------------
 POTWs and TWTDSs (may have a CSS or a SSS, may also file more than one
                                 report)
------------------------------------------------------------------------
POTWs with Combined Sewer Systems          462          244           68
 (CSSs) \d\......................
POTWs with Sanitary Sewer Systems        3,533        9,197        1,281
 (SSSs) only \d\.................
TWTDSs...........................          779        7,510          655
------------------------------------------------------------------------
                        POTW NPDES Report Filers
------------------------------------------------------------------------
Biosolids/Sewage Sludge Report           4,209          694            0
 Filers..........................
Pretreatment Program Report              1,462          114            0
 Filers..........................
Sewer Overflow Event Report              4,774       16,950        2,003
 Filers \d\......................
------------------------------------------------------------------------
\a\ Includes 9,125 pesticide applicators and 63,000 vessels that are
  already filing electronically.
\b\ These industrial facilities discharge to POTWs and are regulated by
  the NPDES program through EPA's General Pretreatment Regulations (40
  CFR part 403) and Categorical Pretreatment Standards (40 CFR parts 405
  through 471). They do not have NPDES permits, but those in
  municipalities without pretreatment programs would report
  electronically under the rule.
\c\ Nearly all Phase I MS4s are individually permitted facilities. For
  purposes of cost estimating, the analysis treats all individually
  permitted Phase I MS4s as majors and all Phase II MS4s as nonmajors.
\d\ The analysis divides the total universe of POTWs into CSSs and SSSs
  and treats those that are only partially composed of CSSs as CSSs.

    Table 4 shows the types and estimated numbers of permits in each of 
the applicable categories. Note, however, that some facilities have 
reporting requirements under more than one subprogram, in which case 
they are counted in each applicable group because that is the basis for 
regulation and reporting. Specifically, CWA section 316(b) filers are a 
subset of standard industrial dischargers and POTW NPDES report filers 
are a subset of the group of POTWs and TWTDSs. Also note that SIUs do 
not have a NPDES permit but are included in the EA.
    Changes in the reportable universe affect virtually every aspect of 
the EA, including data entry costs, training costs, the need for 
electronic signatures and system registration, savings in paper and 
postage, and the potential impact of dual reporting. The majority of 
the savings due to the final rule result from electronic reporting of 
DMRs. Note, however, that not all of the regulated entities enumerated 
in Table 4 submit DMRs. To clarify this point, Table 5 shows the number 
of filers under each subprogram for each type of report, including 
DMRs.

[[Page 64082]]



                          Table 5--Number of Filers by NPDES Subprogram and Report Type
----------------------------------------------------------------------------------------------------------------
                                                                                                  Program report
              Subprogram                       Permit type          NOI filers      DMR filers        filers
----------------------------------------------------------------------------------------------------------------
                               Non-POTWs (Industrial, Agriculture, and Stormwater)
----------------------------------------------------------------------------------------------------------------
Standard Industrial Dischargers.......  Individual Major........               0           1,683               0
                                        Individual Nonmajor.....               0          18,993               0
                                        General Nonmajor........          45,948          41,353               0
----------------------------------------------------------------------------------------------------------------
CWA section 316(b) Filers \a\...................................               0               0             200
----------------------------------------------------------------------------------------------------------------
Significant Industrial Users (SIUs) In Municipalities without                  0               0           2,487
 Pretreatment Program \b\.
----------------------------------------------------------------------------------------------------------------
Concentrated Animal Feeding Operations  Individual Nonmajor.....               0               0           1,266
                                        General Nonmajor........           5,291               0           5,291
----------------------------------------------------------------------------------------------------------------
                                      Industrial & Construction Stormwater
----------------------------------------------------------------------------------------------------------------
Industrial............................  Individual Major........               0             132               0
                                        Individual Nonmajor.....               0             563               0
                                        General Nonmajor........          92,282          92,282               0
Construction..........................  Individual Major........               0               0               0
                                        Individual Nonmajor.....               0               6               0
                                        General Nonmajor........      \c\ 83,871           2,432               0
----------------------------------------------------------------------------------------------------------------
                                            Municipal Stormwater \d\
----------------------------------------------------------------------------------------------------------------
Phase I MS4s..........................  Individual Major........               0             249             249
                                        General Nonmajor........               9               9               9
Phase II MS4s.........................  Individual Nonmajor.....               0               0             204
                                        General Nonmajor........           5,093               0           5,093
----------------------------------------------------------------------------------------------------------------
                 POTWs and TWTDSs (may have a CSS or a SSS, may also file more than one report)
----------------------------------------------------------------------------------------------------------------
POTWs with CSSs \e\...................  Individual Major........               0             462         \f\ 462
                                        Individual Nonmajor.....               0             244         \f\ 244
                                        General Nonmajor........              68              68          \f\ 68
POTWs with SSSs only and TWTDSs \e\...  Individual Major........               0           4,312       \f\ 4,312
                                        Individual Nonmajor.....               0          16,706      \f\ 16,706
                                        General Nonmajor........           1,935           1,935       \f\ 1,935
----------------------------------------------------------------------------------------------------------------
                                            POTW NPDES Report Filers
----------------------------------------------------------------------------------------------------------------
Biosolids/Sewage Sludge Report Filers   Individual Major........               0               0           4,209
 \a\.                                   Individual Nonmajor.....               0               0             694
Pretreatment Program Report Filers....  Individual Major........               0           1,462           1,462
                                        Individual Nonmajor.....               0             114             114
----------------------------------------------------------------------------------------------------------------
\a\ DMR filings by these facilities are captured by CSS POTWs, SSS POTWs, TWTDSs, or standard industrial
  dischargers.
\b\ These industrial facilities discharge to POTWs and are regulated by the NPDES program through EPA's General
  Pretreatment Regulations (40 CFR part 403) and Categorical Pretreatment Standards (40 CFR parts 405 through
  471). They do not have NPDES permits, but those in municipalities without pretreatment programs would report
  electronically under the rule.
\c\ Assumes 2.9 construction stormwater general permits per firm.
\d\ Nearly all Phase I MS4s are individually permitted facilities. For purposes of cost estimating, the analysis
  treats all individually permitted Phase I MS4s as majors and all Phase II MS4s and nonmajors.
\e\ The analysis divides the total universe of POTWs into CSSs and SSSs and treats those that are only partially
  composed of CSSs as CSSs.
\f\ Accounts for the submission of sewer overflow and bypass event reports.

(b) Data Elements and Data Systems
    Section V describes how and why the inventory of reportable data is 
changed by this rule. For the EA, the biggest impacts of the change in 
reportable data are the costs of enhancing the database structures to 
store the additional data and the costs of data entry. Estimating the 
cost of modifying the databases involves several factors, chiefly the 
number of additional data elements, the number of NPDES data groups 
those data elements fall into (e.g., DMR, CAFO Annual Report), the 
number of data entry screens that will be needed, and the completeness 
of various state, tribe, territory, and EPA data systems prior to the 
final rule.
    Based on the number of data elements and their planned structure, 
EPA developed a detailed estimate of its own costs to modify ICIS to 
accommodate the additional data elements. Because EPA does not have 
independent estimates of the comparable system costs for each state, 
tribe, and territory, EPA's estimate of system costs for those NPDES-
authorized programs is based on EPA's costs to modify ICIS.
    Data entry costs are one of the major aspects of the EA, and 
involve several additional factors, such as who generates the data, 
changes in the need for the states, tribes, and territories to enter 
permittee-created data into an information system, the number of 
permittees to which each data element applies, the frequency with which 
each type of data element is reported, the time required to enter each 
type of data element, and the labor costs associated with data entry.

[[Page 64083]]

(c) Responsibility for Creating Data
    ``Responsibility for creating data'' refers to the act of initially 
determining the value of any particular required data element and 
writing it on paper or entering it into an electronic storage system. 
Each data element required by this rule has exactly one creator, 
although the identity of the creator can be affected by the nature of 
the permit. For example, DMR data is always created by a permittee, and 
enforcement data is always created by the permitting authority, but 
basic facility data might be created by either the permitting authority 
or the permittee, depending on the type of permit that will be used. 
The EA uses a detailed understanding of responsibility for data 
creation to estimate and assign data entry costs and savings for 
permittees, states, tribes, and territories.
(d) Changes in the Need for State, Tribes, and Territories To Enter 
Permittee-Created Data
    Under the current system of operations, states, tribes, and 
territories are responsible for collecting data from their permittees 
and providing the WENDB data to EPA. Paper submissions are the primary 
means by which permittees submit data to the states, tribes, and 
territories. This means the states, tribes, and territories are 
required to enter large amounts of data created by permittees into the 
permitting authority's information systems, or into ICIS-NPDES. Several 
types of reports are affected by this rule, but DMRs comprise a 
substantial majority of the permittee-created data that the states, 
tribes, and territories enter into data systems. As a result, a 
significant portion of the data collected is essentially being entered 
twice. The first is when permittees commit it to a paper form. The 
second is when the states enter the permittee-created data into an 
information system.
    One of the chief benefits of this rule is that it virtually 
eliminates the need for such double entry of data in this sense: When 
DMRs and other reports are submitted electronically by permittees, 
these reports can be received electronically by the states, tribes, and 
territories, transmitted directly to the applicable information 
systems, and shared with EPA through the National Environmental 
Information Exchange Network.
    There is generally no difference between the time required for a 
permittee to fill out a paper form and the time required for them to 
enter the same data on an electronic form. Therefore, permittee data 
creation costs and savings are not affected by the move to electronic 
reporting. The permittees are required to supply the same data, 
regardless of the media in which is it reported. However, during the 
transition period, some permittees might be required to submit data 
both electronically and on paper. The costs of such dual reporting are 
estimated to range from zero to $86 per entity.
    The impact on the states, tribes, and territories is very 
different. Every data element a state, tribe, or territory does not 
have to enter into a data system is a savings compared to the current 
mode of operation. This does not mean, however, that every state, 
tribe, and territory will experience the same savings from the rule. 
Some permitting authorities have already begun shifting to electronic 
reporting. Forty-eight states have either implemented EPA's NetDMR or 
their own eDMR system or are in the process of doing so. Some 
permitting authorities have also begun moving to electronic reporting 
in other areas, such as NOI. However, participation in most of the 
state, tribe, or territory electronic reporting systems is voluntary, 
so participation rates are highly variable. Ohio is one of a few states 
that has a mandatory eDMR system and has achieved participation of over 
99%. Other states have much lower participation rates, which mean they 
are bearing the costs of operating both paper-based and electronic 
reporting systems.
(e) Permittees Reporting Various Data Elements
    As described in Section II, the current reporting guidelines 
require states, tribes, and territories to provide EPA with data for 
only a portion of the permittee universe. This rule expands the 
universe of permittees for which required reporting must be shared with 
EPA, primarily by requiring data on the so-called NPDES subprograms. 
Subprogram data elements are specific to the permittees in each of the 
subprogram universes. For example, the data elements applicable to 
CAFOs apply only to CAFO permittees, biosolids data elements apply only 
to biosolids permittees and so on.
(f) Frequency of Data Element Reporting
    Another factor that affects the overall volume of data being 
submitted, and therefore the data entry costs and savings, is the 
variation in reporting frequencies. Reporting frequencies are dictated 
by the types of reports containing the data elements and the compliance 
monitoring strategy. DMR data elements are submitted on DMR forms, 
which are generally submitted monthly. Furthermore, many permittees 
submit multiple DMR forms per month, which explains (1) why DMR data 
elements comprise the largest portion of total data volume, and (2) why 
eliminating the need for the states, tribes, and territories to enter 
DMR data produces most of the savings from the rule.
    Facility data are submitted on initial permit applications or on 
NOIs, and might be reviewed and updated every five years when the 
permit is reviewed for reissuance. A large part of the facility data is 
never changed. Portions that are subject to change are generally 
addressed during the permit's reviews.
    Permit data, such as limits and limit sets, are established when 
the permit is issued, and reviewed and possibly revised on a five-year 
cycle. Permit conditions are seldom modified except during the regular 
five-year reviews, or as a result of enforcement actions.
    Enforcement and compliance data are created on an as-needed basis. 
For example, inspection data are created at the time a facility is 
inspected. It is possible that some permittees will never have any 
violations or enforcement actions against them, and therefore very 
little enforcement data associated with them beyond routine compliance 
monitoring.
    Subprogram data elements can be found on any of the major 
submissions, but are primarily contained in the applicable annual 
reports. Each of the data types and possible submissions and their 
frequencies has been evaluated for proper mapping into the EA.
(g) Time Required To Enter Data Elements
    Understanding how long it takes to enter data elements is a 
critical component of the EA. Nine states were surveyed to develop this 
information. Each respondent was asked to estimate the time it took 
them to enter various types of data elements. Respondents were grouped 
according to whether they were in a direct entry, batch entry or hybrid 
state, and average data entry times were computed for each data element 
within each group of states. The EA uses the data entry times from the 
survey to estimate how much time states, tribes, and territories will 
spend entering different types of data elements.
(h) Labor Costs of Data Entry
    Labor rates for the rulemaking are taken from the Bureau of Labor 
Statistics. Several hourly rates are used, depending on the type of 
work and whether the worker is a government or private sector worker.

[[Page 64084]]

(i) System Development Costs
    As described in Section II, EPA intends to develop electronic 
reporting systems for each of the reports covered by this rule--DMRs, 
NOIs, and program reports. Those EPA-developed systems will be offered 
to all of the states, tribes, territories, and permittees for their 
use. The cost of developing those reporting systems by EPA and the 
infrastructure to accommodate them were calculated and documented in a 
series of technical reports, and comprise the majority of the EPA HQ 
implementation costs as reported by the EA. EPA intends to encourage 
third-party development of electronic reporting systems. Ultimately 
each authorized state, tribe, and territory will decide whether to use, 
and allow their permittees to use, the EPA-provided electronic 
reporting systems or other systems. Each state, tribe, and territory 
has the option of adopting one or more of the EPA systems and rejecting 
the others. Although EPA is building, and making available, a 
comprehensive set of systems, the EA includes certain state, tribe, and 
territory costs to modify and expand their electronic reporting 
systems.
    The costs of modifying ICIS and the state, tribe, and territory 
NPDES data systems are somewhat different. Each of the authorized 
states, tribes, or territories either has its own data system, or uses 
ICIS-NPDES. All of these data systems are thought to need some degree 
of modification to accept the additional data elements, and in the case 
of state, tribe, and territory data systems, to share that data with 
EPA. EPA developed an estimate of its costs to modify ICIS. The EA 
includes those EPA costs, and uses those costs to estimate the cost of 
database changes in the states, tribes, and territories. The EA uses 
this approach because EPA does not have detailed information about the 
data structures in the states, tribes, and territories. The EA does 
take the available information about state, tribe, and territory data 
systems into consideration.
    All of these system development expenditures are included in the 
implementation costs of the rule, most of which are expended by EPA 
prior to rule promulgation and by the states, tribes, and territories 
within the first year after the effective date of the rule under the 
implementation schedule described in Section VII.
    The EA also estimates marginal operation and maintenance (O&M) 
costs, over and above current annual costs, for EPA to support the 
systems required by the rule. It assumes there are no incremental O&M 
costs for states, tribes, and territories specifically to maintain the 
upgraded electronic systems (although it does include other ongoing 
costs, such as data entry). EPA estimates that most of the state 
compliance costs will take place in the first few years after the final 
rule.
(j) Additional Implementation Activities
    In addition to system development costs, the EA includes the costs 
to EPA and the states, tribes, and territories of the following 
activities associated with the implementation of the rule:
     Authorized NPDES programs making decisions regarding their 
initial recipient status;
     Authorized NPDES programs demonstrating their attorneys 
general accept electronic signatures in lieu of physical signature, 
thereby certifying compliance with CROMERR;
     Authorized NPDES programs preparing IPs and EPA review of 
those plans;
     Authorized NPDES programs updating their Memoranda of 
Agreement with their Regional Administrator;
     Authorized NPDES program and EPA developing criteria for 
temporary and permanent waivers from electronic reporting;
     Authorized NPDES program and EPA coordination via training 
webinars;
     EPA assessing participation rates and, where appropriate, 
conducting oversight using its CWA authority and ICR to compel NPDES-
regulated entities to utilize their NPDES program's electronic 
reporting system; and,
     Authorized NPDES programs and EPA modifying permits to 
require electronic submissions.
    The EA does not attempt to estimate the costs the states, tribes, 
and territories will incur to revise their statutes or regulations to 
implement the changes required by this rule.
(k) Consolidating Summary Reports
    When the rule is fully implemented, EPA would essentially have 
complete data on almost the entire NPDES universe of permittees. As a 
result, EPA HQ will have all of the data necessary to prepare the 
Annual Notice of Non-Compliance, the Quarterly Non-Compliance Report, 
and the Semi-Annual Statistical Summary Report, all currently required 
from NPDES-authorized states, tribes, and territories by 40 CFR 123.45.
    For that reason, the rule replaces all of those reports with a 
single report generated by EPA HQ using the data in the data systems 
after implementation of the rule. The EA estimates the reduced burden 
on the states, tribes, and territories as a result of this reporting 
change.
(l) Paper and Postage Savings
    As described in Section II, the majority of permittee submittals 
are being sent to the states, tribes, and territories on paper. Each of 
those submittals therefore requires paper, an envelope, and postage.
    Converting to electronic reporting under this rule will eliminate 
paper submittals of the covered reports for the vast majority of 
permittees. The EA estimates the percentage of permittees that will be 
required to use electronic reporting, the number and mix of reports 
they submit annually, as well as the number of pages in each report, 
and the required postage.
(m) Registration, Electronic Signatures Agreements and Training
    Instituting electronic reporting will entail some effort from the 
permittees. The EA assumes that every permittee will have to take 
certain steps in order to begin reporting electronically, whether they 
report directly to EPA or to their respective state, tribe, or 
territory. The EA incorporates available data about the extent to which 
regulated entities are using electronic reporting systems to submit 
DMRs and assumes these entities will not bear additional registration 
and training costs.
    There are some differences in the costs to different permittees, 
based on the activities they are engaged in, and these differences have 
been included in the EA. To use the electronic reporting system for 
NetDMR and NeT, individual regulated entities will need to register for 
accounts, either on EPA's Central Data Exchange (CDX) or a similar data 
portal provided by their authorized NPDES program. Most regulated 
entities (excluding construction operators in states that allow a 
Hybrid Approach, as discussed in Section V) will also need to mail 
their authorized NPDES program an electronic signature agreement (ESA) 
stating that their electronic personal identification number (PIN) is 
the legal equivalent of their written signature.
    NetDMR or authorized NPDES program eDMR systems are sufficiently 
complex that many regulated entities will need training to effectively 
use them. The EA assumes this training will be conducted online. 
Experience with currently operating systems has shown that training is 
not necessary for submitting NOIs or program reports electronically, as 
these systems are less complicated. General permit facilities would 
also use these less complicated systems to submit DMRs and, therefore, 
not require training.

[[Page 64085]]

    The EA also assumes that some permittees would bear additional 
minor implementation costs associated with electronic reporting 
registration to satisfy EPA's CROMERR requirements. Specifically, some 
entities would need to acquire a new business email address and 
entities that report less frequently than every 90 days would need to 
reset their password when they report. Including registration, ESA, 
training, and these minor costs, the EA estimates total initial 
implementation costs for individual permittees of $314 or less, with an 
additional recurring cost for some permittees of approximately $6 when 
the permittee must reset their password. The EA also assumes that EPA 
would take over initial recipient status under 40 CFR 127.27(d) in two 
states during the ten year period covered by the analysis. Permittees 
in these states would need to re-register at an additional cost of $277 
or less as most electronic signing credentials are not transferrable 
from one electronic reporting system to another.
(n) Reporting During the Transition Period
    As discussed in Section V, during the initial implementation 
period, certain regulated entities might be required to submit data to 
their authorized state program both electronically and on paper. This 
dual reporting during the transition would involve copying information 
from paper forms into the appropriate state electronic reporting system 
and would occur only under certain conditions (e.g., the regulated 
entity's permit conditions explicitly require paper reporting, the 
authorized state does not use its enforcement discretion, and the 
permittee does not consent to a minor modification of its permit). The 
EA incorporates the cost of such dual reporting for a portion of the 
affected universe. It assumes the actual number of regulated entities 
affected and the resulting cost will decrease over the course of the 
transition period, as permits are modified to require electronic, 
instead of paper reporting, either on the normal permit cycle or as a 
result of state implementation activities. Therefore, the EA assumes 
dual reporting will cease once the rule is fully implemented, five 
years after the effective date of the rule. The EA estimates the 
additional cost to permittees of such dual reporting at $86 or less per 
affected entity per year.

D. Summary of Costs and Savings

    The EA for this final rule estimates savings and costs over a ten-
year period, beginning on the date that the rule would become final. 
Applying a 3% discount rate, and using 2014 dollars, the largest annual 
savings are $44.0 million during the first year of electronic reporting 
(Year 1 in Table 6 and Table 7). During the ten-year period, the 
highest annual costs are $74.4 million during the first year after the 
effective date of the rule (Year 0 in Table 6 and Table 7). Annual 
costs are significantly less in all other years. Cumulative savings for 
the ten-year period are $406.4 million while cumulative costs are 
$250.4 million. As a result the overall economic effect of this rule is 
a net cumulative savings of $156.0 million over the ten years of the 
projection.
    The following tables summarize the EA cost and savings using the 3% 
(Table 6) and 7% (Table 7) discount rates as required by EPA's EA 
guidance in 2014 dollars. Each table shows the annual costs and 
savings. The ``breakeven point'' is the date after the final rule when 
the cumulative savings exceed cumulative costs.
    There are both qualitative and quantitative benefits associated 
with this final rule. EPA has estimated some of the benefits of this 
rule by performing calculations based on: the reporting universe; 
reporting frequencies and required data; changes in who reports the 
data; systems and infrastructure changes to make the reporting 
possible; and the schedule for implementation. Using a 3% discount 
rate, and 2014 dollars, the annual total net benefits at full 
implementation (five years after the effective date of the rule) 
associated with reduced paperwork and management of information are 
approximately $26 million, with 93% of those savings going to the 
states, tribes, and territories.
    Additional benefits associated with the rule include the potential 
for improved compliance and allow for better government and public 
decision making; however, EPA was unable to monetize these benefits. 
EPA was able to develop a rough monetary estimate of the benefits 
associated with reductions in errors in the reported data resulting 
from the rule that benefit both regulated entities and permitting 
authorities. Using information on the number of errors typically 
associated with DMR submissions, EPA developed a rough estimate of the 
potential time and cost savings that permitted authorities might 
experience annually from no longer having to correct errors in DMR 
data. Specifically, EPA estimates total time and cost saving of 130 
full-time equivalents (FTEs) and $9.3 million in wages.
    The cost of implementing the final rule during the first year after 
the effective date is approximately $74.4 million. The cost is 
estimated to drop to a $20.1 million or less per year in subsequent 
years, once electronic reporting begins (assuming a 3% discount rate). 
During the first year of electronic reporting (Year 1 in Table 6 and 
Table 7), annual savings greatly outweigh annual costs, resulting in 
net savings of approximately $23.9 million per year, with similar net 
savings in subsequent years.

                         Table 6--Ten-Year Projected Costs and Savings--3% Discount Rate
----------------------------------------------------------------------------------------------------------------
                                                                                                   Regulated
                Year                  EPA  headquarters     EPA regions           States            entities
----------------------------------------------------------------------------------------------------------------
                                                      Costs
----------------------------------------------------------------------------------------------------------------
0...................................         $9,720,000           $400,000        $43,100,000        $21,160,000
1...................................          1,040,000             30,000         18,060,000          1,010,000
2...................................          1,230,000             30,000         17,530,000            930,000
3...................................            940,000             30,000         17,020,000          1,240,000
4...................................            850,000             30,000         16,520,000            800,000
5...................................            830,000             30,000         16,000,000            740,000
6...................................          1,330,000             30,000         15,440,000            710,000
7...................................            880,000             30,000         14,990,000            690,000
8...................................            760,000             30,000         14,550,000          1,000,000
9...................................            730,000             30,000         14,130,000            650,000
10..................................            710,000             30,000         13,800,000            630,000
----------------------------------------------------------------------------------------------------------------

[[Page 64086]]

 
                                                  Cost Savings
----------------------------------------------------------------------------------------------------------------
0...................................  .................                $--                $--                $--
1...................................  .................        (2,280,000)       (40,530,000)        (1,210,000)
2...................................  .................        (2,210,000)       (39,350,000)        (1,210,000)
3...................................  .................        (2,150,000)       (38,200,000)        (1,210,000)
4...................................  .................        (2,090,000)       (37,090,000)        (1,210,000)
5...................................  .................        (2,040,000)       (38,610,000)        (1,250,000)
6...................................  .................        (2,060,000)       (38,210,000)        (1,220,000)
7...................................  .................        (2,000,000)       (37,100,000)        (1,180,000)
8...................................  .................        (1,940,000)       (36,020,000)        (1,150,000)
9...................................  .................        (1,890,000)       (34,970,000)        (1,110,000)
10..................................  .................        (1,830,000)       (33,950,000)        (1,080,000)
----------------------------------------------------------------------------------------------------------------


                         Table 7--Ten-Year Projected Costs and Savings--7% Discount Rate
----------------------------------------------------------------------------------------------------------------
                                                                                                   Regulated
                Year                  EPA  headquarters     EPA regions           States            entities
----------------------------------------------------------------------------------------------------------------
                                                      Costs
----------------------------------------------------------------------------------------------------------------
0...................................         $9,720,000           $400,000        $43,100,000        $21,160,000
1...................................          1,000,000             30,000         17,380,000            970,000
2...................................          1,140,000             30,000         16,240,000            870,000
3...................................            840,000             20,000         15,180,000          1,100,000
4...................................            730,000             20,000         14,190,000            690,000
5...................................            680,000             20,000         13,220,000            610,000
6...................................          1,050,000             20,000         12,280,000            570,000
7...................................            680,000             20,000         11,480,000            530,000
8...................................            560,000             20,000         10,730,000            730,000
9...................................            520,000             20,000         10,030,000            460,000
10..................................            490,000             20,000          9,430,000            430,000
----------------------------------------------------------------------------------------------------------------
                                                  Cost Savings
----------------------------------------------------------------------------------------------------------------
0...................................                $--                $--                $--                $--
1...................................                $--        (2,200,000)       (39,010,000)        (1,170,000)
2...................................                $--        (2,050,000)       (36,460,000)        (1,120,000)
3...................................                $--        (1,920,000)       (34,070,000)        (1,080,000)
4...................................                $--        (1,790,000)       (31,850,000)        (1,040,000)
5...................................                $--        (1,690,000)       (31,910,000)        (1,040,000)
6...................................                $--        (1,640,000)       (30,410,000)          (970,000)
7...................................                $--        (1,530,000)       (28,420,000)          (910,000)
8...................................                $--        (1,430,000)       (26,560,000)          (850,000)
9...................................                $--        (1,340,000)       (24,820,000)          (790,000)
10..................................                $--        (1,250,000)       (23,200,000)          (740,000)
----------------------------------------------------------------------------------------------------------------

VII. Regulatory Implementation

A. Overview of Regulatory Implementation Schedule

    EPA developed the implementation schedule for this final rule after 
careful analysis and extensive consultation with authorized NPDES 
programs and many other stakeholders. This implementation schedule 
balances the goals and benefits of electronic reporting with the 
practical challenges facing authorized NPDES programs and regulated 
entities. For example, some authorized NPDES programs noted that they 
compete against other agencies for the time and resources of a central 
shared information technology staff. For these authorized NPDES 
programs the IP may need to be tailored to account for their unique 
circumstances. The transition from paper to electronic reporting will 
require close coordination and cooperation between EPA and authorized 
NPDES programs. These IPs will provide an effective means for 
documenting all necessary tasks for a timely and orderly transition to 
electronic reporting.
    As previously noted, the benefits of this final rule include 
accelerated resource savings that states, tribes, and territories will 
realize through reduced data entry burden and reduced effort in 
responding to public requests for data, consistent requirements for 
electronic reporting across all states, tribes, and territories, 
increased data quality, and more timely access to NPDES program data in 
an electronic format for EPA, states, tribes, and territories, 
regulated entities, and the public. These benefits and savings will be 
realized sooner the more quickly a state can implement the final rule. 
Under the final rule, a complete set of information for the regulated 
universe will be required no later than five years after the effective 
date of the final rule. In this final rule, EPA is adopting the 
timeline recommended by authorized NPDES programs and if participation 
goals are not met, EPA will issue individual notices to require NPDES-
regulated entities to use the authorized NPDES program's electronic 
reporting system. The combination of the deadlines in this

[[Page 64087]]

final rule, current technology, and EPA's plan to issue individual 
notices will help maintain a steady and measurable pace towards 
electronic reporting in a reasonable time period.
    Given the different types of NPDES program data, EPA is phasing in 
the electronic collection, management, and transfer of NPDES program 
data (appendix A to 40 CFR part 127) on the following schedule. A 
chronological listing of implementation activities are provided in 
Table 8.
     Phase 1 Data: Authorized NPDES programs are required to 
transmit to EPA basic facility and permit information (see list of data 
elements in DCN 0007) for all permits as well as other data necessary 
for implementation of Phase 1 data collection within nine months after 
the effective date of the final rule. One year after the effective date 
of the final rule authorized NPDES programs will also start 
electronically transmitting to EPA their state performance data, which 
includes information generated from compliance monitoring (e.g., 
inspections), violation determinations, and enforcement actions. 
Additionally, one year after the effective date of the final rule, 
NPDES regulated entities that are required to submit DMRs (majors and 
nonmajors, individually permitted facilities and facilities covered by 
general permits) must do so electronically. EPA and authorized NPDES 
programs will begin electronically receiving these DMRs from all DMR 
filers and start sharing these data with each other. One year after the 
effective date of the final rule, all NPDES regulated entities in 
states where EPA is the authorized NPDES biosolids program (currently 
42 of 50 states and all other tribal lands and territories) must 
electronically submit their Sewage Sludge/Biosolids Annual Program 
Report to EPA.
     Phase 2 Data: Authorized NPDES programs have five years to 
begin electronically collecting, managing, and sharing the remaining 
set of information in appendix A in 40 CFR part 127. This information 
includes: (1) General permit reports [Notice of Intent to be covered 
(NOI); Notice of Termination (NOT); No Exposure Certification (NOE); 
Low Erosivity Waiver and Other Waivers from Stormwater Controls (LEW)]; 
Sewage Sludge/Biosolids Annual Program Report (where the state is the 
authorized NPDES biosolids program); and all other remaining NPDES 
program reports (e.g., CAFO Annual Report, Pretreatment Program Annual 
Report). Authorized NPDES programs will also share with EPA all data 
necessary for implementation of Phase 2 data collection three months 
before the Phase 2 deadline (e.g., general permit parameters). 
Additionally, one year after the effective date of the final rule, 
authorized NPDES programs are required to submit an IP for meeting the 
Phase 2 data requirements to EPA for EPA to review.
     NNCR and Other State Reporting: EPA will replace a number 
of currently required state reports (e.g., QNCR and ANCR) with the new 
NNCR when EPA has more a timely, complete, more accurate, and 
nationally-consistent set of data about the NPDES program. Full 
implementation of the NNCR and phase out of certain state reports will 
only be possible one full year after full implementation of Phase 2 
data collection. A complete set of Phase 1 and 2 data are necessary to 
develop and produce the NNCR.

       Table 8--Chronological Listing of Implementation Activities
------------------------------------------------------------------------
               Key milestones                            Date
------------------------------------------------------------------------
Final NPDES Electronic Reporting Rule--      Sixty days after
 Effective Date.                              publication in the Federal
                                              Register.
Authorized NPDES programs will start         Effective Date of Final
 incorporating the new electronic reporting   Rule.
 requirements into new or re-issued NPDES
 permits upon the effective date of this
 final rule. Authorized NPDES programs can
 incorporate electronic reporting
 requirements into NPDES permits through
 use of a minor modification process [see
 40 CFR 122.63(f)].
A state, tribe, or territory that seeks      90 days after the Effective
 authorization to implement an NPDES          Date of Final Rule.
 program must describe if it is requesting
 to be the initial recipient of electronic
 NPDES information from NPDES-regulated
 facilities for specific NPDES data groups.
 See 40 CFR 123.22(g) and appendix A to 40
 CFR part 127.
Authorized NPDES programs will decide the    120 days after the
 NPDES data groups for which they wish to     Effective Date of Final
 be the initial recipient of electronic       Rule.
 NPDES information from NPDES-regulated
 entities. The final rule uses an `opt-out'
 approach so these authorized programs will
 need to provide notice to EPA if they wish
 for EPA to be the initial recipient for
 one or more of their NPDES data groups.
 These notices should be sent to EPA within
 120 days of the effective date of the
 final rule.
EPA will publish on its Website and in the   210 days after the
 Federal Register a listing of the initial    promulgation date for the
 recipients for electronic NPDES              Final Rule.
 information from NPDES-regulated entities
 by state, tribe, or territory and by NPDES
 data group. This listing will provide
 NPDES-regulated entities the initial
 recipient of their NPDES electronic data
 submissions and the due date for these
 NPDES electronic data submissions.
Authorized NPDES programs will               Within nine months of the
 electronically transmit to EPA basic         Effective Date of Final
 facility and permit information (see list    Rule.
 of data elements in DCN 0007) for all
 permits as well as other data necessary
 for implementation of Phase 1 data
 collection within nine months after the
 effective date of the final rule.
 Authorized NPDES programs often collect
 these data from paper individual NPDES
 permit applications and forms submitted by
 NPDES regulated entities; however, some
 states collect these data from NPDES
 regulated entities through electronic
 reporting systems.
One year after the effective date of the     Starting one year after the
 final rule, authorized NPDES programs will   Effective Date of Final
 start sharing with EPA their state           Rule.
 performance data, which includes
 information generated from compliance
 monitoring (e.g., inspections), violation
 determinations, and enforcement actions.
EPA and authorized NPDES programs will       Starting one year after the
 begin electronically receiving DMRs from     Effective Date of Final
 all DMR filers [40 CFR 122.41(l)(4)] and     Rule.
 start sharing these data with the
 designated EPA and state NPDES data
 systems.
All NPDES regulated entities in states       Starting one year after the
 where EPA is the authorized NPDES            Effective Date of Final
 biosolids program (currently 42 of 50        Rule.
 states and all other tribal lands and
 territories) must electronically submit
 their Sewage Sludge/Biosolids Annual
 Program Reports [40 CFR part 503] to EPA.

[[Page 64088]]

 
Authorized NPDES programs will submit an IP  One year after the
 to EPA for EPA's review to ensure that       Effective Date of Final
 authorized NPDES programs will meet the      Rule.
 Phase 2 electronic reporting deadline. The
 content of these plans must provide enough
 detail (e.g., tasks, milestones, roles and
 responsibilities, necessary resources) to
 ensure that EPA and authorized NPDES
 programs can work together to successfully
 implement electronic reporting. The IP
 will also document the process for
 evaluating and approving temporary and
 permanent electronic reporting waivers
 from NPDES regulated entities.
EPA will separately calculate the            Eighteen months after the
 electronic reporting participation rate      Effective Date of Final
 for each authorized NPDES program and for    Rule and annually
 DMRs and the Sewage Sludge/Biosolids         thereafter.
 Annual Program Reports. EPA will assess
 the electronic reporting participation
 rate for individually permitted facilities
 separate from the electronic reporting
 participation rate for general permit
 covered facilities for DMRs.
Per existing NPDES regulations [see 40 CFR   Two years after the
 123.62(e)], authorized states, tribes, and   Effective Date of Final
 territories will finish any necessary        Rule.
 regulatory or statutory changes to their
 NPDES programs.
Authorized NPDES programs will               Within four years and nine
 electronically transmit to EPA the data      months of the Effective
 necessary for implementation of Phase 2      Date of Final Rule.
 data collection (three months prior to
 Phase 2 deadline).
NPDES regulated entities will start          Starting five years after
 electronically submitting their Phase 2      the Effective Date of
 data. This information includes:             Final Rule.
     General Permit Reports
     [Notices of Intent to discharge
     (NOIs); Notices of Termination (NOTs);
     No Exposure Certifications (NOEs); Low
     Erosivity Waivers or Other Waivers
     from Stormwater Controls (LEWs)] [40
     CFR 122.26(b)(15), 122.28 and 124.5];
     Sewage Sludge/Biosolids Annual
     Program Reports [40 CFR part 503]--
     where the state is the authorized
     NPDES program;
     Concentrated Animal Feeding
     Operation (CAFO) Annual Program
     Reports [40 CFR 122.42(e)(4)];
     Municipal Separate Storm Sewer
     System (MS4) Program Reports [40 CFR
     122.34(g)(3) and 122.42(c)];
     Pretreatment Program Reports
     [40 CFR 403.12(i)];
     Significant Industrial User
     Compliance Reports in Municipalities
     Without Approved Pretreatment Programs
     [40 CFR 403.12(e) and (h)];
     Sewer Overflow/Bypass Event
     Reports [40 CFR 122.41(l)(4), (l)(6)
     and (7), (m)(3)]; and
     CWA section 316(b) Annual
     Reports [40 CFR part 125, subpart J]
Authorized NPDES programs will also need to  Starting five years after
 re-submit their waiver process               the Effective Date of
 descriptions to EPA for review on a five     Final Rule.
 year cycle. EPA will inform the state if
 its waiver process description is
 inadequate. This will allow EPA and
 authorized NPDES programs to assess the
 effectiveness of the waiver process
 against advances in information technology.
EPA will separately calculate the            Five years and six months
 electronic reporting participation rate      after the Effective Date
 for each authorized NPDES program and for    of Final Rule and annually
 each NPDES data group.                       thereafter.
Upon successful implementation of Phase 1    Starting six years after
 and 2, authorized NPDES programs will stop   the Effective Date of
 generating the Quarterly Non-Compliance      Final Rule.
 Report (QNCR), the Annual Non-Compliance
 Report (ANCR), the Semi-Annual Statistical
 Summary Report, and the part 501 annual
 biosolids report.
EPA will starting publishing the NPDES       Starting six years after
 Noncompliance Report (NNCR).                 the Effective Date of
                                              Final Rule with annual and
                                              quarterly updates
                                              thereafter.
------------------------------------------------------------------------

B. Roles and Responsibilities

1. Authorized NPDES Programs
    This rule does not change the governing responsibilities of 
authorized NPDES programs or EPA. Authorized NPDES programs will start 
incorporating the new electronic reporting requirements into new or re-
issued NPDES permits upon the effective date of this final rule. For 
example, changes to 40 CFR 122.41 must be incorporated into any NPDES 
permit that is issued on or after the effective date of this final 
rule.
    Authorized NPDES programs will decide the NPDES data groups for 
which they wish to be the initial recipient of electronic NPDES 
information from NPDES-regulated entities. The final rule uses an `opt-
out' approach so these authorized programs will need to provide notice 
to EPA if they wish for EPA to be the initial recipient for one or more 
of their NPDES data groups. These notices should be sent to EPA within 
120 days of the effective date of the final rule.
    Authorized NPDES programs will electronically transmit to EPA basic 
facility and permit information (see list of data elements in DCN 0007) 
for all permits as well as other data necessary for implementation of 
Phase 1 data collection within nine months after the effective date of 
the final rule. Authorized NPDES programs often collect these data from 
paper individual NPDES permit applications and forms submitted by NPDES 
regulated entities; however, some states collect these data from NPDES 
regulated entities through electronic reporting systems.
    One year after the effective date of the final rule, authorized 
NPDES programs will start sharing with EPA their state performance 
data, which includes information generated from compliance monitoring 
(e.g., inspections), violation determinations, and enforcement actions. 
Additionally, no later than one year after the effective date of the 
final rule, EPA and authorized NPDES programs will begin electronically 
receiving DMRs from all DMR filers and start sharing these data with 
the designated EPA and state NPDES data systems. To support the 
electronic collection, management, and sharing of DMR data, authorized 
NPDES programs will need to update their technology and infrastructure. 
For example, authorized NPDES programs may elect to use EPA's NPDES 
data system (ICIS-NPDES) and electronic reporting system (NetDMR) to 
collect, manage, and share DMR data or authorized NPDES programs may 
choose devote their resources to develop their own such

[[Page 64089]]

data systems while meeting the regulatory requirements of 40 CFR part 3 
(including, in all cases, subpart D), 40 CFR 122.22, and 40 CFR part 
127. EPA will continue to closely work with authorized NPDES programs 
to help them develop their NPDES data systems in a cost-effective 
manner.
    Authorized NPDES programs will also likely need to provide training 
materials and resources to NPDES regulated entities (e.g., staff time 
to answer questions from NPDES regulated entities). These training 
materials and resources will help provide NPDES regulated entities with 
the necessary guidance and knowledge to utilize the appropriate 
electronic reporting system. In particular, NPDES regulated entities 
will need to learn how to obtain an electronic signature as well as how 
to register and maintain their login information for the appropriate 
electronic reporting system.
    Similarly, no later than five years after the effective date of the 
final rule EPA and authorized NPDES programs will start electronically 
receiving Phase 2 data from all NPDES regulated entities and start 
sharing these data with the designated EPA and state NPDES data 
systems. Authorized NPDES programs will submit an IP to EPA for EPA's 
review to ensure that authorized NPDES programs will meet this Phase 2 
deadline. The content of these plans must provide enough detail (e.g., 
tasks, milestones, roles and responsibilities, necessary resources) to 
ensure that EPA and authorized NPDES programs can work together to 
successfully implement electronic reporting. See Section V.B.2. These 
IPs need to be submitted to EPA for review within one year of the 
effective date of the final rule. EPA will inform the state if its 
implementation plan is inadequate. EPA will post the IPs on its Web 
site to provide the public with greater transparency on the milestones 
and tasks each state will be taking to move towards electronic 
reporting. Authorized NPDES program will also share with EPA all data 
necessary for implementation of Phase 2 data collection three months 
before the applicable Phase 2 deadline. EPA will work with each 
authorized NPDES program to identify the appropriate deadline for the 
Phase 2 implementation data. Authorized NPDES programs will also need 
to update their state NPDES data system to support electronic reporting 
as well as develop training materials and resources for NPDES regulated 
entities.\12\
---------------------------------------------------------------------------

    \12\ EPA notes that some authorized NPDES programs have adopted 
EPA's national NPDES data system (ICIS-NPDES).
---------------------------------------------------------------------------

    Finally, authorized NPDES programs will also need to document and 
submit to EPA for approval their process for evaluating and approving 
temporary and permanent electronic reporting waivers from NPDES 
regulated entities. This discussion will be contained in the IP. 
Authorized NPDES programs will also need to re-submit their waiver 
process descriptions to EPA for review on a five year cycle. EPA will 
inform the state if its waiver process description is inadequate. This 
will allow EPA and authorized NPDES programs to assess the 
effectiveness of the waiver process against advances in information 
technology. To facilitate an orderly transition to electronic 
reporting, authorized NPDES programs may issue temporary waivers to DMR 
filers prior to EPA's review of the program's IP or waiver process 
description submission to EPA. These waivers may not have a duration 
longer than five years.
    EPA estimates that some authorized NPDES programs may need to 
update their regulations or statutes to make clear that electronic 
reporting is required for the reports listed in Table 1 of appendix A 
and that these electronic submissions must be compliant with 40 CFR 
part 127 (including appendix A) and 40 CFR part 3 (including, in all 
cases, subpart D) (CROMERR--authentication and encryption standards). 
Existing EPA regulations at 40 CFR 123.62(e) require that any updates 
to the authorized NPDES program take place within one-year of the 
effective date of the final rule (if only a regulatory change is 
required) and within two years of the effective date of the final rule 
(if a state statute change is required). Accordingly, all authorized 
NPDES programs should complete any necessary updates to their state 
regulations and statutes within two years of the effective date of the 
final rule.
    Finally, the final rule will also lighten the reporting burden 
currently placed on the authorized NPDES programs. Upon successful 
implementation of Phase 1 and 2, the final rule will provide authorized 
NPDES programs with regulatory relief from reporting associated with 
the Quarterly Non-Compliance Report (QNCR), the Annual Non-Compliance 
Report (ANCR), the Semi-Annual Statistical Summary Report, and the 
biosolids information required to be submitted to EPA annually by 
authorized NPDES programs. EPA will coordinate the switch over from the 
existing set of state reporting requirements to the new EPA generated 
NNCR.
2. NPDES Regulated Entities
    NPDES permitted entities should expect to see new electronic 
reporting requirements in NPDES permits that are issued on or after the 
effective date of this final rule. In particular, NPDES permitted 
entities will be required to identify the initial recipient for their 
NPDES data submissions (in compliance with 40 CFR 122.41). In 
particular, NPDES permittees will consult EPA's Web site to identify 
the initial recipient for their NPDES data submissions. EPA will update 
and maintain the listing of initial recipients.
    NPDES permitted entities should expect to electronically submit 
their DMRs no later than one year after the effective date of the final 
rule. NPDES permittees will need to be familiar on how to 
electronically report their DMRs using the approved electronic 
reporting system. Their permitting authority will provide training 
materials and resources to help NPDES regulated entities with the 
necessary guidance and knowledge to utilize the appropriate electronic 
reporting system. In particular, NPDES regulated entities will need to 
learn how to register and maintain an electronic signature as well as 
how to register and maintain their login information for the 
appropriate electronic reporting system.
    Similarly, five years after the effective date of the final rule, 
NPDES regulated entities will start electronically submitting their 
Phase 2 data. NPDES permitted entities will identify the initial 
recipient for their Phase 2 data submissions (in compliance with 40 CFR 
122.41) by consulting with EPA's Web site. EPA's Web site will also 
provide notice of the deadline for these Phase 2 electronic data 
submissions and information on the approved electronic reporting 
systems. NPDES regulated entities should also note that they may be 
required to use more than one electronic reporting system for their 
Phase 1 and 2 data submissions. For example, a POTW may be required to 
use a state e-DMR system to electronically report its DMRs (as the 
state is the authorized NPDES program for NPDES permits) and EPA's NeT 
to report their Sewage Sludge/Biosolids Annual Program Report (as EPA 
is the NPDES program for the Federal biosolids program). For NPDES-
regulated entities that will use EPA's electronic reporting systems, 
EPA will work closely with states, tribes, territories, and NPDES-
regulated entities to provide sufficient training and registration 
support prior to the start of each implementation phase.
    Finally, as previously noted, the purpose of appendix A is to 
ensure that

[[Page 64090]]

there is consistent and complete reporting nationwide, and to expedite 
the collection and processing of the data, thereby reducing burden and 
making the data more timely, accurate, complete, useful, and 
transparent for everyone. This final rule changes the mode of 
transmission of NPDES data but does not increase the amount of NPDES 
information required to be reported under existing regulations. The 
evolution of appendix A reflects over ten years of EPA working closely 
with the states to identify the critical data elements that permitting 
authorities need to implement the NPDES program.
3. EPA
    EPA Regions that issue NPDES permits will continue to incorporate 
electronic reporting requirements into new or re-issued NPDES permits 
and will be required to do so upon the effective date of this final 
rule. EPA will also incorporate the final rule requirements into the 
few nationwide permits that it issues in accordance with the rule's 
implementation schedule. This will help communicate and confirm the 
electronic reporting responsibilities of NPDES regulated entities.
    EPA Headquarters will hold regular teleconferences and webinars 
with authorized NPDES programs during the transition period from paper 
reporting to electronic reporting to assist with data collection, 
management, and sharing activities. EPA will use these teleconferences 
and webinars to address general issues associated with electronic 
reporting as well as specific state needs and questions.
    EPA will also coordinate with authorized NPDES programs and update 
the data sharing process to include all the required set of NPDES 
program data (appendix A to 40 CFR part 127) between EPA and the 
authorized NPDES programs (see DCN 0191 for an overview of the current 
data sharing process). EPA will also update its data systems (e.g., 
ICIS-NPDES, NetDMR, NeT) to incorporate all the required set of NPDES 
program data. EPA will prioritize its actions to first support the 
collection, management, and sharing of Phase 1 data. EPA will continue 
to closely work with authorized NPDES programs to help them develop 
their NPDES data systems in a cost-effective manner. This includes 
providing training materials and resources to states that adopt EPA's 
data systems [e.g., Central Data Exchange (CDX), CROMERR shared 
services, ICIS-NPDES, NetDMR, NeT].
    EPA will maintain the initial recipient list for each state and by 
each NPDES data group and will publish this list on its Web site and in 
the Federal Register as changes occur. EPA will first publish this 
listing within 180 days of the effective date of the final rule. This 
listing will provide NPDES-regulated entities the initial recipient of 
their NPDES electronic data submissions and the due date for these 
NPDES electronic data submissions.
    One year after the effective date of the final rule, EPA will 
receive state performance data, which includes information generated 
from compliance monitoring (e.g., inspections), violation 
determinations, and enforcement actions, in its national NPDES data 
system (i.e., ICIS-NPDES). EPA will do the same for the data that it 
generates from its own inspections, violation determinations, and 
enforcement actions. Additionally, one year after the effective date of 
the final rule, EPA and authorized NPDES programs will begin 
electronically receiving DMRs from all DMR filers and start sharing 
these data with each other. Additionally, one year after the effective 
date of the final rule EPA will electronically collect and manage data 
from Sewage Sludge/Biosolids Annual Program Reports that are submitted 
by NPDES regulated entities in states where EPA is the authorized NPDES 
biosolids program (currently 42 of 50 states and all other tribal lands 
and territories).
    Under the implementation schedule for this final rule, the Agency 
will assess the electronic reporting participation rate of NPDES 
regulated entities in each state and by each data group to determine 
when it would be appropriate to use its individual notices to compel 
electronic reporting. For example, EPA would likely use individual 
notices when the authorized state, tribe, or territory has less than 
90-percent participation rate for one or more data groups (e.g., MS4 
program reports). EPA will separately calculate the participation rate 
for each state and for each data group no later than six months after 
the deadline for conversion from paper to electronic submissions (e.g., 
18 months after the effective date of the final rule for DMRs). As 
appropriate, EPA will then send notice to the NPDES regulated entities 
that are not utilizing electronic reporting (e.g., 21 months after the 
effective date of the final rule for DMRs). This notice will direct 
NPDES regulated entities to use their authorized NPDES program's 
electronic reporting system. Failure to comply with this notice will 
result in noncompliance with the CWA and may result in penalties. EPA 
will repeat its review of the participation rate for each state and for 
each data group on an annual basis, as needed, and send out notices as 
appropriate.
    Similar to Phase 1 implementation, no later than five years after 
the effective date of the final rule EPA and authorized NPDES programs 
will begin electronically receiving Phase 2 data from all NPDES 
regulated entities and start sharing these data with each other. EPA 
will review the Phase 2 data IPs from authorized NPDES programs. This 
IP will also include a description of the program's waiver approval 
processes. EPA will finish its review of these IPs and waiver process 
descriptions no later than six months after receipt. EPA will inform 
the state if its implementation plan or waiver process description is 
inadequate. EPA will post these IPs and waiver process description 
notices on its Web site to provide the public with greater transparency 
on the milestones and tasks each state will be taking to move towards 
electronic reporting.
    Finally, EPA will work with authorized NPDES programs to develop 
the NNCR. Upon successful implementation of Phase 1 and 2, EPA will 
work with authorized NPDES programs to coordinate the switch over from 
the existing set of state reporting requirements (i.e., QNCR, ANCR, the 
Semi-Annual Statistical Summary Report, and the biosolids information 
required to be submitted to EPA annually by states) to the new EPA 
generated NNCR. EPA will publish the NNCR on its Web site on a 
quarterly basis.

C. Other Aspects of Regulatory Implementation

1. Copy of Record
    EPA is clarifying that the final rule does not change EPA's 
authentication and encryption standards for electronic reporting. Below 
is a discussion of the copy of record as it pertains to the 
implementation of electronic reporting.
    An important element of EPA's authentication and encryption 
standards for electronic reporting is the ``copy of record.'' See 40 
CFR 3.3. A copy of record must:
     Be a true and correct copy of the electronic document that 
was received, and it must be legally demonstrable that it is in fact a 
true and correct copy;
     include all the electronic signatures that have been 
executed to sign the document or components of the document;
     include the date and time of receipt to help establish its 
relation to submission deadlines; and,
     be viewable in a human-readable format that clearly 
indicates what the submitter and, where applicable, the

[[Page 64091]]

signatory intended that each of the data elements or other information 
items in the document means.
    For such CROMERR-compliant submissions, the copy of record is 
intended to serve as the electronic surrogate for what is commonly 
referred to as the paper submission with a ``wet-ink'' signature. The 
copy of record is meant to provide an authoritative answer to the 
question of what was actually submitted and, as applicable, what was 
signed and certified in the particular case.
    It is important to note that the use of an electronic reporting 
system may dictate where the electronic copy of record is retained. EPA 
retains the copy of record for electronic submission made through its 
electronic reporting tools (e.g., NetDMR and NeT). Likewise, state 
electronic reporting systems will contain the electronic copy of record 
for submissions made with these state systems.
    Under the ``Dual Reporting'' scenario, as described in Table 3, the 
authorized NPDES program may elect to designate EPA as the initial 
recipient and EPA would electronically collect NPDES program data 
directly from NPDES-regulated entities. Under this scenario these 
entities would also make a paper submission of the same report with a 
``wet-ink'' signature to the state (as required by their NPDES permit). 
In these cases, the paper submission to the state with a ``wet-ink'' 
signature is the copy of record.
2. Cross-Media Electronic Reporting Regulation (CROMERR)
    EPA's final rule requires that all electronic reporting systems 
that are used for implementing NPDES electronic reporting, whether 
already existing or to be developed by EPA and authorized NPDES 
programs, be compliant with subpart D of EPA's CROMERR (see 40 CFR part 
3). CROMERR sets performance-based, technology-neutral standards for 
systems that states, tribes, and local governments use to receive 
electronic reports from facilities they regulate under EPA-authorized 
programs. CROMERR also addresses electronic reporting directly to EPA.
    EPA notes that state or EPA systems that use the Hybrid Approach, 
which is discussed in Section V, uses the paper document with a ``wet-
ink'' signature as the copy of record. The related electronic data 
transfer from the Hybrid Approach is not a submission within the 
meaning of CROMERR. Additionally, the Hybrid Approach option still 
requires compliance with the regulatory requirements of 40 CFR 122.22 
and 40 CFR part 127 and any additional permit requirements.
    Under this rule, NPDES-regulated entities (e.g., POTWs) are not 
required to submit a CROMERR application to electronically report NPDES 
program data. However, it is the responsibility of the authorized NPDES 
programs receiving these electronically reported NPDES program data to 
obtain approval from EPA for their electronic reporting systems and 
processes in accordance with EPA's CROMERR requirements. Under the 
final rule, NPDES-regulated entities that electronically report their 
NPDES program data will use CROMERR-approved electronic reporting 
systems and processes. Authorized NPDES programs are responsible for 
submitting CROMERR applications for their electronic reporting system 
and NPDES-regulated entities are only required to complete the 
necessary signature requirements for that system.
    EPA also notes that CROMERR requires state, tribal or local 
government agencies that receive, or wish to begin receiving electronic 
reports under their EPA-authorized programs (e.g., CWA pretreatment 
program) to apply to EPA for a revision or modification of those 
programs and obtain EPA approval. However, an important consideration 
is that the final rule does not require approved pretreatment programs 
to electronically collect NPDES program data from significant and 
categorical industrial users. Approved pretreatment programs may 
continue to collect NPDES program data from significant and categorical 
industrial users on paper.
3. Electronic Reporting for the Pesticides General Permit and Vessels 
General Permit
    Several commenters had questions regarding the application of the 
proposed rule to regulated entities subject to EPA's Pesticides General 
Permit and Vessels General Permit. EPA provides NPDES permit coverage 
for pesticide applicators in states where EPA is the permitting 
authority and vessel operators nationwide. EPA is not exempting these 
two permits from the NPDES Electronic Reporting Rule. Specifically, 
EPA's General Permit regulations (40 CFR 122.28) apply to all general 
permits and EPA's proposed revisions to this regulatory language that 
implement electronic reporting do not exclude pesticide applicators or 
vessel operators (or any other sector or general permit). However, 
vessel incidental discharges and discharges from the application of 
pesticides are atypical from more traditional permitted discharges and 
as such, some of the data elements in Appendix A may not be appropriate 
as written. For example, there may not be a fixed address of where 
pesticide applications occur (i.e., the activity permitted) and the 
actual location of such pesticide application activities may not be 
known until the time when those pesticides are actually applied (i.e., 
at some point in time after that operator obtains NPDES permit 
coverage). Similarly, vessel operators often do not know into which 
waters they will discharge at the time of obtaining permit coverage and 
many of these vessels are operated by foreign companies based out of 
foreign ports (with non-US mailing addresses and phone numbers). In 
these instances, EPA will gather electronic information consistent with 
the nature of these discharges.
4. Due Dates for State Data Entry
    To include all NPDES subprograms (e.g., pretreatment, biosolids, 
sewer overflows, MS4 program reports, construction stormwater, 
industrial stormwater, cooling water intake structures), the required 
data set as defined by this final rule is more comprehensive than what 
authorized NPDES programs were previously reporting under previously 
existing EPA policy (see list of data elements in DCN 0007 as compared 
to appendix A to 40 CFR part 127). EPA will work closely with states, 
tribes, and territories to ensure that all authorized NPDES programs 
electronically transmit to EPA basic facility and permit information 
(see list of data elements in DCN 0007) for all permits as well as 
other data necessary for implementation of Phase 1 data collection 
within nine months after the effective date of the final rule. 
Collection of these data will enable NPDES regulated entities to begin 
electronic reporting as facility and permit data must first be entered 
into ICIS-NPDES for the system to accept compliance monitoring data 
(e.g., DMRs, Sewage Sludge/Biosolids Annual Program Reports). 
Additionally, collection of these data will allow authorized NPDES 
programs to provide their compliance inspection and enforcement data to 
ICIS-NPDES. EPA will also work closely with authorized NPDES programs 
to ensure that all of the remaining facility and permit data required 
by the final rule for Phase 2 (see NPDES Data Group 1 in Tables 1 and 2 
of appendix A to 40 CFR part 127) are entered into ICIS-NPDES within 
five years after the effective date of the final rule.
    Additionally, under the final rule, authorized NPDES programs must 
start

[[Page 64092]]

submitting any new compliance monitoring and enforcement action data 
(see Appendix A to 40 CFR part 127) one year after the effective date 
of the final rule. These new data elements add to the existing data 
that states report (see DCN 0007) from their compliance monitoring 
activities and reflect the increased focus on the NPDES subprograms. 
The final rule only requires authorized NPDES programs to start 
entering these new compliance monitoring and enforcement action data 
elements into ICIS-NPDES one year after the effective date of the final 
rule.
5. Concentrated Animal Feeding Operations (CAFO) Sector
    EPA received many comments from the animal agricultural sector in 
response to the proposed rule. Although this rule only changes the mode 
of transmission of NPDES information from paper-based reports to 
electronic reporting and does not address EPA's practices for managing 
and sharing that information, EPA received comments regarding privacy, 
security, management of confidential business information, and EPA's 
current practice of posting inspection information on unpermitted CAFOs 
and Animal Feeding Operations (AFOs) on its public Web site 
[Enforcement and Compliance History Online (ECHO)--http://echo.epa.gov]. EPA used the supplemental notice to the proposed rule to 
clarify the effects of the proposed rule on CAFOs in response to these 
comments (see 1 December 2014; 79 FR 71073).
    This final rule would only require CAFOs with NPDES permits to 
submit information that the Clean Water Act and existing regulations 
already requires them to provide to permitting authorities. See 33 
U.S.C. 1342. The final rule simply modernizes the format through which 
permitted CAFOs would submit certain types of information by requiring 
electronic submission as opposed to paper-based reporting. This 
modernized format will increase efficiencies for permitted CAFOs as 
well as regulators. Additionally, under this final rule a permitted 
CAFO can also request a temporary waiver from electronic reporting 
consistent with authorized NPDES program's implementation plan.
    EPA also solicited comments in the supplemental notice to the 
proposed rule on whether it should change its current practice and 
begin masking facility information for unpermitted CAFOs and AFOs that 
EPA or state inspectors found were not discharging and do not require 
an NPDES permit. EPA published the following example (See Table 9) in 
the supplemental notice to the proposed rule showing how EPA could mask 
these data and solicited comments on this approach.

 Table 9--Proposed Hypothetical Example of Masking Unpermitted CAFOs and
AFOs that State Inspectors Found Were Not Discharging and Do Not Require
                             an NPDES Permit
------------------------------------------------------------------------
              Facility #1                          Facility #2
------------------------------------------------------------------------
Show-Me State Animal Farm; Location:     Unpermitted CAFO/AFO-0000001;
 11300 Ozark Lane, Perryville, Missouri   Location: Missouri; County:
 63775; County: Perry; Lat.: 37.836084,   Redacted from Website; Lat./
 Long: -89.738644; Inspection(s): 3/14/   Lon.: Redacted from Website;
 2010 (no violation identified); 6/22/    Inspection(s): 2/17/2009 (no
 2014 (discharging without an NPDES       violation identified); 5/25/
 permit).                                 2013 (no violation identified)
------------------------------------------------------------------------

    In this hypothetical example, the unpermitted CAFO shown in the 
column labeled ``Facility #1'' would not have its facility and contact 
information displayed on EPA's public Web site until the weekly refresh 
of ECHO data from ICIS-NPDES after 22 June 2014, which is the date the 
state or EPA Region identified that the facility had a Clean Water Act 
violation (i.e., discharging without an NPDES permit) and entered these 
data into ICIS-NPDES. If an unpermitted CAFO does not have a Clean 
Water Act violation as determined by the authorized NPDES program or 
EPA, then the facility and contact information would not be displayed 
on EPA's ECHO Web site (see the column labeled ``Facility #2'' in the 
above table).
    EPA also solicited input on potential changes to its national NPDES 
data system (ICIS-NPDES), which are necessary to provide authorized 
NPDES programs and Regions with the capability to identify these non-
permitted CAFO/AFOs that do not require an NPDES permit (1 December 
2014; 79 FR 71080).
    Comments from the animal agricultural sector were in favor of this 
proposed approach while other commenters (e.g., environmental advocacy 
groups) were not. Some authorized NPDES programs also support this as a 
reasonable approach in balancing the competing interests of privacy and 
public access to these data. Separate from this rulemaking, in light of 
concerns raised regarding the privacy interests of an unpermitted CAFO 
or AFO that an authorized NPDES program or EPA has assessed and found 
to have not violated the Clean Water Act, EPA will change its current 
practice and mask on the ECHO public Web site the related facility-
specific facility information (see Table 9).
    EPA will implement this data masking in an iterative, two-step 
process. EPA is using a two-step process because unpermitted facilities 
in EPA's national NPDES data system (ICIS-NPDES) cannot currently be 
identified by CAFO permit component data. As a first step, EPA will use 
other currently available data in ICIS-NPDES to identify unpermitted 
CAFOs or AFOs that an authorized NPDES program or EPA have assessed and 
not found any Clean Water Act violations (see DCN 0207). EPA plans to 
implement this interim approach by the effective date of this final 
rule.
    EPA plans to supersede the first approach with a second data 
masking approach outlined in the supplemental notice to the proposed 
rule (1 December 2014; 79 FR 71080). The second data masking approach 
will only use CAFO permit component data to identify unpermitted CAFOs 
and AFOs (see DCN 0207). This second approach will take more time to 
implement as upgrades to ICIS-NPDES and coordination with authorized 
NPDES programs are necessary to identify the exact set of unpermitted 
CAFOs and AFOs that an authorized NPDES program or EPA has assessed and 
found to have not violated the Clean Water Act. EPA anticipates it will 
need a year after the final rule to adopt this second data masking 
approach.

VIII. Statutory and Executive Order Reviews

A. Executive Order 12866: Regulatory Planning and Review and Executive 
Order 13563: Improving Regulation and Regulatory Review

    This action is a ``significant regulatory action'' that was 
submitted to the Office of Management and Budget (OMB) for review. Any 
changes made in response to OMB's recommendations are documented in the 
docket. In addition, EPA prepared a detailed analysis of the

[[Page 64093]]

potential costs, savings, and benefits of this action. That analysis, 
the ``Economic Analysis of the NPDES Electronic Reporting Rule 
(Final),'' can be found in the EPA docket (see DCN 0197), and is 
summarized in Section VI.

B. Paperwork Reduction Act

    The Office of Management and Budget (OMB) has approved the 
information collection activities contained in this rule under the PRA 
and has assigned OMB control number 2020-0035. The ICR may be found in 
the docket for this rule (see DCN 0237), and it is briefly summarized 
here.
    EPA is promulgating this final regulation to allow better 
allocation and use of limited program resources and enhance 
transparency by providing a timelier, complete, more accurate, and 
nationally-consistent set of data about the NPDES program.
    The projected burden and cost of the final regulation are 
summarized in Table 10. Note that, consistent with the Information 
Collection Request (ICR), these estimates reflect the net burden and 
cost to regulated facilities and states, tribes, and territories over 
the first three years following promulgation of the rule (as ICRs are 
limited to three years; however, they can be renewed).

  Table 10--Projected Burden and Cost Over the First Three Years of the
                               Final Rule
------------------------------------------------------------------------
                                               Affected entity
                                   -------------------------------------
         Unit of Analysis               Regulated
                                         entities            States
------------------------------------------------------------------------
Average Annual Number of                      213,349                 47
 Respondents a....................
Average Annual Number of Responses             78,477          1,135,376
Average Annual Incremental Burden             118,577           -315,814
 (hours)..........................
Average Annual Incremental Cost...         $6,867,716        -$1,072,586
Average Annual Incremental Burden                0.56             -6,719
 per Respondent (hours)...........
Average Annual Incremental Burden                1.51              -0.28
 per Response (hours).............
Average Annual Incremental Cost                $32.19           -$22,821
 per Respondent...................
Average Annual Incremental Cost                $87.51             -$0.94
 per Response.....................
------------------------------------------------------------------------
a The number of respondents includes regulated entities that both submit
  information (a response) and experience a cost or cost savings while
  the number of responses is limited to a count of information
  submissions. Thus, there are more affected respondents than responses.

    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information unless it displays a 
currently valid OMB control number. The OMB control numbers for the 
EPA's regulations in 40 CFR are listed in 40 CFR part 9. In addition, 
the EPA is amending the table in 40 CFR part 9 to list the regulatory 
citations for the information collection activities contained in this 
final rule.

C. Regulatory Flexibility Act

    I certify that this action will not have a significant economic 
impact on a substantial number of small entities under the RFA. The 
small entities subject to the requirements of this action are small 
businesses (e.g., industrial sectors, electricity generating 
facilities, and agricultural sectors) and small governmental 
jurisdictions (e.g., POTWs operated by municipalities).
    The Agency has determined that 108,035 of 108,036 (99.99%) small 
entities considered in this analysis will experience an impact of less 
than 1% percent of revenues. Details of this analysis are presented in 
Chapter 5 of the following document in the rulemaking docket, 
``Economic Analysis of the NPDES Electronic Reporting Rule (Final),'' 
(see DCN 0197).

D. Unfunded Mandates Reform Act (UMRA)

    This final rule does not contain an unfunded mandate of $100 
million as described in UMRA, 2 U.S.C. 1531-1538, and does not 
significantly or uniquely affect small governments. EPA conducted an 
economic analysis examining various options including the potential 
burden to state, tribal, and territorial governments. EPA estimates 
that the rule would not only cost states, tribes, territories, and 
local governments well below the threshold of $100 million, it will 
actually result in cost savings over time.

E. Executive Order 13132: Federalism

    This action may have federalism implications, because it imposes 
substantial direct compliance costs on state or local governments, and 
the federal government will not provide the funds necessary to pay 
those costs. Specifically, EPA estimates costs to state governments of 
greater than $25 million during the first year of rule implementation.
    The EPA provides the following federalism summary impact statement. 
The EPA consulted with state and local officials early in the process 
of developing the rule to permit them to have meaningful and timely 
input into its development. In developing the regulatory options 
described in this final action, EPA held a series of 49 outreach 
activities with state and local governments, on various aspects of the 
rule, including a Federalism consultation process that began in 2010, 
well before this action was proposed. The Environmental Council of the 
States, the National League of Cities, the U.S. Conference of Mayors, 
the National Conference of State Legislators, the Council of State 
Governments, the National Governors Association, and the National 
Association of Clean Water Agencies were among the intergovernmental 
groups participating in this process, along with numerous state and 
local government principals from across the nation.
    After publication of the proposed rule, EPA also held 
teleconferences with authorized NPDES programs to obtain their 
individual views on various aspects of the proposed rule. EPA met with 
over twenty five states, ECOS, ACWA, and New England Interstate Water 
Pollution Control Commission to take into account their individual 
comments and concerns about the rule (see DCN 0128 to 0142, 0181, 0219 
to 0229). Additionally, EPA separately contacted each authorized NPDES 
program to individually assess its readiness for these new electronic 
reporting requirements. This extensive outreach helped inform the 
implementation process of the final rule and the additional 
flexibilities that authorized states, tribes, and territories need for 
a measured and orderly conversion from paper to electronic reporting.
    EPA specifically solicited comment on the proposed action from 
State and local officials. EPA received comments from over one hundred 
(100) entities representing State and local governments. Of these 
comments, many

[[Page 64094]]

were supportive of the rule and its goals. Commentators expressed 
support for the rule for a number of reasons, including its ability to 
modernize and streamline the reporting process, its efficiency and 
cost-effectiveness, and its ability to offer quicker access to 
standardized data. Several commentators expressed hope that electronic 
reporting could reduce errors in ICIS-NPDES, make errors more quick and 
easy to correct, and expedite permit applications.
    While most commenters were supportive of the proposed rule, there 
were several concerns that were raised by the responding state and 
local governments. One of the most frequently commented subjects was 
the implementation schedule. Many commenters noted that the proposed 
two phase (one year per phase) implementation schedule was ``too 
aggressive.'' EPA addressed this comment by modifying the compliance 
schedule in the final rule to allow five years for the second phase of 
implementation.
    The other main comment from state and local governments was for EPA 
to provide authorized NPDES programs with additional flexibility in the 
implementation of the final rule. As noted in this preamble and in 
EPA's response to comments document for this rulemaking, EPA has 
provided authorized NPDES programs with additional flexibility for 
implementing this final rule. In particular, EPA has given authorized 
NPDES programs more flexibility in how they administer waivers from 
electronic reporting. In the proposed rule, EPA solicited comment on 
limiting waivers from electronic reporting to one year and only to 
areas with limited access to broadband internet. After consultation 
with authorized NPDES programs, EPA has eliminated the condition of 
limited access to broadband internet as an eligibility factor for an 
electronic reporting waiver. Instead, EPA has provided authorized NPDES 
programs with the ability to grant waivers to facilities for up to five 
years and for any factors that they deem appropriate.
    Additionally, authorized NPDES programs asked for more flexibility 
in how they implement electronic reporting for the construction 
stormwater sector. In particular, states requested an option to allow 
construction operators to electronically submit data without CROMERR 
authentication. After consultation with authorized NPDES programs, EPA 
has included an option, which first suggested by an authorized NPDES 
program, to allow construction operators to simultaneously submit NPDES 
program data electronically without CROMERR authentication as long as 
they also submit these data on paper with a handwritten signature. This 
``Hybrid Approach'' is discussed in the preamble to this final rule. 
This additional flexibility will allow states to electronically collect 
and manage data on construction sites and will also allow construction 
operators to submit their NOIs without having to first obtain CROMERR 
authentication.
    Finally, as a means to ``fill in the gaps'' where NPDES-regulated 
entities are not yet reporting electronically, EPA will use its 
authority, as appropriate, to issue targeted individual notices 
requiring NPDES-regulated entities to electronically report their NPDES 
program data (appendix A to 40 CFR part 127). EPA initially proposed to 
have these data come directly to EPA. Authorized NPDES programs 
suggested that instead EPA should require NPDES regulated entities to 
use state, tribe, or territorial electronic reporting systems that are 
in compliance with the final rule, as this would be more efficient. In 
this final rule, EPA is adopting the approach recommended by authorized 
NPDES programs.
    A complete list of the comments from State and local governments 
has been provided to the Office of Management and Budget and has been 
placed in the docket for this rulemaking. In addition, the detailed 
response to comments from these entities is contained in EPA's response 
to comments document for this rulemaking (see DCN 0218).

F. Executive Order 13175: Consultation and Coordination With Indian 
Tribal Governments

    This action has tribal implications. However, it will neither 
impose substantial direct compliance costs on federally recognized 
tribal governments, nor preempt tribal law. Although no tribes have yet 
received approval from EPA to implement an authorized NPDES program, 
this final rule will impose electronic reporting requirements on tribal 
facilities and on facilities operating on tribal lands.
    EPA consulted with tribal representatives in developing this rule 
via conference calls and webinars with the National Tribal Caucus and 
National Tribal Water Counsel in November 2010 (DCN 0232). No concerns 
were raised during those consultations.
    In addition, EPA mailed information to 563 tribes regarding an 
opportunity to participate in two additional tribal outreach efforts in 
December 2010.
    As required by section 7(a), the EPA's Tribal Consultation Official 
has certified that the requirements of the executive order have been 
met in a meaningful and timely manner. A copy of the certification is 
included in the docket for this action.

G. Executive Order 13045: Protection of Children From Environmental 
Health Risks and Safety Risks

    EPA interprets Executive Order 13045 as applying only to those 
regulatory actions that concern health or safety risks that the EPA has 
reason to believe may disproportionately affect children, per the 
definition of ``covered regulatory action'' in section 2-202 of the 
Executive Order. This action is not subject to Executive Order 13045 
because it does not concern an environmental health risk or safety 
risk.

H. Executive Order 13211: Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use

    This action is not a ``significant energy action'' because it is 
not likely to have a significant adverse effect on the supply, 
distribution, or use of energy.

I. National Technology Transfer and Advancement Act

    This rulemaking involves environmental monitoring or measurement. 
Consistent with the Agency's Performance Based Measurement System 
(``PBMS''), EPA has decided to allow the use of any method that meets 
the prescribed performance criteria. The PBMS approach is intended to 
be more flexible and cost-effective for the regulated community; it is 
also intended to encourage innovation in analytical technology and 
improved data quality. EPA is not precluding the use of any method, 
whether it constitutes a voluntary consensus standard or not, as long 
as it meets the performance criteria specified.
    EPA has decided to use the following data standards, which were 
developed by the Exchange Network Leadership Council (ENLC). This 
entity governs the National Environmental Information Exchange Network 
(NEIEN). The ENLC identifies, prioritizes, and pursues the creation of 
data standards for those areas where information exchange standards 
will provide the most value in achieving environmental results. The 
ENLC involves tribes and tribal nations, state, and federal agencies in 
the development of the standards. More information about ENLC is 
available at www.exchangenetwork.net.
     Enforcement and Compliance Data Standard, Standard No.: 
EX000026.2, July 30, 2008. This data standard

[[Page 64095]]

identifies and defines the major areas of enforcement and compliance 
information that could be used for the exchange of data among 
environmental agencies and other entities. The purpose of the standard 
is to provide a common lexicon, so that information about functionally 
similar activities and/or instruments can be stored and to provide and 
receive data in a clearly defined and uniform way.
     Permitting Information Data Standard, Standard No.: 
EX000021.2, January 6, 2006. This data standard should be used in this 
regulation because it specifies the key data groupings necessary for 
the consistent identification of information pertaining to permits of 
interest to environmental information exchange partners. This data 
standard provides a minimum set of data, which need to be reported for 
permitting information such as permit name, number, type, organization 
or facility name, and affiliation type.
     Facility Site Identification Data Standard, Standard No.: 
EX000020.2, January 6, 2006. The purpose of this data standard is to 
identify a facility of environmental interest. This data standard 
should be used in this regulation because it provides for the unique 
identification of facilities regulated or monitored by EPA, states, 
tribes, and territories. Each facility is assigned a unique facility 
identification number, which identifies information for the facility 
specified. This standard provides and describes data groupings that are 
used to exchange facility site identification data and information. 
This standard helps EPA, states, tribes, and territories integrate and 
share facility information across multiple information systems, 
programs, and governments.
     Contact Information Data Standard, Standard No.: 
EX000019.2, January 6, 2006. This data standard should be used in this 
regulation because it provides information regarding the source of 
contact. This standard offers data groupings that are used to describe 
a point of contact, address, and communication information. For 
example, the data grouping ``Point of Contact'' subdivides to lower 
levels such as individual, affiliation, and organization. These 
intermediate data groupings are further defined at the elemental levels 
with Name, Title, Code, and Prefix.
     Representation of Date and Time Data Standard, Standard 
No.: EX000013.1, January 6, 2006. This data standard should be used in 
this regulation because it provides and describes data groupings that 
are used for exchange of Date and Time data and information. The 
standard provides information on the high level, intermediate, and 
elemental representation of date and time data groupings.
     Latitude/Longitude Data Standard, Standard No.: 
EX000017.2, January 6, 2006. This data standard should be used in this 
regulation because it establishes the requirements for documenting 
latitude and longitude coordinates and related method, accuracy, and 
description data for all places used in the data exchange transaction. 
Places include facilities, sites, monitoring stations, observations 
points, and other regulated or tracked features. This standard 
describes data and data groupings that are used to exchange latitude 
and longitude data and information. The purpose of the standard is to 
provide a common set of data to use for recording horizontal and 
vertical coordinates and associated metadata that define a point on the 
earth.
     SIC/NAICS Data Standard, Standard No.: EX000022.2, January 
6, 2006. This data standard should be used in this regulation because 
it provides a common set of data groupings to specify a way to classify 
business activities, including industry classifications, product 
classifications, and product codes. This data standard provides 
information on business activity according to the Standard Industrial 
Classification (SIC) and North American Industrial Classification 
System (NAICS).

J. Executive Order 12898: Federal Actions To Address Environmental 
Justice in Minority Populations and Low-Income Populations

    EPA has determined that this final rule will not have 
disproportionately high and adverse human health or environmental 
effects on minority or low-income populations because it does not 
affect the level of protection provided to human health or the 
environment. This final rule offers substantial environmental justice 
benefits. As described in the context of non-monetary benefits, 
discussed in Section VI and described below, the final rule would 
significantly increase transparency and access to crucial information 
that is relevant to the protection of the health and environment of 
minority, low income, and tribal populations.

K. Congressional Review Act (CRA)

    This action is subject to the CRA, and the EPA will submit a rule 
report to each House of the Congress and to the Comptroller General of 
the United States. This action is not a ``major rule'' as defined by 5 
U.S.C. 804(2).

List of Subjects

40 CFR Part 9

    Environmental protection, Reporting and recordkeeping requirements.

40 CFR Part 122

    Environmental protection, Administrative practice and procedure, 
Confidential business information, Hazardous substances, Incorporation 
by reference, Reporting and recordkeeping requirements, Water pollution 
control.

40 CFR Part 123

    Environmental protection, Administrative practice and procedure, 
Confidential business information, Hazardous substances, Indians-lands, 
Intergovernmental relations, Penalties, Reporting and recordkeeping 
requirements, Water pollution control.

40 CFR Part 124

    Environmental protection, Administrative practice and procedure, 
Air pollution control, Hazardous waste, Indians-lands, Reporting and 
recordkeeping requirements, Water pollution control, Water supply.

40 CFR Part 127

    Environmental protection, Administrative practice and procedure, 
Automatic data processing, Electronic data processing, Hazardous 
substances, Intergovernmental relations, Reporting and recordkeeping 
requirements, Sewage disposal, Waste treatment and disposal, Water 
pollution control.

40 CFR Part 403

    Environmental protection, Confidential business information, 
Reporting and recordkeeping requirements, Waste treatment and disposal, 
Water pollution control.

40 CFR Part 501

    Environmental protection, Administrative practice and procedure, 
Indians-lands, Intergovernmental relations, Penalties, Reporting and 
recordkeeping requirements, Sewage disposal.

40 CFR Part 503

    Environmental protection, Reporting and recordkeeping requirements, 
Sewage disposal.

    Dated: September 24, 2015.
Gina McCarthy,
Administrator.
    For the reasons cited in the preamble, title 40, chapter I is 
amended as follows:

[[Page 64096]]

PART 9--OMB APPROVALS UNDER THE PAPERWORK REDUCTION ACT

0
1. The authority citation for part 122 continues to read as follows:

    Authority:  7 U.S.C. 135 et seq., 136-136y; 15 U.S.C. 2001, 
2003, 2005, 2006, 2601-2671; 21 U.S.C. 331j, 346a, 31 U.S.C. 9701; 
33 U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318, 1321, 1326, 1330, 
1342, 1344, 1345 (d) and (e), 1361; E.O. 11735, 38 FR 21243, 3 CFR, 
1971-1975 Comp. p. 973; 42 U.S.C. 241, 242b, 243, 246, 300f, 300g, 
300g-1, 300g-2, 300g-3, 300g-4, 300g-5, 300g-6, 300j-1, 300j-2, 
300j-3, 300j-4, 300j-9, 1857 et seq., 6901-6992k, 7401-7671q, 7542, 
9601-9657, 11023, 11048.

0
2. In Sec.  9.1, the table is amended by adding the following section 
in numerical order under a new heading titled ``NPDES Electronic 
Reporting'' to read as follows:


Sec.  9.1  OMB approvals under the Paperwork Reduction Act.

* * * * *

------------------------------------------------------------------------
           40 CFR citation                      OMB control No.
------------------------------------------------------------------------
 
                                * * * * *
------------------------------------------------------------------------
                       NPDES Electronic Reporting
------------------------------------------------------------------------
127.26                                2020-0035.
 
                                * * * * *
------------------------------------------------------------------------

* * * * *

PART 122--EPA ADMINISTERED PERMIT PROGRAMS: THE NATIONAL POLLUTANT 
DISCHARGE ELIMINATION SYSTEM

0
3. The authority citation for part 122 continues to read as follows:

    Authority:  The Clean Water Act, 33 U.S.C. 1251 et seq.

0
4. Amend Sec.  122.22 by adding paragraph (e) to read as follows:


Sec.  122.22  Signatories to permit applications and reports 
(applicable to State programs, see Sec.  123.25).

* * * * *
    (e) Electronic reporting. If documents described in paragraph (a) 
or (b) of this section are submitted electronically by or on behalf of 
the NPDES-regulated facility, any person providing the electronic 
signature for such documents shall meet all relevant requirements of 
this section, and shall ensure that all of the relevant requirements of 
40 CFR part 3 (including, in all cases, subpart D to part 3) (Cross-
Media Electronic Reporting) and 40 CFR part 127 (NPDES Electronic 
Reporting Requirements) are met for that submission.
* * * * *

0
5. Amend Sec.  122.26 by:
0
a. Revising paragraphs (b)(15)(i)(A) and (g)(1)(iii).
0
b. Adding paragraph (b)(15)(i)(C).
    The revisions and addition read as follows:


Sec.  122.26  Storm water discharges (applicable to State NPDES 
programs, see Sec.  123.25).

    (b) * * *
    (15) * * *
    (i) * * *
    (A) The value of the rainfall erosivity factor (``R'' in the 
Revised Universal Soil Loss Equation) is less than five during the 
period of construction activity. The rainfall erosivity factor is 
determined in accordance with Chapter 2 of Agriculture Handbook Number 
703, Predicting Soil Erosion by Water: A Guide to Conservation Planning 
with the Revised Universal Soil Loss Equation (RUSLE), pages 21-64, 
dated January 1997. The Director of the Federal Register approves this 
incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. Copies may be obtained at EPA's Water Docket, 1200 
Pennsylvania Avenue NW, Washington, DC 20460. For information on the 
availability of this material at National Archives and Records 
Administration, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. An 
operator must certify to the Director that the construction activity 
will take place during a period when the value of the rainfall 
erosivity factor is less than five; or
* * * * *
    (C) As of December 21, 2020 all certifications submitted in 
compliance with paragraphs (b)(15)(i)(A) and (B) of this section must 
be submitted electronically by the owner or operator to the Director or 
initial recipient, as defined in 40 CFR 127.2(b), in compliance with 
this section and 40 CFR part 3 (including, in all cases, subpart D to 
part 3), Sec.  122.22, and 40 CFR part 127. Part 127 is not intended to 
undo existing requirements for electronic reporting. Prior to this 
date, and independent of part 127, owners or operators may be required 
to report electronically if specified by a particular permit or if 
required to do so by state law.
* * * * *
    (g) * * *
    (1) * * *
    (iii) Submit the signed certification to the NPDES permitting 
authority once every five years. As of December 21, 2020 all 
certifications submitted in compliance with this section must be 
submitted electronically by the owner or operator to the Director or 
initial recipient, as defined in 40 CFR 127.2(b), in compliance with 
this section and 40 CFR part 3 (including, in all cases, subpart D to 
part 3), Sec.  122.22, and 40 CFR part 127. Part 127 is not intended to 
undo existing requirements for electronic reporting. Prior to this 
date, and independent of part 127, owners or operators may be required 
to report electronically if specified by a particular permit or if 
required to do so by state law.
* * * * *

0
6. Amend Sec.  122.28 by revising paragraphs (b)(2)(i) and (ii) to read 
as follows:


Sec.  122.28  General permits (applicable to State NPDES programs, see 
Sec.  123.25).

* * * * *
    (b) * * *
    (2) * * *
    (i) Except as provided in paragraphs (b)(2)(v) and (vi) of this 
section, dischargers (or treatment works treating domestic sewage) 
seeking coverage under a general permit shall submit to the Director a 
notice of intent to be covered by the general permit. A discharger (or 
treatment works treating domestic sewage) who fails to submit a notice 
of intent in accordance with the terms of the permit is not authorized 
to discharge, (or in the case of sludge disposal permit, to engage in a 
sludge use or disposal practice), under the terms of the general permit 
unless the general permit, in accordance with paragraph (b)(2)(v), 
contains a provision that a notice of intent is not required or the 
Director notifies a discharger (or treatment works treating domestic 
sewage) that it is covered by a general permit in accordance with 
paragraph (b)(2)(vi). A complete and timely, notice of intent (NOI), to 
be covered in accordance with general permit requirements, fulfills the 
requirements for permit applications for purposes of Sec. Sec.  122.6, 
122.21, and 122.26. As of December 21, 2020 all notices of intent 
submitted in compliance with this section must be submitted 
electronically by the discharger (or treatment works treating domestic 
sewage) to the Director or initial recipient, as defined in 40 CFR 
127.2(b), in compliance with this section and 40 CFR part 3 (including, 
in all cases, subpart D to part 3), Sec.  122.22, and 40 CFR part 127. 
Part 127 is not intended to undo existing requirements for electronic 
reporting. Prior to this date, and independent of part 127, discharger 
(or treatment works treating domestic sewage) may be required to report 
electronically if

[[Page 64097]]

specified by a particular permit or if required to do so by state law.
    (ii) The contents of the notice of intent shall be specified in the 
general permit and shall require the submission of information 
necessary for adequate program implementation, including at a minimum, 
the legal name and address of the owner or operator, the facility name 
and address, type of facility or discharges, the receiving stream(s), 
and other required data elements as identified in appendix A to part 
127. General permits for stormwater discharges associated with 
industrial activity from inactive mining, inactive oil and gas 
operations, or inactive landfills occurring on Federal lands where an 
operator cannot be identified may contain alternative notice of intent 
requirements. All notices of intent shall be signed in accordance with 
Sec.  122.22. Notices of intent for coverage under a general permit for 
concentrated animal feeding operations must include the information 
specified in Sec.  122.21(i)(1), including a topographic map.
* * * * *

0
7. Amend Sec.  122.34 by revising paragraph (g)(3) introductory text to 
read as follows:


Sec.  122.34  As an operator of a regulated small MS4, what will my 
NPDES MS4 storm water permit require?

* * * * *
    (g) * * *
    (3) Reporting. Unless you are relying on another entity to satisfy 
your NPDES permit obligations under Sec.  122.35(a), you must submit 
annual reports to the NPDES permitting authority for your first permit 
term. For subsequent permit terms, you must submit reports in year two 
and four unless the NPDES permitting authority requires more frequent 
reports. As of December 21, 2020 all reports submitted in compliance 
with this section must be submitted electronically by the owner, 
operator, or the duly authorized representative of the small MS4 to the 
Director or initial recipient, as defined in 40 CFR 127.2(b), in 
compliance with this section and 40 CFR part 3 (including, in all 
cases, subpart D to part 3), Sec.  122.22, and 40 CFR part 127. Part 
127 is not intended to undo existing requirements for electronic 
reporting. Prior to this date, and independent of part 127, the owner, 
operator, or the duly authorized representative of the small MS4 may be 
required to report electronically if specified by a particular permit 
or if required to do so by state law. Your report must include:
* * * * *

0
8. Amend Sec.  122.41 by:
0
a. Revising paragraphs (l)(4)(i), (l)(6)(i), (l)(7), and (m)(3).
0
b. Adding paragraph (l)(9).
    The revisions and addition read as follows:


Sec.  122.41  Conditions applicable to all permits (applicable to State 
programs, see Sec.  123.25).

* * * * *
    (l) * * *
    (4) * * *
    (i) Monitoring results must be reported on a Discharge Monitoring 
Report (DMR) or forms provided or specified by the Director for 
reporting results of monitoring of sludge use or disposal practices. As 
of December 21, 2016 all reports and forms submitted in compliance with 
this section must be submitted electronically by the permittee to the 
Director or initial recipient, as defined in 40 CFR 127.2(b), in 
compliance with this section and 40 CFR part 3 (including, in all 
cases, subpart D to part 3), Sec.  122.22, and 40 CFR part 127. Part 
127 is not intended to undo existing requirements for electronic 
reporting. Prior to this date, and independent of part 127, permittees 
may be required to report electronically if specified by a particular 
permit or if required to do so by state law.
* * * * *
    (6) * * *
    (i) The permittee shall report any noncompliance which may endanger 
health or the environment. Any information shall be provided orally 
within 24 hours from the time the permittee becomes aware of the 
circumstances. A report shall also be provided within 5 days of the 
time the permittee becomes aware of the circumstances. The report shall 
contain a description of the noncompliance and its cause; the period of 
noncompliance, including exact dates and times), and if the 
noncompliance has not been corrected, the anticipated time it is 
expected to continue; and steps taken or planned to reduce, eliminate, 
and prevent reoccurrence of the noncompliance. For noncompliance events 
related to combined sewer overflows, sanitary sewer overflows, or 
bypass events, these reports must include the data described above 
(with the exception of time of discovery) as well as the type of event 
(combined sewer overflows, sanitary sewer overflows, or bypass events), 
type of sewer overflow structure (e.g., manhole, combine sewer overflow 
outfall), discharge volumes untreated by the treatment works treating 
domestic sewage, types of human health and environmental impacts of the 
sewer overflow event, and whether the noncompliance was related to wet 
weather. As of December 21, 2020 all reports related to combined sewer 
overflows, sanitary sewer overflows, or bypass events submitted in 
compliance with this section must be submitted electronically by the 
permittee to the Director or initial recipient, as defined in 40 CFR 
127.2(b), in compliance with this section and 40 CFR part 3 (including, 
in all cases, subpart D to part 3), Sec.  122.22, and 40 CFR part 127. 
Part 127 is not intended to undo existing requirements for electronic 
reporting. Prior to this date, and independent of part 127, permittees 
may be required to electronically submit reports related to combined 
sewer overflows, sanitary sewer overflows, or bypass events under this 
section by a particular permit or if required to do so by state law. 
The Director may also require permittees to electronically submit 
reports not related to combined sewer overflows, sanitary sewer 
overflows, or bypass events under this section.
* * * * *
    (7) Other noncompliance. The permittee shall report all instances 
of noncompliance not reported under paragraphs (l)(4), (5), and (6) of 
this section, at the time monitoring reports are submitted. The reports 
shall contain the information listed in paragraph (l)(6). For 
noncompliance events related to combined sewer overflows, sanitary 
sewer overflows, or bypass events, these reports shall contain the 
information described in paragraph (l)(6) and the applicable required 
data in appendix A to 40 CFR part 127. As of December 21, 2020 all 
reports related to combined sewer overflows, sanitary sewer overflows, 
or bypass events submitted in compliance with this section must be 
submitted electronically by the permittee to the Director or initial 
recipient, as defined in 40 CFR 127.2(b), in compliance with this 
section and 40 CFR part 3 (including, in all cases, subpart D to part 
3), Sec.  122.22, and 40 CFR part 127. Part 127 is not intended to undo 
existing requirements for electronic reporting. Prior to this date, and 
independent of part 127, permittees may be required to electronically 
submit reports related to combined sewer overflows, sanitary sewer 
overflows, or bypass events under this section by a particular permit 
or if required to do so by state law. The Director may also require 
permittees to electronically submit reports not related to combined 
sewer overflows, sanitary sewer overflows, or bypass events under this 
section.
* * * * *

[[Page 64098]]

    (9) Identification of the initial recipient for NPDES electronic 
reporting data. The owner, operator, or the duly authorized 
representative of an NPDES-regulated entity is required to 
electronically submit the required NPDES information (as specified in 
appendix A to 40 CFR part 127) to the appropriate initial recipient, as 
determined by EPA, and as defined in Sec.  127.2(b) of this chapter. 
EPA will identify and publish the list of initial recipients on its Web 
site and in the Federal Register, by state and by NPDES data group [see 
Sec.  127.2(c) of this chapter]. EPA will update and maintain this 
listing.
* * * * *
    (m) * * *
    (3) Notice--(i) Anticipated bypass. If the permittee knows in 
advance of the need for a bypass, it shall submit prior notice, if 
possible at least ten days before the date of the bypass. As of 
December 21, 2020 all notices submitted in compliance with this section 
must be submitted electronically by the permittee to the Director or 
initial recipient, as defined in 40 CFR 127.2(b), in compliance with 
this section and 40 CFR part 3 (including, in all cases, subpart D to 
part 3), Sec.  122.22, and 40 CFR part 127. Part 127 is not intended to 
undo existing requirements for electronic reporting. Prior to this 
date, and independent of part 127, permittees may be required to report 
electronically if specified by a particular permit or if required to do 
so by state law.
    (ii) Unanticipated bypass. The permittee shall submit notice of an 
unanticipated bypass as required in paragraph (l)(6) of this section 
(24-hour notice). As of December 21, 2020 all notices submitted in 
compliance with this section must be submitted electronically by the 
permittee to the Director or initial recipient, as defined in 40 CFR 
127.2(b), in compliance with this section and 40 CFR part 3 (including, 
in all cases, subpart D to part 3), Sec.  122.22, and 40 CFR part 127. 
Part 127 is not intended to undo existing requirements for electronic 
reporting. Prior to this date, and independent of part 127, permittees 
may be required to report electronically if specified by a particular 
permit or if required to do so by state law.
* * * * *

0
9. Amend Sec.  122.42 by revising the introductory text in paragraphs 
(c) and (e)(4) and paragraph (e)(4)(vi) to read as follows:


Sec.  122.42  Additional conditions applicable to specified categories 
of NPDES permits (applicable to State NPDES programs, see Sec.  
123.25).

* * * * *
    (c) Municipal separate storm sewer systems. The operator of a large 
or medium municipal separate storm sewer system or a municipal separate 
storm sewer that has been designated by the Director under Sec.  
122.26(a)(1)(v) must submit an annual report by the anniversary of the 
date of the issuance of the permit for such system. As of December 21, 
2020 all reports submitted in compliance with this section must be 
submitted electronically by the owner, operator, or the duly authorized 
representative of the MS4 to the Director or initial recipient, as 
defined in 40 CFR 127.2(b), in compliance with this section and 40 CFR 
part 3 (including, in all cases, subpart D to part 3), Sec.  122.22, 
and 40 CFR part 127. Part 127 is not intended to undo existing 
requirements for electronic reporting. Prior to this date, and 
independent of part 127, the owner, operator, or the duly authorized 
representative of the MS4 may be required to report electronically if 
specified by a particular permit or if required to do so by state law. 
The report shall include:
* * * * *
    (e) * * *
    (4) Annual reporting requirements for CAFOs. The permittee must 
submit an annual report to the Director. As of December 21, 2020 all 
annual reports submitted in compliance with this section must be 
submitted electronically by the permittee to the Director or initial 
recipient, as defined in 40 CFR 127.2(b), in compliance with this 
section and 40 CFR part 3 (including, in all cases, subpart D to part 
3), Sec.  122.22, and 40 CFR part 127. Part 127 is not intended to undo 
existing requirements for electronic reporting. Prior to this date, and 
independent of part 127, the permittee may be required to report 
electronically if specified by a particular permit or if required to do 
so by state law. The annual report must include:
* * * * *
    (vi) Summary of all manure, litter and process wastewater 
discharges from the production area that have occurred in the previous 
12 months, including, for each discharge, the date of discovery, 
duration of discharge, and approximate volume; and
* * * * *

0
10. Amend Sec.  122.43 by revising paragraph (a) to read as follows:


Sec.  122.43  Establishing permit conditions (applicable to State 
programs, see Sec.  123.25).

    (a) In addition to conditions required in all permits (Sec. Sec.  
122.41 and 122.42), the Director shall establish conditions, as 
required on a case-by-case basis, to provide for and ensure compliance 
with all applicable requirements of CWA and regulations. These shall 
include conditions under Sec. Sec.  122.46 (duration of permits), 
122.47(a) (schedules of compliance), 122.48 (monitoring), electronic 
reporting requirements of 40 CFR part 3 (Cross-Media Electronic 
Reporting Regulation) and 40 CFR part 127 (NPDES Electronic Reporting), 
and, for EPA permits only, Sec. Sec.  122.47(b) (alternatives schedule 
of compliance) and 122.49 (considerations under Federal law).
* * * * *

0
11. Amend Sec.  122.44 by revising paragraph (i)(2) to read as follows:


Sec.  122.44  Establishing limitations, standards, and other permit 
conditions (applicable to State NPDES programs, see Sec.  123.25).

* * * * *
    (i) * * *
    (2) Except as provided in paragraphs (i)(4) and (5) of this 
section, requirements to report monitoring results shall be established 
on a case-by-case basis with a frequency dependent on the nature and 
effect of the discharge, but in no case less than once a year. For 
sewage sludge use or disposal practices, requirements to monitor and 
report results shall be established on a case-by-case basis with a 
frequency dependent on the nature and effect of the sewage sludge use 
or disposal practice; minimally this shall be as specified in 40 CFR 
part 503 (where applicable), but in no case less than once a year. All 
results must be electronically reported in compliance with 40 CFR part 
3 (including, in all cases, subpart D to part 3), Sec.  122.22, and 40 
CFR part 127.
* * * * *

0
12. Amend Sec.  122.48 by revising paragraph (c) to read as follows:


Sec.  122.48  Requirements for recording and reporting of monitoring 
results (applicable to State programs, see Sec.  123.25).

* * * * *
    (c) Applicable reporting requirements based upon the impact of the 
regulated activity and as specified in 40 CFR part 3 (Cross-Media 
Electronic Reporting Regulation), Sec.  122.44, and 40 CFR part 127 
(NPDES Electronic Reporting). Reporting shall be no less frequent than 
specified in Sec.  122.44. EPA will maintain the start dates for the 
electronic

[[Page 64099]]

reporting of monitoring results for each state on its Web site.

0
13. Amend Sec.  122.63 by adding paragraph (f) to read as follows:


Sec.  122.63  Minor modifications of permits.

* * * * *
    (f) Require electronic reporting requirements (to replace paper 
reporting requirements) including those specified in 40 CFR part 3 
(Cross-Media Electronic Reporting Regulation) and 40 CFR part 127 
(NPDES Electronic Reporting).
* * * * *

0
14. Amend Sec.  122.64 by adding paragraph (c) to read as follows:


Sec.  122.64  Termination of permits (applicable to State programs, see 
Sec.  123.25).

* * * * *
    (c) Permittees that wish to terminate their permit must submit a 
Notice of Termination (NOT) to their permitting authority. If 
requesting expedited permit termination procedures, a permittee must 
certify in the NOT that it is not subject to any pending State or 
Federal enforcement actions including citizen suits brought under State 
or Federal law. As of December 21, 2020 all NOTs submitted in 
compliance with this section must be submitted electronically by the 
permittee to the Director or initial recipient, as defined in 40 CFR 
127.2(b), in compliance with this section and 40 CFR part 3 (including, 
in all cases, subpart D), Sec.  122.22, and 40 CFR part 127. Part 127 
is not intended to undo existing requirements for electronic reporting. 
Prior to this date, and independent of part 127, the permittee may be 
required to report electronically if specified by a particular permit 
or if required to do so by state law.

PART 123--STATE PROGRAM REQUIREMENTS

0
15. The authority citation for part 123 continues to read as follows:

    Authority:  The Clean Water Act, 33 U.S.C. 1251 et se.

0
16. Amend Sec.  123.22 by adding paragraph (g) to read as follows:


Sec.  123.22  Program description.

* * * * *
    (g) A state, tribe, or territory that newly seeks to implement an 
NPDES program after March 21, 2016 must describe whether the state, 
tribe, or territory will be the initial recipient of electronic NPDES 
information from NPDES-regulated facilities for specific NPDES data 
groups (see 40 CFR 127.2(c) and 127.27). In this program description, 
the state, tribe, or territory must identify the specific NPDES data 
groups for which the state, tribe, or territory will be the initial 
recipient of electronic NPDES information from NPDES-regulated 
facilities and how the electronic data system of the state, tribe, or 
territory will be compliant with 40 CFR part 3 (including, in all 
cases, subpart D to part 3), Sec.  123.26, and 40 CFR part 127.

0
17. Amend Sec.  123.24 by revising paragraph (b)(3) to read as follows:


Sec.  123.24  Memorandum of Agreement with the Regional Administrator.

* * * * *
    (b) * * *
    (3) Provisions specifying the frequency and content of reports, 
documents and other information which the State is required to submit 
to EPA. The State shall allow EPA to routinely review State records, 
reports, and files relevant to the administration and enforcement of 
the approved program. State reports may be combined with grant reports 
where appropriate. These procedures must also implement the 
requirements of 40 CFR 123.41(a) and 123.43 and 40 CFR part 127 
(including the required data elements in appendix A to part 127).
* * * * *

0
18. Amend Sec.  123.25 by revising paragraph (a)(46) and the note 
immediately following it to read as follows:


Sec.  123.25  Requirements for permitting.

    (a) * * *
    (46) 40 CFR part 3 (Cross-Media Electronic Reporting Regulation) 
and 40 CFR part 127 (NPDES Electronic Reporting Requirements).
    Note to paragraph (a): Except for paragraph (a)(46) of this 
section, states need not implement provisions identical to the above 
listed provisions. Implemented provisions must, however, establish 
requirements at least as stringent as the corresponding listed 
provisions. While States may impose more stringent requirements, they 
may not make one requirement more lenient as a tradeoff for making 
another requirement more stringent; for example, by requiring that 
public hearings be held prior to issuing any permit while reducing the 
amount of advance notice of such a hearing.
    State programs may, if they have adequate legal authority, 
implement any of the provisions of parts 122 and 124. See, for example, 
Sec. Sec.  122.5(d) (continuation of permits) and 124.4 (consolidation 
of permit processing) of this chapter.
    For example, a State may impose more stringent requirements in an 
NPDES program by omitting the upset provision of Sec.  122.41 of this 
chapter or by requiring more prompt notice of an upset.
* * * * *

0
19. Amend Sec.  123.26 by:
0
a. Revising the introductory text in paragraph (b) and paragraphs 
(b)(1), (b)(2)(iii), and (e)(1).
0
b. Removing the word ``and'' after semicolon in paragraph (b)(2)(ii).
0
c. Adding paragraphs (b)(2)(iv) and (f).
    The revisions and additions read as follows:


Sec.  123.26  Requirements for compliance evaluation programs.

* * * * *
    (b) State programs shall have inspection and surveillance 
procedures to determine, independent of information supplied by 
regulated persons, compliance or noncompliance with applicable program 
requirements. The State shall implement and maintain:
    (1) An automated, computerized system which is capable of 
identifying and tracking all facilities and activities subject to the 
State Director's authority and any instances of noncompliance with 
permit or other program requirements (e.g., identifying noncompliance 
with an automated, computerized program to compare permit limits to 
reported measurements). State programs must maintain a management 
information system which supports the compliance evaluation activities 
of this part (e.g., source inventories; compliance determinations based 
upon discharge monitoring reports, other submitted reports, and 
determinations of noncompliance made from inspection or document 
reviews; and subsequent violation notices, enforcement actions, orders, 
and penalties) and complies with 40 CFR part 3 (Cross-Media Electronic 
Reporting Regulation) and 40 CFR part 127 (NPDES Electronic Reporting 
Requirements). State programs may use EPA's national NPDES data system 
for their automated, computerized system;
    (2) * * *
    (iii) Verify the adequacy of sampling, monitoring, and other 
methods used by permittees and other regulated persons to develop that 
information; and
    (iv) Protect surface waters and public health.
* * * * *
    (e) * * *
    (1) Maintaining an automated, computerized system which is capable 
of managing the comprehensive electronic inventory of all sources 
covered by NPDES permits and

[[Page 64100]]

generating an electronic schedule of reports required to be submitted 
by permittees to the State agency. (Note: State programs may use EPA's 
national NPDES data system for their automated, computerized system.);
* * * * *
    (f) A state, tribe, or territory that is designated by EPA as an 
initial recipient of electronic NPDES information, as defined in Sec.  
127.2 of this chapter, must maintain the data it collects and 
electronically transfer the minimum set of NPDES data to EPA through 
timely data transfers in compliance with all requirements of 40 CFR 
parts 3 and 127 (including the required data elements in appendix A to 
part 127). Timely means that the authorized state, tribe, or territory 
submits these data transfers (see the data elements in appendix A to 40 
CFR part 127) to EPA within 40 days of when the state, tribe, or 
territory completed the activity or received a report submitted by a 
regulated entity. For example, the data regarding a state inspection of 
an NPDES-regulated entity that is finalized by the state on October 5th 
must be electronically transferred to EPA no later than November 14th 
of that same year (e.g., 40 days after October 5th). EPA must become 
the initial recipient of electronic NPDES information from NPDES-
regulated entities if the state, tribe, or territory does not 
consistently maintain these timely data transfers or does not comply 
with 40 CFR parts 3 and 127. See 40 CFR 127.2(b) and 127.27 regarding 
the initial recipient.

0
20. Amend Sec.  123.41 by revising paragraph (a) to read as follows:


Sec.  123.41  Sharing of information.

    (a) Any information obtained or used in the administration of a 
State program shall be available to EPA upon request without 
restriction. This includes the timely data transfers in compliance with 
all requirements of 40 CFR parts 3 and 127 (including the required data 
elements in appendix A to part 127). If the information has been 
submitted to the State under a claim of confidentiality, the State must 
submit that claim to EPA when providing information under this section. 
Any information obtained from a State and subject to a claim of 
confidentiality will be treated in compliance with the regulations in 
40 CFR part 2. If EPA obtains information from an authorized state 
NPDES program, which is not claimed to be confidential, EPA may make 
that information available to the public without further notice. Timely 
means that the authorized state, tribe, or territory submits these data 
transfers (see the data elements in appendix A to 40 CFR part 127) to 
EPA within 40 days of when the state, tribe, or territory completed the 
activity or received a report submitted by a regulated entity. For 
example, the data regarding a state inspection of an NPDES-regulated 
entity that is finalized by the state on October 5th must be 
electronically transferred to EPA no later than November 14th of that 
same year (e.g., 40 days after October 5th). EPA must become the 
initial recipient of electronic NPDES information from NPDES-regulated 
entities if the state, tribe, or territory does not consistently 
maintain these timely data transfers or does not comply with 40 CFR 
parts 3 and 127. See 40 CFR 127.2(b) and 127.27 regarding the initial 
recipient.
* * * * *

0
21. Amend Sec.  123.43 by revising paragraph (d) to read as follows:


Sec.  123.43  Transmission of information to EPA.

* * * * *
    (d) Any State permit program shall keep such records and submit to 
the Administrator such information as the Administrator may reasonably 
require to ascertain whether the State program complies with the 
requirements of the CWA or of this part. This includes the timely data 
transfers in compliance with all requirements of 40 CFR part 127 
(including the required data elements in appendix A to part 127).

0
22. Revise Sec.  123.45 to read as follows:


Sec.  123.45  Noncompliance and program reporting by the Director.

    As of December 21, 2021 EPA must prepare public (quarterly and 
annual) reports as set forth here from information that is required to 
be submitted by NPDES-regulated facilities and the State Director.
    (a) NPDES noncompliance reports (NNCR)--quarterly. EPA must produce 
an online report on a quarterly basis with the minimum content 
specified here. The Director must electronically submit timely, 
accurate, and complete data to EPA that allows EPA to prepare these 
quarterly NNCRs.
    (1) Content. The NNCR must include the following information:
    (i) A facility specific list of NPDES-regulated entities in 
violation, including non-POTWs, POTWs, Federal permittees, major 
facilities, and nonmajor facilities, as well as a list of CWA point 
sources that did not obtain NPDES permits authorizing discharges of 
pollutants to waters of the United States.
    (ii) For each identified NPDES-regulated entity in violation of the 
Clean Water Act:
    (A) The name, location, and permit number or other identification 
number, if a permit does not exist.
    (B) Information describing identified violation(s) that occurred in 
that quarter, including the date(s) on which violation(s) started and 
ended (if applicable). Where applicable, the information must indicate 
the pipe, parameter, and the effluent limit(s) violated. Violations 
must be classified as Category I and II as described in paragraph 
(a)(2) of this section.
    (C) The date(s) and type of formal enforcement and written informal 
enforcement action(s) taken by the Director to respond to violation(s), 
including any penalties assessed.
    (D) The status of the violation(s) (e.g., corrected or continuing, 
and the date that the violation(s) was resolved), which can be reported 
by linking violations to specific enforcement actions, or tracking 
noncompliance end dates.
    (E) Any optional details that may help explain the instance(s) of 
noncompliance as provided by the Director or EPA.
    (F) All violations must be reported in successive quarterly reports 
until the violation(s) is documented as being corrected (i.e., the 
regulated entity is no longer in violation). After a violation is 
reported as corrected in the NNCR, that particular violation will not 
continue to appear in subsequent quarterly reports, although it will 
appear in the relevant annual report.
    (G) If the permittee or discharger is in compliance with an 
enforcement order (e.g., permittee is completing the necessary upgrades 
to its existing wastewater treatment system in accordance with the 
schedule in the enforcement order), and has no new, additional 
violation(s), the compliance status must be reported as ``resolved 
pending'' in the NNCR. The permittee/discharger will continue to be 
listed on the NNCR until the violation(s) is documented as being 
corrected.
    (2) Violation classifications. A violation must be classified as 
``Category I Noncompliance'' if one or more of the criteria set forth 
below are met.
    (i) Reporting violations. These include failure to submit a 
complete, required report (e.g., final compliance schedule progress 
report, discharge monitoring report, annual report) within 30 days 
after the date established in a permit, administrative or judicial 
order, or regulation. In addition, these also include any failure to 
comply with the

[[Page 64101]]

reporting requirements at 40 CFR 122.41(l)(6).
    (ii) Compliance construction violations. These include failure to 
start construction, complete construction, or achieve final compliance 
within 90 days after the date established in a permit, administrative 
or judicial order, or regulation.
    (iii) Effluent limits. These include violations of interim or final 
effluent limits established in a permit, administrative or judicial 
enforcement order, or regulation that exceed the ``Criteria for 
Noncompliance Reporting in the NPDES Program'' in appendix A to Sec.  
123.45.
    (iv) Compliance schedule violations. These include violations of 
any requirement or condition in permits, or administrative or judicial 
enforcement orders, excluding reporting violations, compliance 
construction milestones and effluent limits.
    (v) Non-numeric effluent limit violations. These include violations 
of non-numeric effluent limits (e.g., violations of narrative permit 
requirements or requirements to implement best management practices) 
that caused or could cause water quality impacts. Examples of such 
impacts on water quality include, but are not limited to, unauthorized 
discharges that may have caused or contributed to exceedances in water 
quality standards, fish kills, oil sheens, beach closings, fishing 
bans, restrictions on designated uses, and unauthorized bypass or pass 
through or interference with the operations of a POTW (see 40 CFR 
403.3).
    (vi) Other violations. These include any violation or group of 
violations, which in the discretion of the Director or EPA, are 
considered to be of concern. These violations include repeat violations 
by a specific point source, geographic clusters of violations, 
corporations with violations at multiple facilities, or industrial 
sectors with identified patterns of violation that have a cumulative 
impact on water quality, but otherwise would not meet Category I 
criteria. EPA must determine whether to issue policy or guidance to 
provide more specificity on identifying these types of violations and 
how to report them.
    (vii) All other types of noncompliance that do not meet the 
criteria for Category I Noncompliance must be classified as ``Category 
II Noncompliance.''
    (3) EPA must provide an easy-to-use interface to facilitate public 
access, use, and understanding of the NNCR, including the ability to 
sort violations by duration, severity, frequency, detection method 
(e.g., self-reported effluent, monitoring, inspection), flow and 
pollutant loadings, type of discharger, waterbody receiving the 
discharge, proximity to impaired waters, and category of violation (I 
or II). EPA must exclude from public release any confidential business 
information or enforcement-sensitive information associated with the 
NNCR.
    (b) NPDES noncompliance reports--annual summary (annual). EPA must 
prepare annual public reports that provide a summary of compliance 
monitoring and enforcement activities within each state, tribe, and 
territory, as well as summary information on violations identified in 
the four quarterly NNCRs for that federal fiscal year. EPA must provide 
these annual reports by no later than March 1st of the following year.
    (1) Facility types covered by reports. EPA must produce, at a 
minimum, Annual Summary Reports for the following universes: 
Individually-permitted NPDES-regulated entities; all other NPDES-
regulated entities that are not individually permitted; Clean Water Act 
point sources that had unauthorized discharge(s) of pollutants to 
waters of the US; and a combined report that includes totals across all 
three reports above. Individually-permitted facilities are defined in 
this subsection as those permits that are unique to the permittee, that 
include permitted effluent limits, and require the submission of 
discharge monitoring reports.
    (2) Content of reports. Reports must include applicable data for 
NPDES-regulated entities:
    (i) The number of NPDES permittees;
    (ii) The number inspected by on-site inspections;
    (iii) The number reviewed in which permitted limits were compared 
to measured data to determine violations;
    (iv) The number evaluated by other, off-site compliance monitoring 
activities;
    (v) The number with any violations;
    (vi) The number with Category I violations;
    (vii) The number receiving paper or electronic written informal 
enforcement actions;
    (viii) The total number receiving formal enforcement actions with a 
compliance schedule;
    (ix) The total number receiving a penalty assessment;
    (x) The total amount of penalties assessed; and
    (xi) The number of permit modifications extending compliance 
deadlines more than one year.
    (c) Schedule for producing NNCR quarterly information. (1) The 
Director has until 45 days from the end of the calendar quarter to 
update or correct NPDES data submissions in EPA's national NPDES data 
system for events that occurred within that calendar quarter covered by 
the NNCR.
    (2) EPA must publish the NNCR in electronic form to be easily 
accessible and available to the public within two months after the end 
date of the calendar quarter:

                     EPA Schedule for Quarterly NNCR
------------------------------------------------------------------------
                                           EPA NNCR publication date for
            Calendar quarter                     calendar quarter
------------------------------------------------------------------------
January, February, March................  May 31.
April, May, June........................  August 31.
July, August, September.................  November 30.
October, November, and December.........  Last Day in February.
------------------------------------------------------------------------

Appendix A to Sec.  123.45--Criteria for Category I Noncompliance 
Reporting in the NPDES Program

    This appendix describes the criteria for reporting Category I 
violations of NPDES permit effluent limits in the NPDES non-
compliance report (NNCR) as specified under paragraph (a)(2)(C) of 
this section. Any violation of an NPDES permit is a violation of the 
Clean Water Act (CWA) for which the permittee is liable. As 
specified in paragraph (a)(2) of this section, there are two 
categories of noncompliance, and the table below indicates the 
thresholds for violations in Category I. An agency's decision as to 
what enforcement action, if any, should be taken in such cases, 
shall be based on an analysis of facts, legal requirements, policy, 
and guidance.

Violations of Permit Effluent Limits

    The categorization of permit effluent limits depends upon the 
magnitude and/or frequency of the violation. Effluent violations 
shall be evaluated on a parameter-by-parameter and outfall-by-
outfall basis. The criteria for reporting effluent violations are as 
follows:

a. Reporting Criteria for Category I Violations of Monthly Average 
Permit Limits--Magnitude and Frequency

    Violations of monthly average effluent limits which exceed or 
equal the product of the Technical Review Criteria (TRC) times the 
effluent limit, and occur two months in a six- month period must be 
reported. TRCs are for two groups of pollutants.

Group I Pollutants--TRC=1.4
Group II Pollutants--TRC=1.2

b. Reporting Criteria for Chronic Violations of Monthly Average Limits

    Chronic violations must be reported in the NNCR if the monthly 
average permit limits are exceeded any four months in a six-month 
period. These criteria apply to all Group I and Group II pollutants.

[[Page 64102]]

Group I Pollutants--TRC=1.4

Oxygen Demand

Biochemical Oxygen Demand
Chemical Oxygen Demand
Total Oxygen Demands
Total Organic Carbon
Other

Solids

Total Suspended Solids (Residues)
Total Dissolved Solids (Residues)
Other

Nutrients

Inorganic Phosphorus Compounds
Inorganic Nitrogen Compounds
Other

Detergents and Oils

MBAS
NTA
Oil and Grease
Other detergents or algicides

Minerals

Calcium
Chloride
Fluoride
Magnesium
Sodium
Potassium
Sulfur
Sulfate
Total Alkalinity
Total Hardness
Other Minerals

Metals

Aluminum
Cobalt
Iron
Vanadium

Group II Pollutants--TRC=1.2

Metals (all forms)
    Other metals not specifically listed under Group I

Inorganic

Cyanide
    Total Residual Chlorine

Organics

    All organics are Group II except those specifically listed under 
Group I.
0
23. Add part 127 to read as follows:
    PART 127--NPDES ELECTRONIC REPORTING
Subpart A--General
Sec.
127.1 Purpose and scope.
127.2 Definitions.
Subpart B--Electronic Reporting of NPDES Information From NPDES-
Regulated Facilities
127.11 Types of data to be reported electronically by NPDES 
permittees, facilities, and entities subject to this part [see Sec.  
127.1(a)].
127.12 Signature and certification standards for electronic 
reporting.
127.13 Requirements regarding quality assurance and quality control.
127.14 Requirements regarding timeliness, accuracy, completeness, 
and national consistency.
127.15 Waivers from electronic reporting.
127.16 Implementation of electronic reporting requirements for NPDES 
permittees, facilities, and entities subject to this part [see Sec.  
127.1(a)].
Subpart C--Responsibilities of EPA and States, Tribes, and Territories 
Authorized to Implement the NPDES Program
127.21 Data to be reported electronically to EPA by states, tribes, 
and territories.
127.22 Requirements regarding quality assurance and quality control.
127.23 Requirements regarding timeliness, accuracy, completeness, 
and national consistency.
127.24 Responsibilities regarding review of waiver requests from 
NPDES permittees, facilities, and entities subject to this part [see 
Sec.  127.1(a)].
127.25 Time for states, tribes, and territories to revise existing 
programs.
127.26 Implementation plan (authorized states, tribes, and 
territories).
127.27 Procedure for determining initial recipient of electronic 
NPDES information.
Appendix A to Part 127--Minimum Set of NPDES Data

    Authority:  33 U.S.C. 1251 et seq.

Subpart A--General


Sec.  127.1  Purpose and scope.

    (a) This part, in conjunction with the NPDES reporting requirements 
specified in 40 CFR parts 122, 123, 124, 125, 403, 501, and 503, 
specifies the requirements for:
    (1) Electronic reporting of information by NPDES permittees;
    (2) Facilities or entities seeking coverage under NPDES general 
permits;
    (3) Facilities or entities submitting stormwater certifications or 
waivers from NPDES permit requirements;
    (4) Industrial users located in municipalities without approved 
local pretreatment programs;
    (5) Approved pretreatment programs;
    (6) Facilities or entities regulated by the Federal sewage sludge/
biosolids program; and
    (7) EPA and the states, tribes, or territories that have received 
authorization from EPA to implement the NPDES program. This part, in 
conjunction with 40 CFR parts 123, 403, and 501, also specifies the 
requirements for electronic reporting of NPDES information to EPA by 
the states, tribes, or territories that have received authorization 
from EPA to implement the NPDES program.
    (b) These regulations are not intended to preclude states, tribes, 
or territories authorization from EPA to implement the NPDES program 
from developing and using their own NPDES data systems. However, these 
states, tribes, and territories must ensure that the required minimum 
set of NPDES data (appendix A of this part) is electronically 
transferred to EPA in a timely, accurate, complete, and nationally-
consistent manner fully compatible with EPA's national NPDES data 
system.
    (c) Under 10 U.S.C. 130e, the Secretary of Defense may exempt 
Department of Defense ``critical infrastructure security information'' 
from disclosure under the Freedom of Information Act (FOIA). NPDES 
program data designated as critical infrastructure security information 
in response to a FOIA request will be withheld from the public. In the 
instance where an NPDES program data element for a particular facility 
is designated as critical infrastructure security information in 
response to a FOIA request, a separate filtered set of data without the 
redacted information will be shared with the public; however, all NPDES 
program data will continue to be provided to EPA and the authorized 
state, tribe, or territory NPDES program.
    (d) Proper collection, management, and sharing of the data and 
information listed in appendix A ensures that there is timely, 
complete, accurate, and nationally-consistent set of data about the 
NPDES program.


Sec.  127.2  Definitions.

    (a) The definitions in 40 CFR parts 122, 123, 124, 125, 403, 501 
and 503 apply to all subparts of this part.
    (b) Initial recipient of electronic NPDES information from NPDES-
regulated facilities (initial recipient) means the entity (EPA or the 
state, tribe, or territory authorized by EPA to implement the NPDES 
program) that is the designated entity for receiving electronic NPDES 
data. Section 127.27 outlines the process for designating the initial 
recipient of electronic NPDES information from NPDES-regulated 
facilities. EPA must become the initial recipient of electronic NPDES 
information from NPDES-regulated facilities if the state, tribe, or 
territory does not collect the data required in appendix A to this part 
and does not consistently maintain timely, accurate, complete, and 
consistent data transfers in compliance with this part and 40 CFR part 
3. Timely means that the authorized state, tribe, or territory submits 
these data transfers (see the data elements in appendix A to this part) 
to EPA within 40 days of when the authorized program completed the 
activity or received a report submitted by a regulated entity. For 
example, the data regarding a state inspection of an NPDES-regulated 
entity that is finalized by the state on October 5th must be 
electronically transferred to EPA no

[[Page 64103]]

later than November 14th of that same year (e.g., 40 days after October 
5th).
    (c) NPDES data group means the group of related data elements 
identified in Table 1 in appendix A to this part. These NPDES data 
groups have similar regulatory reporting requirements and have similar 
data sources.
    (d) NPDES program means the National Pollutant Discharge 
Elimination System (Clean Water Act section 402); the Federal Sewage 
Sludge (Biosolids) Program (Clean Water Act section 405); and the 
Federal Pretreatment Program (Clean Water Act section 307(b); 40 CFR 
part 403). EPA can implement the NPDES program or authorize states, 
tribes, and territories to implement the NPDES program (``authorized 
NPDES program''). Identifying the relevant authority must be done for 
each NPDES subprogram (e.g., NPDES core program, federal facilities, 
general permits, pretreatment, and sewage sludge/biosolids).
    (e) Minimum set of NPDES data means the data and information listed 
in appendix A to this part.
    (f) Program reports means the information reported by NPDES-
regulated entities and listed in Table 1 of appendix A to this part 
(except NPDES Data Groups 1, 2, and 3).
    (g) Hybrid approach is a method that the initial recipient [as 
defined in paragraph (b) of this section] may elect to use for 
construction stormwater general permit reports [Notices of Intent to 
discharge (NOIs); Notices of Termination (NOTs); No Exposure 
Certifications (NOEs); Low Erosivity Waivers (LEWs)] [40 CFR 
122.26(b)(15), 122.28 and 122.64] in order to demonstrate compliance 
with this part. This alternative compliance method allows the initial 
recipient (the authorized state, tribe, territory or EPA) to use a non-
CROMERR electronic submission along with a uniquely matched paper 
submission, to reflect conditions at construction sites. Specifically, 
this approach allows the initial recipient to use data capture 
technologies to collect construction stormwater general permit reports. 
For example, under this approach the initial recipient may allow 
construction operators to complete an electronic construction 
stormwater general permit report, which simultaneously produces a paper 
copy of the report and electronically transmits a copy of the data from 
the report to the authorized NPDES program. Under this approach the 
construction operator must sign and date the paper copy of the 
construction stormwater general permit report with a ``wet-ink'' 
signature and this paper document will be the copy of record. Under 
this approach the initial recipient must have the ability to 
definitively and uniquely link the signed and dated paper document with 
the electronic submission from the facility or entity (e.g., use of a 
unique code or mark on the signed and dated paper document that is also 
embedded in the electronic submission). Under this approach the initial 
recipient may also use automated data capture technologies (e.g., 
Optical Character Recognition), which allow construction operators to 
submit their general permit reports to the initial recipient on paper 
with a ``wet-ink'' signature and date in a structured format that 
allows for easy data importation into the initial recipient's NPDES 
data system.
    (h) NPDES-regulated entity means any entity regulated by the NPDES 
program.

Subpart B--Electronic Reporting of NPDES Information From NPDES-
Regulated Facilities


Sec.  127.11  Types of data to be reported electronically by NPDES 
permittees, facilities, and entities subject to this part [see Sec.  
127.1(a)].

    (a) NPDES-regulated entities must electronically submit the minimum 
set of NPDES data for these NPDES reports (if such reporting 
requirements are applicable). The following NPDES reports are the 
source of the minimum set of NPDES data from NPDES-regulated entities:
    (1) Discharge Monitoring Report [40 CFR 122.41(l)(4)];
    (2) Sewage Sludge/Biosolids Annual Program Report [40 CFR part 
503];
    (3) Concentrated Animal Feeding Operation (CAFO) Annual Program 
Report [40 CFR 122.42(e)(4)];
    (4) Municipal Separate Storm Sewer System (MS4) Program Report [40 
CFR 122.34(g)(3) and 122.42(c)];
    (5) Pretreatment Program Annual Report [40 CFR 403.12(i)];
    (6) Sewer Overflow and Bypass Incident Event Report [40 CFR 
122.41(l)(6) and (7)]; and
    (7) CWA section 316(b) Annual Reports [40 CFR part 125, subpart J].
    (b) Facilities or entities seeking coverage under or termination 
from NPDES general permits and facilities or entities submitting 
stormwater certifications or waivers from NPDES permit requirements 
[see Exhibit 1 to 40 CFR 122.26(b)(15) and (g)] must electronically 
submit the minimum set of NPDES data for the following notices, 
certifications, and waivers (if such reporting requirements are 
applicable):
    (1) Notice of intent (NOI) to discharge by facilities seeking 
coverage under a general NPDES permit (rather than an individual NPDES 
permit), as described in 40 CFR 122.28(b)(2);
    (2) Notice of termination (NOT), as described in 40 CFR 122.64;
    (3) No exposure certification (NOE), as described in 40 CFR 
122.26(g)(1)(iii); and
    (4) Low erosivity waiver (LEW) and another waiver as described in 
Exhibit 1 to 40 CFR 122.26(b)(15).
    (c) Industrial users located in municipalities without approved 
local pretreatment programs must electronically submit the minimum set 
of NPDES data for the following self-monitoring reports (if such 
reporting requirements are applicable):
    (1) Periodic reports on continued compliance, as described in 40 
CFR 403.12(e); and
    (2) Reporting requirements for Industrial Users not subject to 
categorical Pretreatment Standards, as described in 40 CFR 403.12(h).
    (d) The minimum set of NPDES data for NPDES-regulated facilities is 
identified in appendix A to this part.


Sec.  127.12  Signature and certification standards for electronic 
reporting.

    The signatory and certification requirements identified in 40 CFR 
part 3 (including, in all cases, subpart D to part 3), Sec.  122.22, 
and 40 CFR 403.12(l) must also apply to electronic submissions of NPDES 
information (see Sec.  127.11) by NPDES permittees, facilities, and 
entities subject to this part [see Sec.  127.1(a)].


Sec.  127.13  Requirements regarding quality assurance and quality 
control.

    (a) Responsibility for the quality of the information provided 
electronically in compliance with this part by the NPDES permittees, 
facilities, and entities subject to this part [see Sec.  127.1(a)] 
rests with the owners and operators of those facilities or entities. 
NPDES permittees, facilities, and entities subject to this part must 
use quality assurance and quality control procedures to ensure the 
quality of the NPDES information submitted in compliance with this 
part.
    (b) NPDES permittees, facilities, and entities subject to this part 
must electronically submit their NPDES information in compliance with 
the data quality requirements specified in Sec.  127.14. NPDES 
permittees, facilities, and entities subject to this part must 
electronically submit their NPDES information unless a waiver is 
granted in compliance with this part (see Sec. Sec.  127.15 and 
127.24).

[[Page 64104]]

Sec.  127.14  Requirements regarding timeliness, accuracy, 
completeness, and national consistency.

    NPDES permittees, facilities, and entities subject to this part 
[see Sec.  127.1(a)] must comply with all requirements in this part and 
electronically submit the minimum set of NPDES data in the following 
nationally-consistent manner:
    (a) Timely. Electronic submissions of the minimum set of NPDES data 
to the appropriate initial recipient, as defined in Sec.  127.2(b), 
must be timely.
    (1) Measurement data (including information from discharge 
monitoring reports, self-monitoring data from industrial users located 
outside of approved local pretreatment programs, and similar self-
monitoring data). The electronic submission of these data is due when 
that monitoring information is required to be reported in compliance 
with statutes, regulations, the NPDES permit, another control 
mechanism, or an enforcement order.
    (2) Program report data. The electronic submission of this data is 
due when that program report data is required to be reported in 
compliance with statutes, regulations, the NPDES permit, another 
control mechanism, or an enforcement order.
    (b) Accurate. Electronic submissions of the minimum set of NPDES 
data must be identical to the actual measurements taken by the owner, 
operator, or their duly authorized representative;
    (c) Complete. Electronic submission of the minimum set of NPDES 
data must include all required data (see appendix A to this part) and 
these electronic submissions must be sent to the NPDES data system of 
the initial recipient, as defined in Sec.  127.2(b); and
    (d) Consistent. Electronic submissions of the minimum set of NPDES 
data must be compliant with EPA data standards as set forth in this 
part and in a form (including measurement units) and be fully 
compatible with EPA's national NPDES data system.


Sec.  127.15  Waivers from electronic reporting.

    (a) NPDES permittees, facilities, and entities subject to this part 
[see Sec.  127.1(a)] must electronically submit the minimum set of 
NPDES data in compliance with this part, 40 CFR part 3 (including, in 
all cases, subpart D to part 3), 40 CFR 122.22, and 40 CFR 403.12(l) 
unless a waiver is granted in compliance with this section and Sec.  
127.24.
    (b) Temporary waivers from electronic reporting may be granted by 
the authorized NPDES program (EPA, or states, territories, and tribes 
that have received authorization to implement the NPDES program), in 
compliance with this section and Sec.  127.24, to NPDES permittees, 
facilities, and entities subject to this part [see Sec.  127.1(a)].
    (1) Each temporary waiver must not extend beyond five years. 
However, NPDES-regulated entities may re-apply for a temporary waiver. 
It is the duty of the owner, operator, or duly authorized 
representative of the NPDES permittee, facility, and entity subject to 
this part [see Sec. Sec.  122.22 of this chapter and 127.1(a)] to re-
apply for a new temporary waiver. Authorized NPDES programs cannot 
grant a temporary waiver to an NPDES-regulated entity without first 
receiving a temporary waiver request from the NPDES-regulated entity.
    (2) To apply for a temporary waiver, the owner, operator, or duly 
authorized representative of the NPDES permittee, facility, and entity 
subject to this part [see Sec. Sec.  122.22 of this chapter and 
127.1(a)] must submit the following information to their authorized 
NPDES program:
    (i) Facility name;
    (ii) NPDES permit number (if applicable);
    (iii) Facility address;
    (iv) Name, address and contact information for the owner, operator, 
or duly authorized facility representative;
    (v) Brief written statement regarding the basis for claiming such a 
temporary waiver; and
    (vi) Any other information required by the authorized NPDES 
program.
    (3) The authorized NPDES program will determine whether to grant a 
temporary waiver. The authorized NPDES program must provide notice to 
the owner, operator, or duly authorized facility representative 
submitting a temporary waiver request, in compliance with the 
requirements of Sec.  127.24.
    (4) NPDES permittees, facilities, and entities subject to this part 
[see Sec.  127.1(a)] that have received a temporary waiver must 
continue to provide the minimum set of NPDES data (as well as other 
required information in compliance with statutes, regulations, the 
NPDES permit, another control mechanism, or an enforcement order) in 
hard-copy format to the authorized NPDES program. The authorized NPDES 
program must electronically transfer these data to EPA in accordance 
with subpart C of this part.
    (5) An approved temporary waiver is not transferrable.
    (c) Permanent waivers from electronic reporting may be granted by 
the authorized NPDES program (EPA, or states, territories, and tribes 
that have received authorization to implement the NPDES program), in 
compliance accordance with this section and Sec.  127.24, to NPDES 
permittees, facilities, and entities subject to this part [see Sec.  
127.1(a)].
    (1) Permanent waivers are only available to facilities and entities 
owned or operated by members of religious communities that choose not 
to use certain modern technologies (e.g., computers, electricity). 
Authorized NPDES programs cannot grant a permanent waiver to an NPDES-
regulated entity without first receiving a permanent waiver request 
from the NPDES-regulated entity.
    (2) To apply for a permanent waiver, the owner, operator, or duly 
authorized representative of the NPDES permittee, facility, and entity 
subject to this part [see Sec. Sec.  122.22 of this chapter and 
127.1(a)] must submit the information listed in Sec.  127.15(b)(2) to 
their authorized NPDES program.
    (3) An approved permanent waiver is not transferrable.
    (4) NPDES permittees, facilities, and entities subject to this part 
[see Sec.  127.1(a)] that have received a permanent waiver must 
continue to provide the minimum set of NPDES data (as well as other 
required information in compliance with statutes, regulations, the 
NPDES permit, another control mechanism, or an enforcement order) in 
hard-copy format to the authorized NPDES program. The authorized NPDES 
program must electronically transfer these data to EPA in accordance 
with subpart C of this part.
    (d) Episodic waivers from electronic reporting may be granted by 
the authorized NPDES program (EPA, or states, territories, and tribes 
that have received authorization to implement the NPDES program) or the 
initial recipient, as defined in Sec.  127.2(b), in compliance 
accordance with this section and Sec.  127.24, to NPDES permittees, 
facilities, and entities subject to this part [see Sec.  127.1(a)]. The 
following conditions apply to episodic waivers.
    (1) No waiver request from the NPDES permittee, facility or entity 
is required to obtain an episodic waiver from electronic reporting.
    (2) Episodic waivers are not transferrable.
    (3) Episodic waivers cannot last more than 60 days.
    (4) The authorized NPDES program or initial recipient will decide 
if the episodic waiver provision allows facilities and entities to 
delay their electronic submissions or to send hardcopy (paper) 
submissions. Episodic waivers are only available to facilities

[[Page 64105]]

and entities in the following circumstances:
    (i) Large scale emergencies involving catastrophic circumstances 
beyond the control of the facilities, such as forces of nature (e.g., 
hurricanes, floods, fires, earthquakes) or other national disasters. 
The authorized NPDES program will make the determination if an episodic 
waiver is warranted in this case and must receive the hardcopy (paper) 
submissions.
    (ii) Prolonged electronic reporting system outages (i.e., outages 
longer than 96 hours). The initial recipient, which may also be the 
authorized NPDES program, will make the determination if an episodic 
waiver is warranted in this case and must receive the hardcopy (paper) 
submissions.


Sec.  127.16  Implementation of electronic reporting requirements for 
NPDES permittees, facilities, and entities subject to this part [see 
Sec.  127.1(a)].

    (a) Scope and schedule. NPDES permittees, facilities, and entities 
subject to this part [see Sec.  127.1(a)], with the exception of those 
covered by waivers under Sec. Sec.  127.15 and 127.24, must 
electronically submit the following NPDES information (reports, 
notices, waivers, and certifications) after the start dates listed in 
Table 1 of this section. This part is not intended to undo existing 
requirements for electronic reporting. Prior to this date, and 
independent of this part, the permittee may be required to report 
electronically if specified by a particular permit or if required to do 
so by state law.

  Table 1--Start Dates for Electronic Submissions of NPDES Information
------------------------------------------------------------------------
                                             Start dates for electronic
             NPDES information                       submissions
------------------------------------------------------------------------
General Permit Reports [Notices of Intent   December 21, 2020.
 to discharge (NOIs); Notices of
 Termination (NOTs); No Exposure
 Certifications (NOEs); Low Erosivity
 Waivers (LEWs) and other Waivers] [40 CFR
 122.26(b)(15), 122.28 and 122.64].
Discharge Monitoring Reports [40 CFR        December 21, 2016.
 122.41(l)(4)].
Biosolids Annual Program Reports [40 CFR    December 21, 2016 (when the
 part 503].                                  Regional Administrator is
                                             the Director).\1\
                                            December 21, 2020 (when the
                                             state, tribe or territory
                                             is the authorized NPDES
                                             program).\1\
Concentrated Animal Feeding Operation       December 21, 2020.
 (CAFO) Annual Program Reports [40 CFR
 122.42(e)(4)].
Municipal Separate Storm Sewer System       December 21, 2020.
 (MS4) Program Reports [40 CFR
 122.34(g)(3) and 122.42(c)].
POTW Pretreatment Program Annual Reports    December 21, 2020.
 [40 CFR 403.12(i)].
Significant Industrial User Compliance      December 21, 2020.
 Reports in Municipalities Without
 Approved Pretreatment Programs [40 CFR
 403.12(e) and (h)].
Sewer Overflow Event Reports [40 CFR        December 21, 2020.
 122.41(l)(6) and (7)].
CWA 316(b) Annual Reports [40 CFR part      December 21, 2020.
 125, subparts I, J, and N].
------------------------------------------------------------------------
\1\Note: Director is defined in 40 CFR 122.2.

    (b) Electronic reporting standards. NPDES permittees, facilities, 
and entities subject to this part [see Sec.  127.1(a)] must 
electronically submit the information listed in Table 1 in Sec.  
127.16(a) in compliance with this part and 40 CFR part 3 (including, in 
all cases, subpart D to part 3), 40 CFR 122.22, and 40 CFR 403.12(l).
    (c) Initial recipient. NPDES permittees, facilities, and entities 
subject to this part [see Sec.  127.1(a)] must electronically submit 
the information listed in Table 1 in Sec.  127.16(a) to the Director, 
Control Authority, Approval Authority, or initial recipient [as 
identified in Sec.  127.27, and as defined in Sec.  127.2(b)]. EPA must 
identify and publish the initial recipient on an EPA Web site and in 
the Federal Register, by state and by NPDES data group [see Sec.  
127.2(c)].
    (d) Standards for NPDES regulated entities with electronic 
reporting waivers. NPDES permittees, facilities, and entities subject 
to this part [see Sec.  127.1(a)] that have received a waiver from 
electronic reporting must continue to provide the minimum set of NPDES 
data (as well as other required information in compliance with 
statutes, regulations, the NPDES permit, another control mechanism, or 
an enforcement order) to the authorized NPDES program or initial 
recipient (see Sec.  127.15).

Subpart C--Responsibilities of EPA and States, Tribes, and 
Territories Authorized to Implement the NPDES Program


Sec.  127.21  Data to be reported electronically to EPA by states, 
tribes, and territories.

    (a) States, tribes, and territories that have received 
authorization from EPA to implement the NPDES program must 
electronically transfer to EPA all information listed in appendix A to 
this part. This information includes:
    (1) The ``Core NPDES Permitting, Compliance, And Enforcement Data 
[40 CFR parts 122, 123, 403, 503]'' as identified as NPDES Data Group 1 
in Tables 1 and 2 in appendix A to this part.
    (2) NPDES information (NPDES Data Groups 2 through 10 in Tables 1 
and 2 in appendix A to this part) from NPDES permittees, facilities, 
and entities subject to this part [see Sec.  127.1(a)] where the 
authorized state, tribe, or territory is the initial recipient [as 
identified in Sec.  127.27, and as defined in Sec.  127.2(b)]. This 
includes NPDES information from NPDES permittees, facilities, and 
entities subject to this part that received a waiver from electronic 
reporting (see Sec.  127.15).
    (3) Specific data elements that are required to be submitted 
electronically to EPA by the states, tribes, or territories that have 
received authorization from EPA to implement the NPDES program are 
identified in appendix A to this part.
    (b) States, tribes, and territories that have received 
authorization from EPA to implement the NPDES program must 
electronically transfer these data, listed in Sec.  127.21(a), to EPA 
within 40 days of the completed activity or within 40 days of the 
receipt of a report from an NPDES permittee, facility, or entity 
subject to this part [see Sec.  127.1(a)].


Sec.  127.22  Requirements regarding quality assurance and quality 
control.

    States, tribes, and territories that have received authorization 
from EPA to implement the NPDES program have the responsibility for the 
information that they electronically transfer to EPA. Therefore, 
authorized states, tribes, and territories that electronically transfer

[[Page 64106]]

data to EPA must use reasonable quality assurance and quality control 
procedures to ensure the quality of the NPDES information.


Sec.  127.23  Requirements regarding timeliness, accuracy, 
completeness, and national consistency.

    (a) Authorized state, tribe, and territory NPDES programs must 
electronically transfer all NPDES program data that supports electronic 
reporting (e.g., facility information and permit information such as 
limits, permitted features, and narrative conditions) to EPA three 
months prior to the electronic reporting start dates in Table 1 in 
Sec.  127.16(a) and maintain updates thereafter. These electronic data 
transfers must be timely, accurate, complete, and consistent.
    (b) According to the schedule set forth in Sec.  127.16, the 
authorized NPDES program must electronically transfer to EPA the 
minimum set of NPDES data (as specified in appendix A to this part). 
These electronic data transfers to EPA must be timely, accurate, 
complete, and consistent.
    (c) For the purposes of this part timely, accurate, complete, and 
consistent mean:
    (1) Timely, in that the authorized state, tribe, or territory NPDES 
program electronically transfers the minimum set of NPDES data to EPA 
within 40 days of the completed activity or within 40 days of receipt 
of a report from an NPDES permittee, facility, or entity subject to 
this part [see Sec.  127.1(a)]. For example, the data regarding a state 
inspection of an NPDES-regulated entity that is finalized by the state 
on October 5th must be electronically transferred to EPA no later than 
November 14th of that same year (e.g., 40 days after October 5th). The 
start dates for electronic reporting from NPDES permittees, facilities, 
and entities subject to this part [see Sec.  127.1(a)] are provided in 
Table 1 in Sec.  127.16(a).
    (2) Accurate, in that 95% or more of the minimum set of NPDES data 
in EPA's national NPDES data system are identical to the actual 
information on the copy of record (e.g., permit, notice, waiver, 
certification, report, enforcement order, or other source document);
    (3) Complete, in that 95% or more of submissions required for each 
NPDES data group [see Sec.  127.2(c)] are available in EPA's national 
NPDES data system; and
    (4) Consistent, in that data electronically submitted by states, 
tribes, and territories to EPA, by direct entry of information, data 
transfers from one data system to another, or some combination thereof, 
into EPA's designated national NPDES data system is in compliance with 
EPA's data standards as set forth in this part and in a form and 
measurement units which are fully compatible with EPA's national NPDES 
data system.
    (d) An authorized program must consistently maintain the 
requirements identified in paragraph (a) of this section in order to be 
the initial recipient, as defined in Sec.  127.2(b). If the authorized 
program does not maintain these requirements, EPA must become the 
initial recipient (see Sec.  127.27).


Sec.  127.24  Responsibilities regarding review of waiver requests from 
NPDES permittees, facilities, and entities subject to this part [see 
Sec.  127.1(a)].

    (a) Under Sec.  127.15, an NPDES permittee, facility, or entity 
subject to this part [see Sec.  127.1(a)] may seek a waiver from 
electronic reporting. States, tribes, and territories that have 
received authorization from EPA to implement the NPDES program must 
review the temporary or permanent waiver requests that they receive and 
either approve or reject these requests within 120 days.
    (b) The authorized NPDES state, tribe, or territory program must 
provide the permittee, facility, or entity with notice of the approval 
or rejection of their temporary or permanent waiver request from 
electronic reporting.
    (c) The authorized NPDES state, tribal, or territory program must 
electronically transfer to EPA the minimum set of NPDES data (as 
specified in appendix A to this part) that they receive from 
permittees, facilities, or entities with a waiver from electronic 
reporting in accordance with Sec.  127.23.
    (d) Under Sec.  127.15(d), episodic waivers from electronic 
reporting may be granted by the authorized NPDES program or the initial 
recipient to NPDES permittees, facilities, and entities. The authorized 
NPDES program or initial recipient granting an episodic waiver must 
provide notice, individually or through means of mass communication, 
regarding when such an episodic waiver is available, the facilities and 
entities that may use the episodic waiver, the likely duration of the 
episodic waiver, and any other directions regarding how facilities and 
entities should provide the minimum set of NPDES data (as well as other 
required information in compliance with statutes, regulations, the 
NPDES permit, another control mechanism, or an enforcement order) to 
the authorized NPDES program or the initial recipient. No waiver 
request from the NPDES permittee, facility or entity is required to 
obtain an episodic waiver from electronic reporting. The authorized 
NPDES program or initial recipient granting the episodic waiver will 
determine whether to allow facilities and entities to delay their 
electronic submissions for a short time (i.e., no more than 40 days) or 
to send hardcopy (paper) submissions.


Sec.  127.25  Time for states, tribes, and territories to revise 
existing programs.

    A state, tribe, or territory that has received authorization from 
EPA to implement the NPDES program must make program revisions in 
compliance with 40 CFR 123.62(e).


Sec.  127.26  Implementation plan (authorized states, tribes, and 
territories).

    (a) Initial recipient designation procedure. EPA and authorized 
state, tribe, and territory NPDES programs must follow the procedure in 
Sec.  127.27 for determining the initial recipient of electronic NPDES 
information from NPDES-regulated facilities (see Sec.  127.2(b)).
    (b) NPDES data system requirements. Authorized state, tribe, and 
territory NPDES programs must update their electronic data system to 
electronically collect the minimum set of NPDES data and facilitate 
compliance with this part (including Sec. Sec.  127.22 and 127.23) and 
40 CFR part 3. The authorized NPDES program's electronic data system 
must facilitate electronic reporting from NPDES permittees, facilities, 
and entities subject to this part [see Sec.  127.1(a)] in compliance 
with the start dates in Table 1 in Sec.  127.16(a). Authorized NPDES 
programs may elect to use EPA's national NPDES data system (and related 
Internet services and applications) for their electronic data system.
    (c) Preparatory actions for electronic reporting. Authorized state, 
tribe, and territory NPDES programs must electronically transfer all 
NPDES data that supports electronic reporting (e.g., permitting, 
compliance monitoring, compliance determinations, and enforcement 
activities) to EPA's national NPDES data system three months prior to 
the electronic reporting start dates in Table 1 in Sec.  127.16(a) and 
maintain updates thereafter. These electronic data transfers must be 
timely, accurate, complete, and consistent (see Sec.  127.23).
    (d) Transfer of NPDES program data to EPA. A state, tribe, or 
territory that is designated by EPA as the initial recipient [see 
Sec. Sec.  127.2(b) and 127.27] for an NPDES data group [as defined in 
Sec.  127.2(c)] must electronically collect and maintain the minimum 
set of

[[Page 64107]]

NPDES data (as specified in appendix A to this part) and electronically 
transfer these data to EPA's national NPDES data system through timely, 
accurate, complete, and consistent electronic data transfers in 
compliance with this part (including Sec. Sec.  127.22 and 127.23) and 
40 CFR part 3.
    (e) Updating state statutes and regulations. Authorized state, 
tribe, or territory NPDES programs must update their NPDES programs to 
implement this part. See 40 CFR 123.62(e).
    (f) Inclusion of electronic reporting requirements in NPDES 
permits. All permits issued by the EPA and the authorized states, 
tribes, or territory NPDES program must contain permit conditions 
requiring compliance with the electronic reporting requirements in this 
part, 40 CFR part 3, and 40 CFR 122.22. NPDES-regulated facilities 
which already have electronic reporting requirements in their permits 
that meet the requirements in this part, 40 CFR part 3, and 40 CFR 
122.22 must continue their electronic reporting to the initial 
recipient [see Sec. Sec.  127.2(b) and 127.27].
    (g) Hybrid approach. Authorized state, tribe, or territory NPDES 
programs may elect to use the Hybrid Approach [as defined in Sec.  
127.2(g)] for the collection of the minimum set of NPDES data contained 
in construction stormwater general permit reports [see Table 1 in Sec.  
127.16(a)].
    (h) Authorized NPDES program implementation plans. A state, tribe, 
or territory that is designated by EPA as the initial recipient [see 
Sec. Sec.  127.2(b) and 127.27] for an NPDES data group [as defined in 
Sec.  127.2(c)] must submit an implementation plan to EPA for review. 
EPA will inform the authorized NPDES program if the implementation plan 
is adequate. This plan must provide enough details (e.g., tasks, 
milestones, roles and responsibilities, necessary resources) to clearly 
describe how the program will successfully implement this part 
(including a description of their electronic reporting waiver approval 
process); however, this plan does not include electronic reporting of 
Discharge Monitoring Reports or Forms Provided or Specified by the 
Director (DMRs) [40 CFR 122.41(l)(4)]. These implementation plans must 
be submitted to EPA by December 21, 2016 for EPA review.
    (i) Updating waiver approval process. A state, tribe, or territory 
that is designated by EPA as the initial recipient [see Sec. Sec.  
127.2(b) and 127.27] for an NPDES data group [as defined in Sec.  
127.2(c)] must submit an updated waiver approval process to EPA every 
five years. EPA will inform the authorized NPDES program if the waiver 
approval process adequate.
    (j) Electronic participation rates assessment. EPA will assess the 
electronic reporting participation rate of NPDES permittees, 
facilities, and entities subject to this part [see Sec.  127.1(a)] for 
each authorized NPDES program and by each NPDES data group to determine 
the appropriateness of using use its authority to increase the 
electronic reporting percentage rate.
    (1) EPA will separately calculate the electronic reporting 
participation rate for each authorized NPDES program and for each NPDES 
data group six months after the deadline for conversion from paper to 
electronic submissions [see the start dates for electronic reporting in 
Table 1 in Sec.  127.16(a)]. EPA will assess the electronic reporting 
participation rate for individually permitted facilities separate from 
the electronic reporting participation rate for general permit covered 
facilities for Discharge Monitoring Reports [NPDES Data Group Number 
3].
    (2) As appropriate, EPA will contact the facilities and entities 
that are not electronically reporting their reports, notices, waivers, 
and certifications after the start dates for electronic reporting [see 
Table 1 in Sec.  127.16(a)]. EPA will not contact facilities and 
entities with waivers from electronic reporting (see Sec.  127.15). EPA 
will direct these facilities and entities to use the electronic 
reporting system of the initial recipient [as identified in Sec.  
127.27, and as defined in Sec.  127.2(b)].
    (3) EPA will annually repeat its review of the electronic reporting 
participation rate for each authorized NPDES program and for each NPDES 
group as appropriate and contact facilities and entities as appropriate 
to use the electronic reporting system of the initial recipient [as 
identified in Sec.  127.27, and as defined in Sec.  127.2(b)].


Sec.  127.27  Procedure for determining initial recipient of electronic 
NPDES information.

    (a) An authorized NPDES program must notify EPA by April 19, 2016 
if it wishes EPA to be the initial recipient for a particular NPDES 
data group.
    (b) A state, tribe, or territory that seeks authorization to 
implement an NPDES program after March 21, 2016 must describe if it is 
requesting to be the initial recipient of electronic NPDES information 
from NPDES-regulated facilities for specific NPDES data groups. See 40 
CFR 123.22(g) and appendix A to this part.
    (c) By July 18, 2016, EPA must publish on its Web site and in the 
Federal Register a listing of the initial recipients for electronic 
NPDES information from NPDES-regulated facilities by state, tribe, and 
territory and by NPDES data group. This listing must identify for 
NPDES-regulated facilities the initial recipient of their NPDES 
electronic data submissions and the due date for these NPDES electronic 
data submissions. EPA must update this listing on its Web site and in 
the Federal Register if a state, tribe, or territory gains 
authorization status to implement an NPDES program and is also approved 
by EPA to be the initial recipient of NPDES electronic data submissions 
for that program.
    (d) Failure to maintain all the requirements in this part and 40 
CFR part 3 must prohibit the state, territory, or tribe from being the 
initial recipient of electronic NPDES information from NPDES-regulated 
entities. The following is the process for these determinations:
    (1) EPA must make a preliminary determination identifying if an 
authorized state, tribe, or territory is not complying with the 
requirements in this part and 40 CFR part 3 to be an initial recipient 
of electronic NPDES information from NPDES-regulated facilities. EPA 
must provide to the Director of the authorized NPDES program the 
rationale for any such preliminary determination and options for 
correcting these deficiencies. Within 60 days of EPA's preliminary 
determination, the authorized state, tribe, or territory must fully 
correct all deficiencies identified by EPA and notify EPA that such 
corrections have been completed. No response from the Director of the 
authorized NPDES program must indicate that the state, territory, or 
tribe agrees to be removed as the initial recipient for that NPDES data 
group of electronic NPDES information. Within 90 days of the EPA's 
preliminary determination, EPA must provide to the Director of the 
authorized NPDES program a final determination whether the state, 
tribe, or territory is not complying with the requirements in this part 
and 40 CFR part 3 to be an initial recipient of electronic NPDES 
information from NPDES-regulated facilities.
    (2) EPA must become the initial recipient of electronic NPDES 
information from NPDES-regulated facilities if the state, tribe, or 
territory does not consistently maintain electronic data transfers in 
compliance with this part and 40 CFR part 3.
    (3) EPA must update the initial recipient listing described in 
paragraph (c) of this section and publish this listing on its Web site 
and in the Federal Register when it provides a final determination 
described in paragraph (d)(1) of this section to the

[[Page 64108]]

Director of the authorized NPDES program.
    (4) Following any determination of noncompliance made in compliance 
with paragraph (d)(1) of this section, EPA will work with the Director 
of the authorized NPDES program to remediate all issues identified by 
EPA that prevent the authorized NPDES program from being the initial 
recipient. When the issues identified by EPA are satisfactorily 
resolved, EPA must update the initial recipient listing in paragraph 
(c) of this section in order to list the authorized state, tribe, or 
territory as the initial recipient for the one or more NPDES data 
groups. EPA will publish this revised initial recipient listing on its 
Web site and in the Federal Register.
    (e) An authorized NPDES program can initially elect for EPA to be 
the initial recipient for one or all of the NPDES data groups and then 
at a later date seek EPA approval to change the initial recipient 
status for one or all of the NPDES data groups from EPA to the 
authorized state, tribe, or territory. To make this switch, the 
authorized state, tribe, or territory will send a request to EPA. This 
request must identify the specific NPDES data groups for which the 
state, tribe, or territory would like to be the initial recipient of 
electronic NPDES information, a description of how its data system will 
be compliant with this part and 40 CFR part 3, and the date or dates 
when the state, tribe, or territory will be ready to start receiving 
this information. After EPA approval of the request, EPA will update 
the initial recipient list and will publish the revised initial 
recipient listing on its Web site and in the Federal Register.
    (f) An authorized NPDES program can initially elect to be the 
initial recipient for one or all of the NPDES data groups and then at a 
later date request that EPA become the initial recipient for one or all 
of the NPDES data groups. To make this switch, the authorized state, 
tribe, or territory will send a request to EPA. After coordination with 
the state EPA will update the initial recipient list and will publish 
the revised initial recipient listing on its Web site and in the 
Federal Register.

Appendix A to Part 127--Minimum Set of NPDES Data

    The following two tables identify the minimum set of NPDES data 
that authorized states, tribes, territories must enter or transfer 
to EPA's national NPDES data system as well as what NPDES-regulated 
entities must electronically report to the designated initial 
recipient (authorized NPDES program or EPA) [see 40 CFR 127.2(b)]. 
Authorized NPDES programs will be the data provider in the event the 
regulated entity is covered by a waiver from electronic reporting. 
Use of these two tables ensures that there is consistent and 
complete reporting nationwide, and expeditious collection and 
processing of the data, thereby making it more accurate and timely. 
Taken together, these data standardizations and the corresponding 
electronic reporting requirements in 40 CFR parts 3, 122, 123, 124, 
125, 127, 403, and 503 are designed to save the NPDES authorized 
programs considerable resources, make reporting easier for NPDES-
regulated entities, streamline permit renewals (as permit writers 
typically review previous noncompliance events during permit 
renewal), ensure full exchange of NPDES program data between states 
and EPA to the public, improve environmental decision-making, and 
protect human health and the environment.
    Authorized NPDES programs may also require NPDES regulated 
entities to submit more data than what is listed in this appendix. 
The authorized NPDES program can require NPDES regulated entities to 
submit these ``non-appendix A'' data on paper, electronically, or 
attachments to electronic notices and reports filed in compliance 
with this part.
    Instructions: Table 1 of this appendix provides the list of data 
sources and minimum submission frequencies for the ten different 
NPDES Data Groups. Table 2 of this appendix provides the data that 
must be electronically reported for each of these NPDES Data Groups. 
The use of each data element is determined by identifying the 
number(s) in the column labeled ``NPDES Data Group Number'' in Table 
2 and finding the corresponding ``NPDES Data Group Number'' in Table 
1. For example, a value of ``1'' in Table 2 means that this data 
element is required in the electronic transmission of data from the 
NPDES program to EPA (Core NPDES Permitting, Compliance, and 
Enforcement Data). Likewise, a value of ``1 through 10'' in Table 2 
means that this data element is required in all ten NPDES data 
groups. NPDES regulated entities that have no historical record 
(e.g., ``greenfield'' facilities) do not need to provide data 
elements that rely on historical data elements. For the purposes of 
this appendix, the term `sewage sludge' [see 40 CFR 503.9(w)] also 
refers to the material that is commonly referred to as `biosolids.' 
EPA does not have a regulatory definition for biosolids but this 
material is commonly referred to as sewage sludge that is placed on, 
or applied to the land to use the beneficial properties of the 
material as a soil amendment, conditioner, or fertilizer. EPA's use 
of the term `biosolids' in this appendix is to confirm that 
information about beneficially used sewage sludge (a.k.a. biosolids) 
is part of the data collected in this appendix.

                               Table 1--Data Sources and Regulatory Citations \1\
----------------------------------------------------------------------------------------------------------------
   NPDES Data
  group No.\2\       NPDES data group          Program area          Data provider        Minimum frequency \3\
----------------------------------------------------------------------------------------------------------------
1..............  Core NPDES Permitting,    All NPDES Program    Authorized NPDES         Within 40 days of the
                  Compliance, and           Sectors.             Program.                 completed activity
                  Enforcement Data [40                                                   or within 40 days of
                  CFR parts 122, 123,                                                     receipt of a report
                  403, 503].                                                              from a regulated
                                                                                          entity [see Sec.
                                                                                          127.23(a)(1)].
                                                                                          However, the frequency
                                                                                          associated with any
                                                                                          particular permittee
                                                                                          may be considerably
                                                                                          less [e.g., once every
                                                                                          five years for most
                                                                                          permit information].
2..............  General Permit Reports    All NPDES Program    NPDES Permittee........  Prior to obtaining
                  [Notices of Intent to     Sectors.                                      coverage under a
                  discharge (NOIs);                                                       general permit or
                  Notices of Termination                                                  consideration for
                  (NOTs); No Exposure                                                     permit exclusion or
                  Certifications (NOEs);                                                  waiver from
                  Low Erosivity Waivers                                                   permitting, and permit
                  and Other Waivers from                                                  coverage termination.
                  Stormwater Controls                                                     General permits are
                  (LEWs)] [40 CFR                                                         generally issued once
                  122.26(b)(15), 122.28                                                   every five years.
                  and 124.5].

[[Page 64109]]

 
3..............  Discharge Monitoring      Most NPDES Program   NPDES Permittee........  At least annual, more
                  Reports [40 CFR           Sectors.                                      frequent submissions
                  122.41(l)(4)].                                                          may be required by the
                                                                                          permit.
4..............  Sewage Sludge/Biosolids   Sewage Sludge/       NPDES Regulated Sewage   Annual.
                  Annual Program Reports    Biosolids.           Sludge/Biosolids
                  [40 CFR part 503].                             Generator and Handler.
5..............  Concentrated Animal       CAFO...............  CAFO...................  Annual.
                  Feeding Operation
                  (CAFO) Annual Program
                  Reports [40 CFR
                  122.42(e)(4)].
6..............  Municipal Separate Storm  MS4................  NPDES Permittee........  Year two and year four
                  Sewer System (MS4)                                                      of permit coverage
                  Program Reports [40 CFR                                                 (Small MS4), Annual
                  122.34(g)(3) and                                                        (Medium and Large
                  122.42(c)].                                                             MS4).
7..............  Pretreatment Program      Pretreatment.......  POTW Pretreatment        Annual.
                  Reports [40 CFR                                Control Authority,
                  403.12(i)].                                    Approval Authority for
                                                                 SIUs in Municipalities
                                                                 Without Approved
                                                                 Pretreatment Programs.
8..............  Significant Industrial    Pretreatment.......  Significant Industrial   Bi-Annual.
                  User Compliance Reports                        User.
                  in Municipalities
                  Without Approved
                  Pretreatment Programs
                  [40 CFR 403.12(e) and
                  (h)].
9..............  Sewer Overflow Event      Sewer Overflows....  NPDES Permittee........  Within 5 days of the
                  Reports [40 CFR                                                         time the permittee
                  122.41(l)(6) and (7)].                                                  becomes aware of the
                                                                                          sewer overflow event
                                                                                          (health or environment
                                                                                          endangerment),
                                                                                          Monitoring report
                                                                                          frequency specific in
                                                                                          permit (all other
                                                                                          sewer overflow
                                                                                          events).
10.............  CWA section 316(b)        CWA section 316(b).  NPDES Permittee........  Annual.
                  Annual Reports [40 CFR
                  part 125, subpart J].
----------------------------------------------------------------------------------------------------------------
\1\ Entities regulated by a NPDES permit will comply with all reporting requirements in their respective NPDES
  permit.
\2\ Use the ``NPDES Data Group Number'' in this table and the ``NPDES Data Group Number'' column in Table 2 of
  this appendix to identify the source of the required data entry. EPA notes that electronic systems may use
  additional data to facilitate electronic reporting as well as management and reporting of electronic data. For
  example, NPDES permittees may be required to enter their NPDES permit number (``NPDES ID''--NPDES Data Group 1
  and 2) into the applicable electronic reporting system in order to identify their permit and submit a
  Discharge Monitoring Report (DMR--NPDES Data Group 3). Additionally, NPDES regulated entities may be required
  to enter and submit data to update or correct erroneous data. For example, NPDES permittees may be required to
  enter new data regarding the Facility Individual First Name and Last Name (NPDES Data Group 1 and 2) with
  their DMR submission when there is a facility personnel change.
\3\ The applicable reporting frequency is specified in the NPDES permit or control mechanism, which may be more
  frequent than the minimum frequency specified in this table.


                                      Table 2--Required NPDES Program Data
----------------------------------------------------------------------------------------------------------------
                                                                  CWA, regulatory (40
            Data name                     Data description           CFR), or other       NPDES data group No.
                                                                        citation             (see Table 1)
----------------------------------------------------------------------------------------------------------------
                                           Basic Facility Information
 
[Note: As indicated in the ``CWA, Regulatory, or Other Citation'' column, some of these data elements apply to
 Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-
 domestic wastewater delivered by truck, rail, and dedicated pipe or other means of transportation) to one or
 more POTWs and to regulated entities or locations that generate, process, or receive biosolids or sewage
 sludge.]
----------------------------------------------------------------------------------------------------------------
Facility Type of Ownership.......  The unique code/description    122.21,              1, 2, 4, and 7.
                                    identifying the type of        122.21(j)(6),
                                    facility (e.g., state          122.21(q),
                                    government, municipal or       122.28(b)(2)(ii),
                                    water district, Federal        403.8(f), 403.10,
                                    facility, tribal facility).    403.12(i), 503.18,
                                    This data element is used by   503.28, 503.48.
                                    EPA's national NPDES data
                                    system to identify the
                                    facility type (e.g., POTW,
                                    Non-POTW, and Federal).
Facility Site Name...............  The name of the facility.....  122.21,              1, 2, 4, and 7.
                                                                   122.21(j)(6),
                                                                   122.21(q),
                                                                   122.28(b)(2)(ii),
                                                                   122.44(j),
                                                                   403.8(f), 403.10,
                                                                   403.12(i), 503.18,
                                                                   503.28, 503.48.

[[Page 64110]]

 
Facility Site Address............  The address of the physical    122.21,              1, 2, 4, and 7.
                                    facility location.             122.21(j)(6),
                                                                   122.21(q),
                                                                   122.28(b)(2)(ii),
                                                                   122.44(j),
                                                                   403.8(f), 403.10,
                                                                   403.12(i), 503.18,
                                                                   503.28, 503.48.
Facility Site City...............  The name of the city, town,    122.21,              1, 2, 4, and 7.
                                    village, or other locality,    122.21(j)(6),
                                    when identifiable, within      122.21(q),
                                    which the boundaries (the      122.28(b)(2)(ii),
                                    majority of) the facility      122.44(j),
                                    site is located. This is not   403.8(f), 403.10,
                                    always the same as the city    403.12(i), 503.18,
                                    used for USPS mail delivery.   503.28, 503.48.
Facility Site State..............  The U.S. Postal Service        122.21,              1, 2, 4, and 7.
                                    (USPS) abbreviation for the    122.21(j)(6),
                                    state or state equivalent      122.21(q),
                                    for the U.S. where the         122.28(b)(2)(ii),
                                    facility is located.           122.44(j),
                                                                   403.8(f), 403.10,
                                                                   403.12(i), 503.18,
                                                                   503.28, 503.48.
Facility Site Zip Code...........  The combination of the 5-      122.21,              1, 2, 4, and 7.
                                    digit Zone Improvement Plan    122.21(j)(6),
                                    (ZIP) code and the 4-digit     122.21(q),
                                    extension code (if             122.28(b)(2)(ii),
                                    available) where the           122.44(j),
                                    facility is located. This      403.8(f), 403.10,
                                    zip code match the             403.12(i), 503.18,
                                    ``Facility Site City'' or      503.28, 503.48.
                                    the city used for USPS mail
                                    delivery.
Facility Site Tribal Land          The EPA Tribal Internal        122.21, 122.21(q),   1, 2, and 4.
 Indicator.                         Identifier for every unit of   122.28(b)(2)(ii),
                                    land trust allotment           503.18, 503.28,
                                    (``tribal land'') within       503.48.
                                    Indian Country (i.e.,
                                    Federally recognized
                                    American Indian and Alaska
                                    Native tribal entities).
                                    This unique identifier will
                                    identify whether the
                                    facility is on tribal land
                                    and the current name of the
                                    American Indian tribe or
                                    Alaskan Native entity. This
                                    unique identifier is
                                    different from the Bureau of
                                    Indian Affairs tribal code
                                    and does not change when a
                                    Tribe changes its name.
Facility Site Longitude..........  The measure of the angular     122.21, 122.21(q),   1, 2, and 4.
                                    distance on a meridian east    122.28(b)(2)(ii),
                                    or west of the prime           503.18, 503.28,
                                    meridian for the facility.     503.48.
                                    The format for this data
                                    element is decimal degrees
                                    (e.g., -77.029289) and the
                                    WGS84 standard coordinate
                                    system. This data element
                                    will also be used to
                                    describe the two-dimensional
                                    area (polygon) regulated by
                                    a municipal storm sewer
                                    system (MS4) NPDES permit
                                    through use of multiple
                                    latitude and longitude
                                    coordinates. For MS4 the
                                    polygon data should provide
                                    a reasonable estimate of the
                                    MS4 boundaries. This data
                                    element can also be system
                                    generated when the Facility
                                    Site Address, Facility Site
                                    City, and Facility Site
                                    State data elements can be
                                    used to generate accurate
                                    longitude and latitude
                                    values. (Note: ``Post Office
                                    Box'' addresses and ``Rural
                                    Route'' addresses are
                                    generally not geocodable).
Facility Site Latitude...........  The measure of the angular     122.21, 122.21(q),   1, 2, and 4.
                                    distance on a meridian north   122.28(b)(2)(ii),
                                    or south of the equator for    503.18, 503.28,
                                    the facility. The format for   503.48.
                                    this data element is decimal
                                    degrees (e.g., 38.893829)
                                    and the WGS84 standard
                                    coordinate system. This data
                                    element will also be used to
                                    describe the two-dimensional
                                    area (polygon) regulated by
                                    a municipal storm sewer
                                    system (MS4) NPDES permit
                                    through use of multiple
                                    latitude and longitude
                                    coordinates. This data
                                    element can also be system
                                    generated when the Facility
                                    Site Address, Facility Site
                                    City, and Facility Site
                                    State data elements can be
                                    used to generate accurate
                                    longitude and latitude
                                    values. (Note: ``Post Office
                                    Box'' addresses and ``Rural
                                    Route'' addresses are
                                    generally not geocodable).
Facility Contact Affiliation Type  The affiliation of the         122.21,              1, 2, 4, and 7.
                                    contact with the facility      122.21(j)(6),
                                    (e.g., ``Owner,''              122.21(q),
                                    ``Operator,'' or ``Main        122.28(b)(2)(ii),
                                    Contact''). This is a unique   403.8(f), 403.10,
                                    code/description that          403.12(i), 503.18,
                                    identifies the nature of the   503.28, 503.48.
                                    individual's affiliation to
                                    the facility.

[[Page 64111]]

 
Facility Contact First Name......  The given name of an           122.21,              1, 2, 4, and 7.
                                    individual affiliated with     122.21(j)(6),
                                    this facility.                 122.21(q),
                                                                   122.28(b)(2)(ii),
                                                                   403.8(f), 403.10,
                                                                   403.12(i), 503.18,
                                                                   503.28, 503.48.
Facility Contact Last Name.......  The surname of an individual   122.21,              1, 2, 4, and 7.
                                    affiliated with this           122.21(j)(6),
                                    facility.                      122.21(q),
                                                                   122.28(b)(2)(ii),
                                                                   403.8(f), 403.10,
                                                                   403.12(i), 503.18,
                                                                   503.28, 503.48.
Facility Contact Title...........  The title held by an           122.21,              1, 2, 4, and 7.
                                    individual in an               122.21(j)(6),
                                    organization affiliated with   122.21(q),
                                    this facility.                 122.28(b)(2)(ii),
                                                                   403.8(f), 403.10,
                                                                   403.12(i), 503.18,
                                                                   503.28, 503.48.
Facility Contact EMail Address...  The business email address of  122.21,              1, 2, 4, and 7.
                                    the designated individual      122.21(j)(6),
                                    affiliated with this           122.21(q),
                                    facility.                      122.28(b)(2)(ii),
                                                                   403.8(f), 403.10,
                                                                   403.12(i), 503.18,
                                                                   503.28, 503.48.
Facility Organization Formal Name  The legal name of the person,  122.21,              1, 2, 4, and 7.
                                    firm, public organization,     122.21(j)(6),
                                    or other entity that           122.21(q),
                                    operates the facility. This    122.28(b)(2)(ii),
                                    name may or may not be the     403.8(f), 403.10,
                                    same name as the facility.     403.12(i), 503.18,
                                    The operator of the facility   503.28, 503.48.
                                    is the legal entity that
                                    controls the facility's
                                    operation rather than the
                                    facility or site manager.
                                    This data element should not
                                    use a colloquial name. This
                                    field is optional for MS4
                                    permittees.
----------------------------------------------------------------------------------------------------------------
                                            Basic Permit Information
 
[Note: As indicated in the ``CWA, Regulatory, or Other Citation'' column, some of these data elements also apply
 to Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-
 domestic wastewater delivered by truck, rail, and dedicated pipe or other means of transportation) to one or
 more POTWs and to regulated entities or locations that generate, process, or receive biosolids or sewage
 sludge.]
----------------------------------------------------------------------------------------------------------------
NPDES ID.........................  This is the unique identifier  122.2, 122.21,       1, 2, 3, 4, 5, 6, 7, 8,
                                    for the NPDES permit or        122.21(j)(6),        9, 10.
                                    control mechanism for NPDES    122.21(q),
                                    regulated entities or          122.28(b)(2)(ii),
                                    Unpermitted ID for an          122.34(g)(3),
                                    unpermitted facility. This     122.41(l)(4)(i),
                                    data elements is used for      122.41(l)(6) and
                                    compliance monitoring          (7), 122.41(m)(3),
                                    activities, violation          122.42(c),
                                    determinations, and            122.42(e)(4),
                                    enforcement actions. This      123.26, 123.41(a),
                                    data element also applies to   125.96, 125.97(g),
                                    Significant Industrial Users   125.98,
                                    (SIUs) and Categorical         125.138(b),
                                    Industrial Users (CIUs) that   401.14, 403.10,
                                    discharge (including non-      403.12(e),
                                    domestic wastewater            403.12(h),
                                    delivered by truck, rail,      403.12(i), 503.18,
                                    and dedicated pipe or other    503.28, 503.48.
                                    means of transportation) to
                                    one or more POTWs in states
                                    where the POTW is the
                                    Control Authority.
Master General Permit Number.....  The unique identifier of the   122.2, 122.21,       1, 2.
                                    master general permit, which   122.21(j)(6),
                                    is linked to a General         122.21(q),
                                    Permit Covered Facility.       122.28(b)(2)(ii),
                                    This data element only         122.34(g)(3),
                                    applies to facilities          122.41(l)(4)(i),
                                    regulated by a master          122.41(l)(6) and
                                    general permit.                (7), 122.41(m)(3),
                                                                   122.42(c),
                                                                   122.42(e)(4),
                                                                   123.26, 123.41(a),
                                                                   403.10, 403.12(e),
                                                                   403.12(h),
                                                                   403.12(i), 503.18,
                                                                   503.28, 503.48.
Permit Type......................  The unique code/description    122.2, 122.21,       1, 2.
                                    identifying the type of        122.21(j)(6),
                                    permit [e.g., NPDES            122.21(q),
                                    Individual Permit, NPDES       122.28(b)(2)(ii),
                                    Master General Permit,         403.10.
                                    General Permit Covered
                                    Facility, State Issued Non-
                                    NPDES General Permit,
                                    Individual IU Permit (Non-
                                    NPDES), Individual State
                                    Issued Permit (Non-NPDES)].
Permit Component.................  This will identify one or      122.2, 122.21,       1, 2.
                                    more applicable NPDES          122.21(j)(6),
                                    subprograms (e.g.,             122.21(q),
                                    pretreatment, CAFO, CSO,       122.28(b)(2)(ii),
                                    POTW, biosolids/sewage         403.10.
                                    sludge, stormwater) for the
                                    permit record. This field is
                                    only required when the
                                    permit includes one or more
                                    NPDES subprograms.

[[Page 64112]]

 
Permit Issue Date................  This is the date the permit    122.46.............  1.
                                    was issued. The date must be
                                    provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Permit Effective Date............  This is the date on which the  122.46, 122.21,      1.
                                    permit is effective. The       122.21(j)(6),
                                    date must be provided in       122.21(q), 403.10.
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
Permit Modification/Amendment      This is the date on which the  122.62, 122.63,      1.
 Date.                              permit was modified or         403.10.
                                    amended. The date must be
                                    provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Permit Expiration Date...........  This is the date the permit    122.46, 122.21,      1.
                                    will expire. The date must     122.21(j)(6),
                                    be provided in YYYY-MM-DD      122.21(q), 403.10.
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Permit Termination Date..........  This is the date the permit    122.64, 403.10.....  1.
                                    was terminated. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Permit Major/Minor Status          This code/description          122.2..............  1.
 Indicator.                         identifies the permit status
                                    as ``Major'' or ``Nonmajor''
                                    (a.k.a. ``Minor''). This
                                    data element is initially
                                    system generated and
                                    defaults to ``Minor''. The
                                    most recent permit status is
                                    copied when the permit is
                                    reissued.
Permit Major/Minor Status Start    The date that the permit       122.2..............  1.
 Date.                              became its current Major/
                                    Minor status. Initially
                                    system-generated to match
                                    effective date. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Permit Application Total Design    This is the design flow rate   122.21,              1, 2.
 Flow.                              that a permitted facility      122.28(b)(2)(ii),
                                    was designed to accommodate,   403.10(f).
                                    in millions of gallons per
                                    day (MGD). This is only
                                    required for wastewater
                                    treatment plants.
Permit Application Total Actual    This is the annual average     122.21,122.28(b)(2)  1, 2.
 Average Flow.                      daily flow rate that a         (ii), 122.41,
                                    permitted facility will        403.10(f).
                                    likely accommodate at the
                                    start of its permit term, in
                                    MGD. This is only required
                                    for wastewater treatment
                                    plants.
Complete Permit Application/NOI    This is the date on which the  122.21,              1.
 Received Date.                     complete application for an    122.28(b)(2)(ii),
                                    individual NPDES permit was    403.10(f).
                                    received or a complete
                                    Notice of Intent (NOI) for
                                    coverage under a master
                                    general permit was received.
                                    The date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
                                    This data element can be
                                    system generated when the
                                    complete NOI is
                                    electronically received by
                                    the NPDES program.
Permit Application/NOI Received    This is the date on which the  122.21,              1.
 Date.                              application for an             122.28(b)(2)(ii),
                                    individual NPDES permit was    403.10(f).
                                    received or a Notice of
                                    Intent (NOI) for coverage
                                    under a master general
                                    permit was received. The
                                    date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
                                    This data element can be
                                    system generated when the
                                    NPDES permit application or
                                    NOI is electronically
                                    received by the NPDES
                                    program.
Permit Status....................  This is a unique code/         122.21,              1.
                                    description that identifies    122.21(j)(6),
                                    the permit status (e.g.,       122.21(q), 122.64,
                                    Effective, Expired,            122.46, 403.10(f).
                                    Administratively Continued,
                                    Pending, Not Needed,
                                    Retired, Denied, and
                                    Terminated). This is system
                                    generated for all statuses
                                    except ``Not Needed,'' which
                                    must be user entered.
Master General Permit Industrial   These are the one or more      122.21,              1.
 Category.                          unique codes/descriptions      122.21(j)(6),
                                    that identify the one or       122.21(q),
                                    more industrial categories     122.28(b)(2)(ii),
                                    covered by the master          403.10(f).
                                    general permit. This field
                                    is required for master
                                    general permits only.

[[Page 64113]]

 
Permit Issuing Organization Type.  This is the type of            122.21,              1.
                                    organization issuing a         122.21(j)(6),
                                    permit (e.g., County,          122.21(q), 123.41,
                                    Federal, Local, Municipal,     403.10(f).
                                    Regional, State, Tribal).
DMR Non-Receipt..................  Turns non-receipt tracking     123.45, 403.10(f)..  1.
                                    for compliance monitoring
                                    submissions [e.g., discharge
                                    monitoring reports (DMRs)]
                                    ``on'' or ``off'' for non-
                                    major permits (a.k.a.
                                    ``minors''). This field is
                                    always ``on'' for major
                                    permits. This data element
                                    is initially system
                                    generated (defaults to
                                    ``on'') and the most recent
                                    value is copied when the
                                    permit is reissued. . This
                                    data element will also be
                                    used to track non-receipt
                                    tracking of periodic
                                    compliance monitoring data
                                    [40 CFR 403.12(e) and (h)]
                                    for Significant Industrial
                                    Users (SIUs) and Categorical
                                    Industrial Users (CIUs) that
                                    discharge (including non-
                                    domestic wastewater
                                    delivered by truck, rail,
                                    and dedicated pipe or other
                                    means of transportation) to
                                    one or more POTWs in states
                                    where EPA or the State is
                                    the Control Authority).
DMR Non-Receipt Start Date.......  This is the date on which the  123.45, 403.10(f)..  1.
                                    permit's ``on'' or ``off''
                                    period for DMR Non-Receipt
                                    tracking status began.
                                    Initially system-generated
                                    to match effective date. The
                                    date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
                                    This data element will also
                                    be used to track non-receipt
                                    tracking of periodic
                                    compliance monitoring data
                                    [40 CFR 403.12(e) and (h)]
                                    for Significant Industrial
                                    Users (SIUs) and Categorical
                                    Industrial Users (CIUs) that
                                    discharge (including non-
                                    domestic wastewater
                                    delivered by truck, rail,
                                    and dedicated pipe or other
                                    means of transportation) to
                                    one or more POTWs in states
                                    where EPA or the State is
                                    the Control Authority).
Reportable Noncompliance Tracking  Turns reportable               123.45, 403.10(f)..  1.
                                    noncompliance (RNC) tracking
                                    ``on'' or ``off'' for non-
                                    major permits (a.k.a.
                                    ``minors''). This data
                                    element is initially system
                                    generated (defaults to
                                    ``on'') and the most recent
                                    value is copied when the
                                    permit is reissued.
Reportable Noncompliance Tracking  This is the date on which the  123.45, 403.10(f)..  1.
 Start Date.                        permit's ``on'' or ``off''
                                    period for Reportable
                                    Noncompliance Tracking
                                    status began. Initially
                                    system-generated to match
                                    effective date. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Applicable Effluent Limitations    The applicable effluent        122.21,              1.
 Guidelines.                        limitations guidelines and     122.21(j)(6),
                                    new source performance         122.21(q), 122.44,
                                    standards in the NPDES         403.10(f).
                                    permit (e.g., part 414--
                                    Organic chemicals, plastics,
                                    and synthetic fibers point
                                    source category). This data
                                    element also applies to SIUs
                                    and CIUs that discharge
                                    (including non-domestic
                                    wastewater delivered by
                                    truck, rail, and dedicated
                                    pipe or other means of
                                    transportation) to one or
                                    more POTWs in states where
                                    the POTW is the Control
                                    Authority.
Permit Compliance Tracking Status  This is a unique code/         122.21,              1.
                                    description that indicates     122.21(j)(6),
                                    whether the permit is          122.21(q), 123.45,
                                    currently ``on'' or ``off''    403.10(f).
                                    for compliance tracking
                                    purposes. This data element
                                    is initially system
                                    generated (defaults to
                                    ``on'') and the most recent
                                    value is copied when the
                                    permit is reissued.
Permit Compliance Tracking Status  This is the date on which the  122.21,              1.
 Start Date.                        permit's ``on'' or ``off''     122.21(j)(6),
                                    period for compliance          122.21(q), 123.45,
                                    tracking status began.         403.10(f).
                                    Initially system-generated
                                    to match effective date. The
                                    date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.

[[Page 64114]]

 
RNC Status (Manual)..............  The status of reportable       122.21,              1.
                                    noncompliance (RNC) as it      122.21(j)(6),
                                    was entered by the             122.21(q), 123.45,
                                    regulatory authority for the   403.10(f).
                                    official Quarterly
                                    Noncompliance Report (QNCR)
                                    or NPDES Noncompliance
                                    Report (NNCR). This data
                                    element can also be revised
                                    by the regulatory authority.
RNC Status (Manual) Year.........  The year associated with the   122.21,              1.
                                    RNC Status (Manual) being      122.21(j)(6),
                                    reported. This data element    122.21(q), 123.45,
                                    is used for the official       403.10(f).
                                    Quarterly Noncompliance
                                    Report (QNCR) or NPDES
                                    Noncompliance Report (NNCR).
                                    This data element can also
                                    be revised by the regulatory
                                    authority.
RNC Status (Manual) Quarter......  The quarter associated with    122.21,              1.
                                    the RNC Status (Manual)        122.21(j)(6),
                                    being reported. This data      122.21(q), 123.45,
                                    element is used for the        403.10(f).
                                    official Quarterly
                                    Noncompliance Report (QNCR)
                                    or NPDES Noncompliance
                                    Report (NNCR). This data
                                    element can also be revised
                                    by the regulatory authority.
Associated NPDES ID Number.......  If applicable, the unique      122.2, 122.21,       1 through 5, 7, 8, and 9.
                                    identifier for each NPDES      122.21(j)(6),
                                    Permit that is related to      122.21(q),
                                    another NPDES Permit. For      122.28(b)(2)(ii),
                                    example, this data element     122.41(l)(4)(i),
                                    identifies the recipient       122.41(l)(6) and
                                    POTW's NPDES ID for each       (7), 122.41(m)(3),
                                    satellite collection system,   122.42(e)(4),
                                    the suppliers of biosolids     123.26, 123.41(a),
                                    and sewage sludge to a land    503.18, 503.28,
                                    application site, and the      503.48.
                                    one or more NPDES IDs for
                                    other permitted operators at
                                    the same construction site
                                    or industrial facility. This
                                    data element does not apply
                                    to municipal storm sewer
                                    systems (MS4s) as other data
                                    elements create linkages
                                    between these entities.
Associated NPDES ID Number Reason  The unique code/description    122.2, 122.21,       1 through 5, 7, 8, and 9.
                                    that identifies the reason     122.21(j)(6),
                                    for the association between    122.21(q),
                                    two NPDES IDs (e.g., ETP =     122.28(b)(2)(ii),
                                    Effluent Trade Partner, APR    122.41(l)(4)(i),
                                    = Associated Permit Record,    122.41(l)(6) and
                                    SIP = Switched To An           (7), 122.41(m)(3),
                                    Individual Permit, SGP =       122.42(e)(4),
                                    Switched To A General          123.26, 123.41(a),
                                    Permit. This data element      503.18, 503.28,
                                    does not apply to municipal    503.48.
                                    storm sewer systems (MS4s)
                                    as other data elements
                                    create linkages between
                                    these entities.
Receiving POTW ID................  This data element will         122.21,              1, 2, and 7.
                                    identify for each              122.21(j)(6),.
                                    Significant Industrial Users
                                    (SIUs) and Categorical
                                    Industrial Users (CIUs) the
                                    unique identifier of the one
                                    or more POTWs receiving the
                                    discharge. This includes non-
                                    domestic wastewater
                                    delivered by truck, rail,
                                    and dedicated pipe or other
                                    means of transportation to
                                    the one or more receiving
                                    POTWs. This data element
                                    only applies to SIUs and
                                    CIUs and will link the
                                    industrial discharger to the
                                    one or more receiving POTWs.
SIC Code.........................  The one or more four-digit     122.21,              1, 2, and 7.
                                    Standard Industrial            122.21(j)(6),
                                    Classification (SIC) codes     122.21(q),
                                    that represent the economic    122.28(b)(2)(ii),
                                    activities of the facility.    403.10(f),
                                    This data element also         403.12(e),
                                    applies to SIUs and CIUs       403.12(h),
                                    that discharge (including      403.12(i), 503.18,
                                    non-domestic wastewater        503.28, 503.48.
                                    delivered by truck, rail,
                                    and dedicated pipe or other
                                    means of transportation) to
                                    one or more POTWs in states
                                    where the POTW is the
                                    Control Authority. A value
                                    of ``4952'' can be system
                                    generated for POTWs and
                                    TWTDS.
SIC Code Primary Indicator.......  This data element will         122.21,              1, 2, and 7.
                                    identify the primary           122.21(j)(6),
                                    economic activity, SIC code,   122.21(q),
                                    of the facility. This data     122.28(b)(2)(ii),
                                    element is required for        403.10(f),
                                    electronic data transfer       403.12(e),
                                    between state and EPA          403.12(h),
                                    systems. This data element     403.12(i), 503.18,
                                    also applies to SIUs and       503.28, 503.48.
                                    CIUs that discharge
                                    (including non-domestic
                                    wastewater delivered by
                                    truck, rail, and dedicated
                                    pipe or other means of
                                    transportation) to one or
                                    more POTWs in states where
                                    the POTW is the Control
                                    Authority.

[[Page 64115]]

 
NAICS Code.......................  The six-digit North American   EPA SIC/NAICS Data   1, 2, and 7.
                                    Industry Classification        Standard, Standard
                                    System (NAICS) code/           No. EX000022.2, 6
                                    description that represents    January 2006,
                                    the economic activity of the   Office of
                                    facility. This field is        Management and
                                    optional if the ``SIC Code''   Budget, Executive
                                    data element is provided for   Office of the
                                    the facility.                  President, Final
                                                                   Decision on North
                                                                   American Industry
                                                                   Classification
                                                                   System (62 FR
                                                                   17288), 403.10(f).
NAICS Code Primary Indicator.....  This data element will         EPA SIC/NAICS Data   1, 2, and 7.
                                    identify the primary           Standard, Standard
                                    economic activity, NAICS       No. EX000022.2, 6
                                    code, of the facility. This    January 2006,
                                    data element is required for   Office of
                                    electronic data transfer       Management and
                                    between state and EPA          Budget, Executive
                                    systems. This field is         Office of the
                                    optional if the ``SIC Code''   President, Final
                                    data element is provided for   Decision on North
                                    the facility.                  American Industry
                                                                   Classification
                                                                   System (62 FR
                                                                   17288), 403.10(f).
Permittee Mailing Address........  The mailing address of the     122.21,              1, 2.
                                    permit holder.                 122.21(j)(6),
                                                                   122.21(q),
                                                                   122.28(b)(2)(ii),
                                                                   403.10(f).
Permittee Organization Formal      The legal, formal name of the  122.21,              1, 2.
 Name.                              organization that holds the    122.21(j)(6),
                                    permit.                        122.21(q),
                                                                   122.28(b)(2)(ii),
                                                                   403.10(f).
Permittee City...................  The name of the city, town,    122.21,              1, 2.
                                    or village where the mail is   122.21(j)(6),
                                    delivered for the permit       122.21(q),
                                    holder.                        122.28(b)(2)(ii),
                                                                   403.10(f).
Permittee State..................  The U.S. Postal Service        122.21,              1, 2.
                                    abbreviation that represents   122.21(j)(6),
                                    the state or state             122.21(q),
                                    equivalent for the U.S. for    122.28(b)(2)(ii),
                                    the permit holder.             403.10(f).
Permittee Zip Code...............  The combination of the 5-      122.21,              1, 2.
                                    digit Zone Improvement Plan    122.21(j)(6),
                                    (ZIP) code and the 4-digit     122.21(q),
                                    extension code (if             122.28(b)(2)(ii),
                                    available) that represents     403.10(f).
                                    the geographic segment that
                                    is a sub-unit of the ZIP
                                    Code assigned by the U.S.
                                    Postal Service to a
                                    geographic location for the
                                    permit holder.
Residual Designation               Under section 402(p)(2)(E)     122.26(a)(9)(i)(C)   1.
 Determination Code.                and (6) and 40 CFR             and (D) and CWA
                                    122.26(a)(9)(i)(C) and (D),    section 402(p).
                                    the authorized NPDES program
                                    or the EPA Regional
                                    Administrator may
                                    specifically designate
                                    stormwater discharges as
                                    requiring an NPDES permit.
                                    In this `residual
                                    designation' process the
                                    NPDES permitting authority
                                    regulates stormwater
                                    discharges based on: (1)
                                    Wasteload allocations that
                                    are part of ``total maximum
                                    daily loads'' (TMDLs) that
                                    address the pollutant(s) of
                                    concern in the stormwater
                                    discharges [see 40 CFR
                                    122.26(a)(9)(i)(C)]; or (2)
                                    the determination that the
                                    stormwater discharge, or
                                    category of stormwater
                                    discharges within a
                                    geographic area, contributes
                                    to a violation of a water
                                    quality standard or is a
                                    significant contributor of
                                    pollutants to waters of the
                                    United States [see 40 CFR
                                    122.26(a)(9)(i)(D)]. This
                                    data element is the unique
                                    code/description that
                                    identifies the main basis
                                    for this residual
                                    designation determination.
                                    This data element only
                                    applies to stormwater
                                    permits.
Electronic Reporting Waiver Type.  The unique code/description    123.26, 123.41(a)    1.
                                    that identifies whether the    and CWA section
                                    authorized NPDES program has   308.
                                    granted the permittee a
                                    waiver from electronic
                                    reporting in compliance with
                                    this part (1 = temporary
                                    waiver; 2 = permanent
                                    waiver). This data element
                                    should be left blank if the
                                    permittee does not have a
                                    waiver from electronic
                                    reporting in compliance with
                                    this part.

[[Page 64116]]

 
Electronic Reporting Waiver        This is the expiration date    123.26, 123.41(a)    1.
 Expiration Date.                   for a temporary waiver from    and CWA section
                                    electronic reporting in        308.
                                    compliance with this part.
                                    This data element should be
                                    left blank if the permittee
                                    has a permanent waiver from
                                    electronic reporting or if
                                    the permittee does not have
                                    a waiver from electronic
                                    reporting in compliance with
                                    this part.
Electronic Submission Type         This is the unique code/       123.26, 123.41(a)    1.
 (General Permit Reports).          description for each general   and CWA section
                                    permit report submitted by     308.
                                    the facility or entity.
                                    Notices, certifications, and
                                    waiver requests covered by
                                    this data element are listed
                                    in Table 1 in this appendix
                                    (i.e., NPDES Data Group 2).
                                    This data element describes
                                    how each submission was
                                    electronically collected or
                                    processed by the initial
                                    recipient [see Sec.
                                    127.2(b)]. For example,
                                    these unique codes/
                                    descriptions include: (1)
                                    NPDES regulated entity
                                    submits NPDES program data
                                    using an EPA electronic
                                    reporting system; (2) NPDES
                                    regulated entity submits
                                    NPDES program data using an
                                    authorized NPDES program
                                    electronic reporting system;
                                    (3) NPDES regulated entity
                                    has temporary waiver from
                                    electronic reporting and
                                    submits NPDES program data
                                    on paper to the authorized
                                    NPDES program who then
                                    electronically uses manual
                                    data entry to electronically
                                    process these data; (4)
                                    NPDES regulated entity has a
                                    permanent waiver from
                                    electronic reporting and
                                    submits NPDES program data
                                    on paper to the authorized
                                    NPDES program who then
                                    electronically uses manual
                                    data entry to electronically
                                    process these data; (5)
                                    NPDES regulated entity has
                                    an episodic waiver from
                                    electronic reporting and
                                    submits NPDES program data
                                    on paper to the authorized
                                    NPDES program who then
                                    electronically uses manual
                                    data entry to electronically
                                    process these data; (6)
                                    NPDES regulated entity
                                    submits NPDES program data
                                    on paper in a form that
                                    allows the authorized NPDES
                                    program to use of automatic
                                    identification and data
                                    capture technology to
                                    electronically process these
                                    data; (7) NPDES regulated
                                    entity submits NPDES program
                                    data using another
                                    electronic reporting system
                                    (e.g., third-party). This
                                    data element can sometimes
                                    be system generated (e.g.,
                                    incorporated into an
                                    electronic reporting tool).
                                    This data element does not
                                    identify the electronic
                                    submission type of other
                                    reports (NPDES Data Groups =
                                    3 through 10 in Table 1),
                                    which is tracked by the
                                    ``Electronic Submission Type
                                    (Compliance Monitoring
                                    Activity)'' data element.

[[Page 64117]]

 
NPDES Data Group Number..........  This is the unique code/       122.2, 122.21,       1.
                                    description that identifies    122.21(j)(6),
                                    the types of NPDES program     122.21(q),
                                    data that are required to be   122.28(b)(2)(ii),
                                    reported by the facility.      122.34(g)(3),
                                    This corresponds to Table 1    122.41(l)(4)(i),
                                    in this appendix (e.g., 3 =    122.41(l)(6) and
                                    Discharge Monitoring Report    (7), 122.41(m)(3),
                                    [40 CFR 122.41(l)(4)]). This   122.42(c),
                                    data element can be system     122.42(e)(4),
                                    generated. This data element   123.26, 123.41(a),
                                    will record each NPDES Data    403.10, 403.12(e),
                                    Group that the facility is     403.12(h),
                                    required to submit. For        403.12(i), 503.18,
                                    example, when a POTW is        503.28, 503.48 and
                                    required to submit a           CWA section 308.
                                    Discharge Monitoring Report,
                                    Sewage Sludge/Biosolids
                                    Annual Program Report,
                                    Pretreatment Program Report,
                                    and Sewer Overflow/Bypass
                                    Event Report, the values for
                                    this data element for this
                                    facility will be 3, 4, 7,
                                    and 9. The following general
                                    permit reports will have the
                                    following values for this
                                    data element: 2a = Notice of
                                    Intent to discharge (NOI);
                                    2b = Notice of Termination
                                    (NOT); 2c = No Exposure
                                    Certification (NOE); and 2d
                                    = Low Erosivity Waiver or
                                    Other Waiver from Stormwater
                                    Controls (LEW).
----------------------------------------------------------------------------------------------------------------
                              Narrative Conditions and Permit Schedules Information
 
[Note: As indicated in the ``CWA, Regulatory, or Other Citation'' column, these data elements also apply to
 Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-
 domestic wastewater delivered by truck, rail, and dedicated pipe or other means of transportation) to one or
 more POTWs in states where EPA or the State is the Control Authority].
----------------------------------------------------------------------------------------------------------------
Permit Narrative Condition Code..  The unique code/description    122.47, 403.10(f)..  1.
                                    that identifies the type of
                                    narrative condition.
Permit Narrative Condition Number  This number uniquely           122.47, 403.10(f)..  1.
                                    identifies a narrative
                                    condition and its elements
                                    for a permit.
Permit Schedule Date.............  The date on which a permit     122.47, 403.10(f)..  1.
                                    schedule event is due to be
                                    completed and against which
                                    compliance will be measured.
                                    The date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
Permit Schedule Actual Date......  The date on which the          122.47, 403.10(f)..  1.
                                    permittee achieved the
                                    schedule event. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Required Report Received Date....  The date on which the          122.47, 403.10(f)..  1.
                                    regulatory authority
                                    receives a report from the
                                    permittee indicating that a
                                    scheduled event was
                                    completed (e.g., the start
                                    of construction) or the date
                                    on which the regulatory
                                    authority received the
                                    required report. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Permit Schedule Event Code.......  The unique code/description    122.47, 403.10(f)..  1.
                                    indicating the one or more
                                    events with which the
                                    permittee is scheduled to
                                    comply.
----------------------------------------------------------------------------------------------------------------
                                          Permitted Feature Information
 
[Note: These `Permitted Feature' data elements are only required to be submitted for permits that require limits
 or outfall monitoring for stationary point sources. Additionally, as indicated in the ``CWA, Regulatory, or
 Other Citation'' column, some of these data elements apply to Significant Industrial Users (SIUs) and
 Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail,
 and dedicated pipe or other means of transportation) to one or more POTWs in states where EPA or the State is
 the Control Authority].
----------------------------------------------------------------------------------------------------------------
Permitted Feature Application      The average flow that a        122.21,              1, 2.
 Actual Average Flow (MGD).         permitted feature will         122.28(b)(2)(ii),
                                    actually discharge or          403.10(f).
                                    transmit, in MGD, at the
                                    start of its permit term.
                                    This data element does not
                                    apply to regulated entities
                                    that do not discharge (e.g.,
                                    some biosolids/sewage sludge
                                    generators) and entities
                                    that only discharge
                                    stormwater. This data
                                    element may also not apply
                                    to some intermittent
                                    dischargers.

[[Page 64118]]

 
Permitted Feature Identifier       The identifier assigned for    122.21,              1, 2.
 (Permit).                          each location at which         122.28(b)(2)(ii),
                                    conditions are being applied   403.10(f).
                                    (e.g., external outfall).
                                    This data element also
                                    identifies cooling water
                                    intake structures.
Permitted Feature Type...........  The code/description that      122.21,              1, 2.
                                    uniquely identifies the type   122.28(b)(2)(ii),
                                    of permitted feature (e.g.     403.10(f).
                                    external outfall, sum,
                                    intake structure, cooling
                                    water intake structure).
Receiving Waterbody Name for       The name of the waterbody      122.21,              1, 2.
 Permitted Feature.                 that is or will likely         122.28(b)(2)(ii).
                                    receive the discharge from
                                    each permitted feature.
Permitted Feature Longitude......  The measure of the angular     122.21,              1, 2.
                                    distance on a meridian east    122.28(b)(2)(ii).
                                    or west of the prime
                                    meridian for the permitted
                                    feature. The format for this
                                    data element is decimal
                                    degrees (e.g., -77.029289)
                                    and the WGS84 standard
                                    coordinate system.
Permitted Feature Latitude.......  The measure of the angular     122.21,              1, 2.
                                    distance on a meridian north   122.28(b)(2)(ii).
                                    or south of the equator for
                                    the permitted feature. The
                                    format for this data element
                                    is decimal degrees (e.g.,
                                    38.893829) and the WGS84
                                    standard coordinate system.
----------------------------------------------------------------------------------------------------------------
                                              Limit Set Information
 
[Note: These `Limit Set' data elements are only required to be submitted for permits that require limits or
 outfall monitoring for stationary point sources. Additionally, as indicated in the ``CWA, Regulatory, or Other
 Citation'' column, these data elements apply to Significant Industrial Users (SIUs) and Categorical Industrial
 Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or
 other means of transportation) to one or more POTWs in states where EPA or the State is the Control Authority].
----------------------------------------------------------------------------------------------------------------
Limit Set Designator.............  The alphanumeric field that    122.45, 403.10(f)..  1.
                                    is used to designate a
                                    particular grouping of
                                    parameters within a limit
                                    set.
Limit Set Type...................  The unique code/description    122.45, 403.10(f)..  1.
                                    identifying the type of
                                    limit set (e.g., scheduled,
                                    unscheduled).
Modification Effective Date        The effective date of the      122.45, 403.10(f)..  1.
 (Limit Set).                       permit modification that
                                    updated or created a limit
                                    set. The date must be
                                    provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Modification Type (Limit Set)....  The type of permit             122.45, 403.10(f)..  1.
                                    modification that updated or
                                    created this limit set
                                    (e.g., major modification,
                                    minor modification, permit
                                    authorized change).
Initial Monitoring Date..........  The date on which monitoring   122.45, 403.10(f)..  1.
                                    starts for the first
                                    monitoring period for the
                                    limit set. This date will be
                                    blank for unscheduled limit
                                    sets. The date must be
                                    provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Initial DMR Due Date.............  The date that the first        122.45, 403.10(f)..  1.
                                    compliance monitoring
                                    submission (e.g., DMR) for
                                    the limit set is due to the
                                    regulatory authority. This
                                    date will be blank for
                                    unscheduled limit sets. The
                                    date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
                                    This data element will also
                                    be used to track non-receipt
                                    tracking of periodic
                                    compliance monitoring data
                                    [40 CFR 403.12(e) and (h)]
                                    for Significant Industrial
                                    Users (SIUs) and Categorical
                                    Industrial Users (CIUs) that
                                    discharge (including non-
                                    domestic wastewater
                                    delivered by truck, rail,
                                    and dedicated pipe or other
                                    means of transportation) to
                                    one or more POTWs in states
                                    where EPA or the State is
                                    the Control Authority).
Number of Report Units...........  The number of months covered   122.45, 403.10(f)..  1.
                                    in each compliance
                                    monitoring period (e.g.,
                                    monthly = 1, semi-annually =
                                    6, quarterly = 3).

[[Page 64119]]

 
Number of Submission Units.......  The number of months between   122.45, 403.10(f)..  1.
                                    compliance monitoring
                                    submissions (e.g., monthly =
                                    1, semi-annually = 6,
                                    quarterly = 3). This data
                                    element will be blank for
                                    unscheduled limit sets For
                                    example, if the permittee
                                    was required to submit
                                    monthly reports every
                                    quarter, the number of
                                    report units would be one
                                    (i.e., monthly) and the
                                    number of submission units
                                    would be three (i.e., three
                                    months of information in
                                    each submission)..
Limit Set Status.................  The status of the limit set    subpart C of 122,    1.
                                    (e.g., active, inactive).      403.10(f).
                                    Limit sets will not have
                                    violations generated when a
                                    limit set is inactive unless
                                    an enforcement action limit
                                    is present.
Limit Set Status Start Date......  The date that the Limit Set    123.45, 403.10(f)..  1.
                                    Status started. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
----------------------------------------------------------------------------------------------------------------
                                                Limit Information
 
[Note: These `Limit' data elements are only required to be submitted for permits that require limits or outfall
 monitoring for stationary point sources. Additionally, as indicated in the ``CWA, Regulatory, or Other
 Citation'' column, some of these data elements apply to Significant Industrial Users (SIUs) and Categorical
 Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and
 dedicated pipe or other means of transportation) to one or more POTWs in states where EPA or the State is the
 Control Authority].
----------------------------------------------------------------------------------------------------------------
Monitoring Location Code.........  The unique code/description    122.45, 403.10(f)..  1.
                                    of the monitoring location
                                    at which sampling should
                                    occur for a limit parameter.
Limit Season Number..............  Indicates the season of a      122.45, 403.10(f)..  1.
                                    limit and is used to enter
                                    different seasonal limits
                                    for the same parameter
                                    within a single limit start
                                    and end date.
Limit Start Date.................  The date on which a limit      122.45, 403.10(f)..  1.
                                    starts being in effect for a
                                    particular parameter in a
                                    limit set. The date must be
                                    provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Limit End Date...................  The date on which a limit      122.45, 403.10(f)..  1.
                                    stops being in effect for a
                                    particular parameter in a
                                    limit set. The date must be
                                    provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Change of Limit Status Indicator.  The unique code/description    subpart C of 122,    1.
                                    that describes circumstances   403.10(f).
                                    affecting limits, such as
                                    formal enforcement actions
                                    or permit modifications.
Limit Stay Type..................  The unique identifier of the   122.45, 403.10(f)..  1.
                                    type of stay applied to a
                                    limit (e.g., X, Y, Z), which
                                    indicates whether the limits
                                    do not appear on the
                                    compliance monitoring report
                                    (e.g., DMR) at all, are
                                    treated as monitor only, or
                                    have a stay value in effect
                                    during the period of the
                                    stay.
Limit Stay Start Date............  The date on which a limit      124.19, 403.10(f)..  1.
                                    stay begins. The date must
                                    be provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Limit Stay End Date..............  The date on which a limit      124.19, 403.10(f)..  1.
                                    stay is lifted. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Reason for Limit Stay............  The text that represents the   124.19, 403.10(f)..  1.
                                    reason a stay was applied to
                                    a permit.
Stay Limit Value.................  The numeric limit value        124.19, 403.10(f)..  1.
                                    imposed during the period of
                                    the stay for the limit; if
                                    entered, during the stay
                                    period, the system will use
                                    this limit value for
                                    calculating compliance,
                                    rather than the actual limit
                                    value that was stayed.
Limit Type.......................  The unique code/description    122.45, 403.10(f)..  1.
                                    that indicates whether a
                                    limit is an enforceable, or
                                    alert limit (e.g., action
                                    level, benchmark) that does
                                    not receive effluent
                                    violations.

[[Page 64120]]

 
Enforcement Action ID............  The unique identifier for the  122.45, 403.10(f)..  1.
                                    enforcement action that
                                    imposed the enforcement
                                    action limit; this data
                                    element helps uniquely tie
                                    the limit record to the
                                    final order record.
Final Order ID...................  The unique identifier for the  122.45, 403.10(f)..  1.
                                    Final Order that imposed the
                                    Enforcement Action limit;
                                    this data element ties the
                                    limit record to the Final
                                    Order record in the database.
Modification Effective Date......  The effective date of the      122.62, 403.10(f)..  1.
                                    permit modification that
                                    created this limit. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Modification Type................  The type of permit             122.62, 403.10(f)..  1.
                                    modification that created
                                    this limit (e.g. major,
                                    minor, permit authorized
                                    change).
Limit Parameter Code.............  The unique code/description    122.41(j),           1.
                                    identifying the parameter      403.10(f).
                                    being limited and/or
                                    monitored.
Limit Months.....................  The months that the limit      122.46, 403.10(f)..  1.
                                    applies.
Limit Value Type.................  The indication of the limit    122.45(f),           1.
                                    value type (e.g., Quantity     403.10(f).
                                    1, Concentration 2).
Limit Quantity or Concentration    The unique code/description    122.45(f),           1.
 Units.                             representing the unit(s) of    403.10(f).
                                    measure applicable to
                                    quantity or concentration
                                    limits as entered by the
                                    user.
Statistical Base Code............  The unique code/description    122.45(d),           1.
                                    representing the unit of       403.10(f).
                                    measure applicable to the
                                    limit and compliance
                                    monitoring activity (e.g.,
                                    DMR) values entered by the
                                    user (e.g., 30-day average,
                                    daily maximum).
Optional Monitoring Code.........  The code/description that      122.45, 403.10(f)..  1.
                                    indicates when monitoring is
                                    optional but not required
                                    (e.g., DMR Non-Receipt
                                    violation generation will be
                                    suppressed for optional
                                    monitoring).
Limit Value Qualifier............  The unique code identifying    122.45, 403.10(f)..  1.
                                    the limit value operator
                                    (e.g., ``<'', ``='', ``>'').
Limit Value......................  The actual limit value number  122.45, 403.10(f)..  1.
                                    from the Permit or
                                    Enforcement Action Final
                                    Order.
----------------------------------------------------------------------------------------------------------------
               Sewage Sludge/Biosolids Information on NPDES Permit Application or Notice of Intent
 
[Note: As indicated in the ``CWA, Regulatory, or Other Citation'' column, these data elements apply to Treatment
 Works Treating Domestic Sewage whose sewage sludge use or disposal practices are regulated by part 503.]
----------------------------------------------------------------------------------------------------------------
Biosolids/Sewage Sludge            The unique code/description    122.21(q),           1, 2, and 4.
 Management Facility Type.          that identifies whether the    122.28(b)(2)(ii),
                                    facility was issued a permit   503.18, 503.28,
                                    as a biosolids/sewage sludge   503.48.
                                    generator, processor, or end
                                    user (e.g., land application
                                    site, surface disposal site,
                                    incinerator). For the Sewage
                                    Sludge/Biosolids Annual
                                    Report this data element is
                                    also the unique code/
                                    description that identifies
                                    an off-site facility or
                                    location receives biosolids
                                    or sewage sludge from this
                                    facility. This data element
                                    is also required for the
                                    Sewage Sludge/Biosolids
                                    Annual Report.
Biosolids or Sewage Sludge         The one or more unique codes/  122.21(q)(6),        1, 2.
 Treatment Processes (Permit).      descriptions that identifies   122.28(b)(2)(ii).
                                    the biosolids or sewage
                                    sludge treatment process or
                                    processes at the facility.
                                    For example, this may
                                    include treatment processes
                                    in the following categories:
                                    preliminary operations
                                    (e.g., sludge grinding and
                                    degritting), thickening
                                    (concentration),
                                    stabilization, anaerobic
                                    digestion, aerobic
                                    digestion, composting,
                                    conditioning, disinfection
                                    (e.g., beta ray irradiation,
                                    gamma ray irradiation,
                                    pasteurization), dewatering
                                    (e.g., centrifugation,
                                    sludge drying beds, sludge
                                    lagoons), heat drying,
                                    thermal reduction, and
                                    methane or biogas capture
                                    and recovery.

[[Page 64121]]

 
Biosolids or Sewage Sludge Form    The one or more unique codes/  122.21(q)(6),        1, 2.
 (Permit).                          descriptions that identify     122.28(b)(2)(ii).
                                    the nature of each biosolids
                                    and sewage sludge material
                                    generated by the facility in
                                    terms of whether the
                                    material is a biosolid or
                                    sewage sludge and whether
                                    the material is ultimately
                                    conveyed off-site in bulk or
                                    in bags. The facility will
                                    separately report the form
                                    for each biosolids or sewage
                                    sludge management practice
                                    and pathogen class.
Biosolids or Sewage Sludge         The one or more unique codes/  122.21(q)(6),        1, 2.
 Management Practice (Permit).      descriptions that identify     122.28(b)(2)(ii).
                                    the type of biosolids or
                                    sewage sludge management
                                    practice or practices (e.g.,
                                    land application, surface
                                    disposal, incineration) used
                                    by the facility. The
                                    facility will separately
                                    report the practice for each
                                    different form of biosolids
                                    and sewage sludge generated
                                    by the facility and pathogen
                                    class.
Biosolids or Sewage Sludge         The one or more unique codes/  122.21(q)(6),        1, 2.
 Pathogen Class (Permit).           descriptions that identify     122.28(b)(2)(ii).
                                    the pathogen class or
                                    classes (e.g., Class A,
                                    Class B, Not Applicable) for
                                    biosolids or sewage sludge
                                    generated by the facility.
                                    The facility will separately
                                    report the pathogen class
                                    for each biosolids or sewage
                                    sludge management practice
                                    used by the facility and for
                                    each biosolids or sewage
                                    sludge form.
Biosolids or Sewage Sludge Vector  The one or more unique codes/  122.21(q)(6),        1, 2.
 Attraction Reduction Options       descriptions that identify     122.28(b)(2)(ii).
 (Permit).                          the option(s) used by the
                                    facility for vector
                                    attraction reduction. See a
                                    listing of these vector
                                    attraction reduction options
                                    at 40 CFR 503.33(b)(1)
                                    through (11). The facility
                                    will separately report the
                                    vector attraction reduction
                                    options for each biosolids
                                    or sewage sludge management
                                    practice used by the
                                    facility and for each
                                    biosolids or sewage sludge
                                    form as well as by each
                                    biosolids or sewage sludge
                                    pathogen class.
Biosolids or Sewage Sludge         The one or more unique codes/  122.21(q)(6),        1, 2.
 Pathogen Reduction Options         descriptions that identify     122.28(b)(2)(ii).
 (Permit).                          the option(s) used by the
                                    facility to control
                                    pathogens (e.g., Class A--
                                    Alternative 1, Class A--
                                    Alternative 2, Class A--
                                    Alternative 3, Class A--
                                    Alternative 4, Class A--
                                    Alternative 5, Class A--
                                    Alternative 6, Class B--
                                    Alternative 1, Class B--
                                    Alternative 2, Class B--
                                    Alternative 3, or pH
                                    Adjustment (Domestic
                                    Septage). The facility will
                                    separately report the
                                    pathogen reduction options
                                    for each biosolids or sewage
                                    sludge management practice
                                    used by the facility and by
                                    each biosolids or sewage
                                    sludge form as well as by
                                    each biosolids or sewage
                                    sludge pathogen class.
Biosolids or Sewage Sludge Amount  This is the amount (in dry     122.21 (q),          1, 2.
 (Permit).                          metric tons) of biosolids or   122.28(b)(2)(ii).
                                    sewage sludge applied to the
                                    land, prepared for sale or
                                    give-away in a bag or other
                                    container for application to
                                    the land, or placed on an
                                    active sewage sludge unit in
                                    the preceding 365-day
                                    period. This identification
                                    will be made for each
                                    biosolids or sewage sludge
                                    management practice used by
                                    the facility and by each
                                    biosolids or sewage sludge
                                    form as well as by each
                                    biosolids or sewage sludge
                                    pathogen class.
----------------------------------------------------------------------------------------------------------------
              Animal Feeding Operation Information on NPDES Permit Application or Notice of Intent
----------------------------------------------------------------------------------------------------------------
Facility CAAP Designation........  A unique code (e.g., ``Yes'',  122.21(i)(2),        1, 2.
                                    ``No'') to indicate whether    122.24, 122.25,
                                    the facility includes          122.28(b)(2)(ii).
                                    Concentrated Aquatic Animal
                                    Production (CAAP).

[[Page 64122]]

 
Facility CAFO Type...............  The unique code/description    122.21(i)(1),        1, 2.
                                    that identifies whether the    122.23,
                                    facility includes a small,     122.28(b)(2)(ii).
                                    medium or large Concentrated
                                    Animal Feeding Operation
                                    (CAFO).
CAFO Designation Date............  The date on which the          122.23.............  1.
                                    facility is designated as a
                                    small or medium Concentrated
                                    Animal Feeding Operation
                                    (CAFO). The date must be
                                    provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
CAFO Designation Reason..........  The reason(s) the State        122.23(c)..........  1.
                                    Director or the Regional
                                    Administrator used to
                                    designate an animal feeding
                                    operation as a small or
                                    medium CAFO. [Ed note: Large
                                    and medium CAFO definitions
                                    are in 40 CFR 122.23(b)].
                                    This text field can include
                                    the following factors: (1)
                                    the size of the AFO and the
                                    amount of wastes reaching
                                    waters of the United States;
                                    (2) the location of the AFO
                                    relative to waters of the
                                    United States; (3) the means
                                    of conveyance of animal
                                    wastes and process waste
                                    waters into waters of the
                                    United States; (4) the
                                    slope, vegetation, rainfall,
                                    and other factors affecting
                                    the likelihood or frequency
                                    of discharge of animal
                                    wastes manure and process
                                    waste waters into waters of
                                    the United States; and (5)
                                    other relevant factors.
CAFO Animal Types................  The unique code/description    122.21(i)(1)(v),     1, 2.
                                    that identifies the animal     122.28(b)(2)(ii).
                                    type(s) at the facility
                                    (e.g., beef cattle,
                                    broilers, layers, swine
                                    weighing 55 pounds or more,
                                    swine weighing less than 55
                                    pounds, mature dairy cows,
                                    dairy heifers, veal calves,
                                    sheep and lambs, horses,
                                    ducks, turkeys, other).
CAFO Animal Maximum Numbers......  The estimated maximum number   122.21(i)(1)(v),     1, 2.
                                    of each type of animal in      122.28(b)(2)(ii).
                                    open confinement or housed
                                    under roof (either partially
                                    or totally) which are held
                                    at the facility for a total
                                    of 45 days or more in a 12
                                    month period.
CAFO Animal Maximum Numbers in     The estimated maximum number   122.21(i)(1)(v),     1, 2.
 Open Confinement.                  of each type of animal in      122.28(b)(2)(ii).
                                    open confinement which are
                                    held at the facility for a
                                    total of 45 days or more in
                                    a 12 month period.
CAFO MLPW........................  The unique code/description    122.21(i)(1)(viii),  1, 2.
                                    that identifies the type of    122.28(b)(2)(ii).
                                    CAFO manure, litter, and
                                    process wastewater generated
                                    by the facility i.e. in a 12
                                    month period.
CAFO MLPW Amounts................  The estimated amount of CAFO   122.21(i)(1)(viii),  1, 2.
                                    manure, litter, and process    122.28(b)(2)(ii).
                                    wastewater generated by the
                                    facility i.e.in a 12 month
                                    period.
CAFO MLPW Amounts Units..........  The unit (e.g., tons,          122.21(i)(1)(viii),  1, 2.
                                    gallons) for the estimated     122.28(b)(2)(ii).
                                    maximum amount of CAFO
                                    manure, litter, and process
                                    wastewater generated by the
                                    facility i.e. in a 12 month
                                    period.
CAFO MLPW Transferred............  The estimated maximum amount   122.21(i)(1)(ix),    1, 2.
                                    of CAFO manure, litter, and    122.28(b)(2)(ii).
                                    process wastewater generated
                                    by the facility i.e.in a 12
                                    month period that is
                                    transferred to other
                                    persons. The units for this
                                    data element will be the
                                    same as the units for the
                                    ``CAFO MLPW Amounts'' data
                                    element.
Total Number of Acres Available    Total number of acres under    122.21(i)(1)(vii),   1, 2.
 for Land Application.              the control of the applicant   122.28(b)(2)(ii).
                                    that are available for land
                                    application of CAFO manure,
                                    litter, and process
                                    wastewater.
CAFO MLPW Containment and Storage  The unique code/description    122.21(i)(1)(vi),    1, 2.
 Type.                              describing the one or more     122.28(b)(2)(ii).
                                    types of CAFO manure,
                                    litter, and process
                                    wastewater containment and
                                    storage (e.g., lagoon,
                                    holding pond, evaporation
                                    pond, anaerobic lagoon,
                                    storage lagoon, evaporation
                                    pond, aboveground storage
                                    tanks, belowground storage
                                    tanks, roofed storage shed,
                                    concrete pad, impervious
                                    soil pad, other) at the
                                    facility.

[[Page 64123]]

 
CAFO MLPW Containment and Storage  The estimated maximum          122.21(i)(1)(vi),    1, 2.
 Maximum Capacity Amounts.          capacity of each CAFO          122.28(b)(2)(ii).
                                    manure, litter, and process
                                    wastewater containment and
                                    storage type at the facility.
CAFO MLPW Containment and Storage  The unit for the estimated     122.21(i)(1)(vi),    1, 2.
 Maximum Capacity Amounts Unit.     maximum capacity of each       122.28(b)(2)(ii).
                                    CAFO manure, litter, and
                                    process wastewater
                                    containment and storage type
                                    at the facility (e.g.,
                                    gallons).
----------------------------------------------------------------------------------------------------------------
 Construction and Industrial Stormwater Information [from the permitting authority derived from the No Exposure
     Certification, Low Erosivity Waiver, and Other Waiver From Stormwater Controls (see Exhibit 1 to 40 CFR
                                                 122.26(b)(15)]
----------------------------------------------------------------------------------------------------------------
No Exposure Certification          This is the date on which the  122.26(g)..........  1.
 Approval Date.                     No Exposure Certification
                                    (NOE) was authorized by the
                                    NPDES permitting authority.
                                    Submission of a No Exposure
                                    Certification means that the
                                    facility does not require
                                    NPDES permit authorization
                                    for its stormwater
                                    discharges due to the
                                    existence of a condition of
                                    ``no exposure.'' A condition
                                    of no exposure exists at an
                                    industrial facility when all
                                    industrial materials and
                                    activities are protected by
                                    a storm resistant shelter to
                                    prevent exposure to rain,
                                    snow, snowmelt, and/or
                                    runoff and the operator
                                    complies with all
                                    requirements at 40 CFR
                                    122.26(g)(1) through (4).
                                    This date is provided by the
                                    permitting authority. The
                                    date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
Low Erosivity Waiver or Other      The NPDES Stormwater Phase II  Exhibit 1 to 40 CFR  1.
 Waiver From Stormwater Controls    Rule allows NPDES permitting   122.26(b)(15).
 Approval Date.                     authorities to accept low
                                    erosivity waivers and other
                                    waivers from stormwater
                                    controls (LEWs) for small
                                    construction sites. The
                                    waiver process exempts small
                                    construction sites
                                    (disturbing under five
                                    acres) from NPDES permitting
                                    requirements when the
                                    rainfall erosivity factor is
                                    less than five during the
                                    period of construction
                                    activity as well as other
                                    criteria [see Exhibit 1 to
                                    40 CFR 122.26(b)(15)]. This
                                    is the date when the NPDES
                                    permitting authority granted
                                    such waiver, based on
                                    information from the entity
                                    requesting the waiver; this
                                    date is provided by the
                                    permitting authority. The
                                    date must be provided in
                                    YYYY-MM-DD format, where
                                    YYYY is the year, MM is the
                                    month, and DD is the day.
----------------------------------------------------------------------------------------------------------------
 Construction Stormwater Information on NPDES Permit Application, Notice of Intent, or Waiver Request [including
                 construction activity requiring permit coverage under 40 CFR 122.26(b)(14)(x)]
----------------------------------------------------------------------------------------------------------------
Total Area of the Site...........  This is an estimate of the     122.26(c)(1)(ii)(B)  1.
                                    total area of the
                                    construction site at the
                                    time of permit application
                                    (in acres). This data
                                    element is only required for
                                    individual construction
                                    stormwater permit
                                    applications. Values under 5
                                    acres will be reported to
                                    the nearest tenth of an acre
                                    or nearest quarter acre.
                                    Authorized NPDES programs
                                    will have the discretion to
                                    choose whether permittees
                                    should report to the nearest
                                    tenth of an acre or nearest
                                    quarter acre for values
                                    under 5 acres.

[[Page 64124]]

 
Total Activity Area                This is the estimate of the    122.26,              1, 2.
 (Construction).                    total area of the              122.28(b)(2)(ii).
                                    construction activities at
                                    the time of permit
                                    application or filing of
                                    notice of intent to be
                                    covered under a general
                                    permit (in acres). Areas of
                                    construction activity
                                    include areas of clearing,
                                    grading, and/or excavation
                                    and areas of construction
                                    support activity (e.g.,
                                    concrete or asphalt batch
                                    plants, equipment staging
                                    yards, material storage
                                    areas, excavated materials
                                    disposal areas, borrow
                                    areas). Values under 5 acres
                                    will be reported to the
                                    nearest tenth of an acre or
                                    nearest quarter acre.
                                    Authorized NPDES programs
                                    will have the discretion to
                                    choose whether permittees
                                    should report to the nearest
                                    tenth of an acre or nearest
                                    quarter acre for values
                                    under 5 acres.
Post-Construction Total            This is the estimate of total  122.26(c)(1)(ii)(E)  1.
 Impervious Area.                   impervious area of the site
                                    after the construction
                                    addressed in the permit
                                    application is completed (in
                                    acres). This estimate is
                                    made at the time of the
                                    permit application. This
                                    data element is only
                                    required for individual
                                    construction stormwater
                                    permit applications. Values
                                    under 5 acres will be
                                    reported to the nearest
                                    tenth of an acre or nearest
                                    quarter acre. Authorized
                                    NPDES programs will have the
                                    discretion to choose whether
                                    permittees should report to
                                    the nearest tenth of an acre
                                    or nearest quarter acre for
                                    values under 5 acres.
Proposed Stormwater Best           This is the one or more        122.26(c)(1)(ii)(C)  1.
 Management Practices for           unique codes that list the
 Construction Activities.           most important proposed
                                    measures, including best
                                    management practices, to
                                    control pollutants in
                                    stormwater discharges from
                                    construction activities.
                                    This data element includes
                                    temporary structural
                                    measures (e.g., check dams,
                                    construction road
                                    stabilization, silt fences),
                                    vegetative measures (e.g.,
                                    mulching, seeding, sodding,
                                    straw/hay bale dikes), and
                                    permanent structures (e.g.,
                                    land grading, riprap slope
                                    protection, streambank
                                    protection). This data
                                    element field is only
                                    required for individual
                                    construction stormwater
                                    permit applications.
Post-Construction Stormwater Best  This is the one or more        122.26(c)(1)(ii)(D)  1.
 Management Practices for           unique codes that list the
 Construction Activities.           most important proposed long-
                                    term measures and permanent
                                    structures to control
                                    pollutants in stormwater
                                    discharges, which will occur
                                    after the completion of
                                    construction operations. The
                                    codes for this data element
                                    include long-term control
                                    measures (e.g., cleaning and
                                    removal of debris after
                                    major storm events,
                                    harvesting vegetation when a
                                    50 percent reduction in the
                                    original open water surface
                                    area occurs, sediment
                                    cleanout, repairing
                                    embankments, side slopes,
                                    and control structures) and
                                    permanent structures (e.g.,
                                    land grading, riprap slope
                                    protection, streambank
                                    protection, ponds, wetlands,
                                    infiltration basins, sand
                                    filters, filter strips).
                                    This data element is only
                                    required for individual
                                    construction stormwater
                                    permit applications.
Soil and Fill Material             This is a text field           122.26(c)(1)(ii)(E)  1.
 Description.                       describes the nature of fill
                                    material and existing data
                                    describing soils or the
                                    quality of the discharge.
                                    This data element is only
                                    required for individual
                                    construction stormwater
                                    permit applications.
Runoff Coefficient of the Site     This is an estimate of the     122.26(c)(1)(ii)(E)  1.
 (Post-Construction).               overall runoff coefficient
                                    of the site after the
                                    construction addressed in
                                    the permit application is
                                    completed. This data element
                                    is only required for
                                    individual construction
                                    stormwater permit
                                    applications.

[[Page 64125]]

 
Estimated Construction Project     The estimated start date for   122.26,              1, 2.
 Start Date.                        the construction project       122.28(b)(2)(ii).
                                    covered by the NPDES permit.
                                    The date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
Estimated Construction Project     The estimated end date for     122.26,              1, 2.
 End Date.                          the construction project       122.28(b)(2)(ii).
                                    covered by the NPDES permit.
                                    The date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
----------------------------------------------------------------------------------------------------------------
 Industrial Stormwater Information on NPDES Permit Application [excluding construction activity requiring permit
                                     coverage under 40 CFR 122.26(b)(14)(x)]
----------------------------------------------------------------------------------------------------------------
Total Surface Area Drained         This is an estimate of the     122.26(c)(1)(i)(B).  1.
 (Industrial).                      total surface area drained
                                    at the facility at the time
                                    of permit application (in
                                    acres). This data field is
                                    only required for individual
                                    industrial stormwater permit
                                    applications. Values under 5
                                    acres will be reported to
                                    the nearest tenth of an acre
                                    or nearest quarter acre.
                                    Authorized NPDES programs
                                    will have the discretion to
                                    choose whether permittees
                                    should report to the nearest
                                    tenth of an acre or nearest
                                    quarter acre for values
                                    under 5 acres.
Total Impervious Surface Area      This is the estimate of the    122.26(c)(1)(i)(B).  1.
 (Industrial).                      total impervious area at the
                                    facility at the time of
                                    permit application (in
                                    acres). This data element is
                                    only required for individual
                                    industrial stormwater permit
                                    applications. Values under 5
                                    acres will be reported to
                                    the nearest tenth of an acre
                                    or nearest quarter acre.
                                    Authorized NPDES programs
                                    will have the discretion to
                                    choose whether permittees
                                    should report to the nearest
                                    tenth of an acre or nearest
                                    quarter acre for values
                                    under 5 acres.
Proposed Stormwater Best           This is the one or more codes  122.26(c)(1)(i)(B).  1.
 Management Practices               that identify the structural
 (Industrial).                      and non-structural control
                                    measures (including
                                    treatment) to control
                                    pollutants in stormwater
                                    discharges from industrial
                                    activities. This data
                                    element includes long-term
                                    measures (e.g., good
                                    housekeeping of waste-
                                    handling and waste-storage
                                    areas, collecting debris and
                                    yard material, proper
                                    management of vehicle wash
                                    and equipment maintenance
                                    areas) and permanent
                                    structures (e.g., covers,
                                    pads, diversion berms or
                                    channels, vegetative buffer
                                    strips, erosion prevention
                                    and sediment control such as
                                    land grading, riprap slope
                                    protection, streambank
                                    protection) to control
                                    pollutants in stormwater
                                    discharges. This data
                                    element is only required for
                                    individual industrial
                                    stormwater permit
                                    applications.
----------------------------------------------------------------------------------------------------------------
     Municipal Separate Storm Sewer System (MS4) Information on NPDES Permit Application or Notice of Intent
----------------------------------------------------------------------------------------------------------------
MS4 Permit Class.................  The unique code/description    122.26,              1, 2.
                                    that identifies the size of    122.28(b)(2)(ii).
                                    the MS4 permit holder (e.g.,
                                    Phase I = large or medium
                                    MS4s, Phase II = small MS4s).
Unique Identifier for Each         The unique identifier for      122.21(f),           1, 2, 6.
 Municipality Covered Under MS4     each municipality covered      122.26(d)
 Permit.                            under MS4 permit. Use of       122.28(b)(2)(ii),
                                    this identifier allows for     122.34(g)(3), and
                                    greater geographic             122.42(c).
                                    resolution for the MS4
                                    components being tracked.
                                    This unique identifier does
                                    not change over time. Use of
                                    this unique identifier is
                                    similar to how the
                                    `Permitted Feature
                                    Identifier (Permit)' data
                                    element is used to
                                    distinguish between
                                    permitted features.

[[Page 64126]]

 
MS4 Public Education Program.....  The one or more unique codes/  122.21(f),           1, 2.
                                    descriptions that identifies   122.26(d)(2)(iv)(A
                                    the educational materials      )(6), (B)(5) and
                                    the permittee intends to       (6), and (D)(4);
                                    distribute or equivalent       122.28(b)(2)(ii),
                                    outreach activities the        122.34(b)(1),
                                    permittee will implement to    122.34(d)(1)(i).
                                    inform the target audience
                                    about the impacts of
                                    stormwater discharges and
                                    the steps the public can
                                    take to reduce stormwater
                                    pollutants.
MS4 Measurable Goals Associated    The one or more unique codes/  122.34(d)(1)(ii),    1, 2.
 With Public Education Program.     descriptions that identifies   122.28(b)(2)(ii).
                                    measurable goals associated
                                    with the public education
                                    programs including, as
                                    appropriate, the months and
                                    years in which the permittee
                                    will undertake required
                                    actions, including interim
                                    milestones and the frequency
                                    of the action. This data
                                    element only applies to
                                    Phase II MS4s.
MS4 Public Involvement and         The one or more unique codes/  122.21(f),           1, 2.
 Participation Program.             descriptions that identifies   122.26(d)(2)(iv),
                                    how the permittee intends to   122.28(b)(2)(ii),
                                    involve the public and at      122.34(b)(2),
                                    minimum comply with State,     122.34(d)(1)(i).
                                    Tribal, and local public
                                    notice requirements to
                                    implement its public
                                    involvement and
                                    participation program.
MS4 Measurable Goals for the       The one or more unique codes/  122.28(b)(2)(ii)     1, 2.
 Public Involvement and             descriptions that identifies   122.34(d)(1)(ii).
 Participation Program.             the measurable goals
                                    associated with the public
                                    involvement and
                                    participation program
                                    including, as appropriate,
                                    the months and years in
                                    which the permittee will
                                    undertake required actions,
                                    including interim milestones
                                    and the frequency of the
                                    action. This data element
                                    only applies to Phase II
                                    MS4s.
MS4 Illicit Discharge Detection    The one or more unique codes/  122.21(f),           1, 2.
 and Elimination.                   descriptions that identify     122.26(d)(1)(iii)(
                                    how the permittee will         B),
                                    comply with Illicit            122.26(d)(2)(i)(B)
                                    Discharge Detection and        and (C),
                                    Elimination requirements,      122.26(d)(2)(iv)(B
                                    including (at a minimum):      ),
                                    (1) The status of the          122.28(b)(2)(ii),
                                    permittee's storm sewer        122.34(b)(3)(ii)(A
                                    system map showing the         )-(D),
                                    location of all outfalls and   122.34(d)(1)(i).
                                    names and locations of all
                                    waters of the U.S. that
                                    receive discharges from
                                    those outfalls; (2) the
                                    status of the ordinance or
                                    other regulatory mechanism
                                    to prohibit non-stormwater
                                    discharges into the
                                    permittee's MS4; (3) the
                                    procedures and actions the
                                    permittee takes to enforce
                                    the prohibition of non-
                                    stormwater discharges to the
                                    permittee's MS4; (4) the
                                    status of the program that
                                    identifies the procedures
                                    and actions the permittee
                                    will take to detect and
                                    address non-stormwater
                                    discharges, including
                                    illegal dumping, to the
                                    permittee's MS4; and (5) the
                                    status of procedures and
                                    actions the permittee will
                                    take to inform public
                                    employees, businesses and
                                    the general public of
                                    hazards associated with
                                    illegal discharges and
                                    improper disposal of waste.
MS4 Measurable Goals Associated    The one or more unique codes/  122.34(d)(1)(ii)...  1, 2.
 With Illicit Discharge Detection   descriptions that identifies
 and Elimination Program.           the measurable goals
                                    associated with the illicit
                                    discharge detection and
                                    elimination program,
                                    including, as appropriate,
                                    the months and years in
                                    which the permittee will
                                    undertake required actions,
                                    including interim milestones
                                    and the frequency of the
                                    action. This data element
                                    only applies to Phase II
                                    MS4s.

[[Page 64127]]

 
MS4 Construction Site Stormwater   The one or more unique codes/  122.21(f),           1, 2.
 Runoff Control.                    descriptions that identify     122.26(d)(2)(iv)(D
                                    how the permittee will         ),
                                    comply with the Construction   122.28(b)(2)(ii),
                                    Site Runoff Control            122.34(b)(4)(ii),
                                    requirements, including (at    122.34(d)(1)(i).
                                    a minimum): (1) status of
                                    the ordinance or other
                                    regulatory mechanism to
                                    require erosion and sediment
                                    controls, including
                                    sanctions to ensure
                                    compliance; (2) status of
                                    requirements for
                                    construction site operators
                                    to implement appropriate
                                    erosion and sediment control
                                    BMPs and control waste at
                                    the construction site that
                                    may cause adverse impacts to
                                    water quality; (3) status of
                                    procedures for site plan
                                    review that incorporate
                                    consideration of potential
                                    water quality impacts; (4)
                                    status of procedures for
                                    receipt and consideration of
                                    information submitted by the
                                    public; and (5) status of
                                    procedures for site
                                    inspection and enforcement
                                    of control measures.
MS4 Measurable Goals Associated    The one or more unique codes/  122.34(d)(1)(ii)...  1, 2.
 with the Construction Site         descriptions that identify
 Stormwater Runoff Control          the measurable goals
 Program.                           associated with the
                                    construction program,
                                    including, as appropriate,
                                    the months and years in
                                    which the permittee will
                                    undertake required actions,
                                    including interim milestones
                                    and the frequency of the
                                    action. This data element
                                    only applies to Phase II
                                    MS4s.
MS4 Post-Construction Stormwater   The one or more unique codes/  122.21(f),           1, 2.
 Management In New Development      descriptions that identify     122.26(d)(2)(iv)(A
 And Redevelopment.                 how the permittee will         )(2),
                                    comply with the Post-          122.28(b)(2)(ii),
                                    Construction Stormwater        122.34(b)(5),
                                    Management in New              122.34(d)(1)(i).
                                    Development and
                                    Redevelopment requirements,
                                    including (at a minimum):
                                    (1) Status of ordinance or
                                    other regulatory mechanism
                                    to address post-construction
                                    runoff from new development
                                    and redevelopment projects;
                                    (2) how the permittee plans
                                    to address stormwater runoff
                                    from new development and
                                    redevelopment projects that
                                    disturb a minimum of greater
                                    than or equal to one acre
                                    (including if the permittee
                                    requires on-site retention
                                    of stormwater; and (3)
                                    status of a plan to ensure
                                    adequate long-term operation
                                    and maintenance of BMPs for
                                    controlling runoff from new
                                    development and
                                    redevelopment projects.
MS4 Measurable Goals Associated    The one or more unique codes/  122.34(d)(1)(ii)...  1, 2.
 with the Post-Construction:        descriptions that identify
 Stormwater Management Program.     the measurable goals
                                    associated with the post-
                                    construction program,
                                    including, as appropriate,
                                    the months and years in
                                    which the permittee will
                                    undertake required actions,
                                    including interim milestones
                                    and the frequency of the
                                    action. This data element
                                    only applies to Phase II
                                    MS4s.
MS4 Pollution Prevention/Good      The one or more unique codes/  122.21(f),           1, 2.
 Housekeeping for Municipal         descriptions that identify     122.26(d)(2)(iv)(A
 Operations Program.                how the permittee will         )(1), (2) and (3),
                                    comply with the Pollution      122.28(b)(2)(ii),
                                    Prevention/Good Housekeeping   122.34(b)(6)(i),
                                    requirements.                  122.34(d)(1)(i).
MS4 Additional Measures..........  The one or more unique codes/  122.28(b)(2)(ii),    1, 2.
                                    descriptions that identify     122.34(b),
                                    any other additional           122.34(d)
                                    measures that are required     122.44(d)(1)(vii)(
                                    by the permit such as          B).
                                    controls to be consistent
                                    with the assumptions and
                                    requirements of any
                                    available wasteload
                                    allocation prepared by a
                                    state and approved by EPA.
                                    This data element is
                                    optional if there are no MS4
                                    additional measures.
----------------------------------------------------------------------------------------------------------------

[[Page 64128]]

 
                        POTW Information on NPDES Permit Application or Notice of Intent
----------------------------------------------------------------------------------------------------------------
Name of Collection System........  This is the unique name of     122.1(b) and         1, 2.
                                    each collection system that    122.21(j)(1)(iv),
                                    provides flow to the           122.28(b)(2)(ii).
                                    permittee. This includes
                                    unincorporated connector
                                    districts and satellite
                                    collection systems, which
                                    are sanitary sewers owned or
                                    operated by another entity
                                    that conveys sewage or
                                    industrial wastewater to
                                    this permittee. This data
                                    element applies to POTWs.
Owner Type of Collection System..  The unique code/description    122.1(b) and         1, 2.
                                    that identifies the            122.21(j)(1)(iv),
                                    ownership type for each        122.28(b)(2)(ii).
                                    unique collection system
                                    that provides flow to the
                                    permittee (e.g.,
                                    municipality owned,
                                    privately owned). This
                                    includes unincorporated
                                    connector districts and
                                    satellite collection
                                    systems. This data element
                                    applies to POTWs.
Collection System Identifier.....  This is the NPDES permit       122.1(b) and         1, 2.
                                    number (``NPDES ID'') for      122.21(j)(1)(iv),
                                    each unique collection         122.28(b)(2)(ii).
                                    system that provides flow to
                                    the permittee. If there is
                                    no NPDES permit number for
                                    the collection system this
                                    data element will be a
                                    unique identifier for each
                                    collection system that
                                    provides flow to the
                                    permittee. This includes
                                    unincorporated connector
                                    districts and satellite
                                    collection systems. This
                                    data element applies to
                                    POTWs.
Population of Collection System..  This is the estimated          122.1(b) and         1, 2.
                                    population for each unique     122.21(j)(1)(iv),
                                    collection system that         122.28(b)(2)(ii).
                                    provides flow to the
                                    permittee. This includes
                                    unincorporated connector
                                    districts and satellite
                                    collection systems. This
                                    data element applies to
                                    POTWs.
Percentage of Collection System    For each unique collection     122.1(b) and         1, 2.
 That Is a Combined Sewer System.   system that provides flow to   122.21(j)(1)(iv)
                                    the permittee, this is the     and (vii),
                                    estimated percentage of the    122.28(b)(2)(ii).
                                    collection system that is a
                                    combined sewer system. This
                                    includes unincorporated
                                    connector districts and
                                    satellite collection
                                    systems. This estimated
                                    percentage is calculated
                                    separately for each unique
                                    collection system that
                                    provides flow to the
                                    permittee and is based on
                                    the service population of
                                    each unique collection
                                    system. This data element
                                    applies to POTWs.
POTW Wastewater Treatment          This data element describes    122.21(j)(3)(iii),   1, 2.
 Technology Level Description.      the level of wastewater        122.28(b)(2)(ii)
                                    treatment technology [e.g.,    and CWA section
                                    raw discharge (no              516.
                                    treatment), primary
                                    treatment, secondary
                                    wastewater treatment,
                                    advanced treatment] used at
                                    the facility. This data
                                    element only applies to
                                    POTWs.
POTW Wastewater Disinfection       The one or more unique codes/  122.21(j)(3)(iii),   1, 2.
 Technology.                        descriptions that describe     122.28(b)(2)(ii).
                                    the types of disinfection
                                    technology that are used at
                                    the facility (e.g.,
                                    chlorination, ozonation,
                                    ultraviolet disinfection).
                                    This data element will also
                                    use a code/description to
                                    identify if this facility is
                                    using dechlorination, which
                                    may be required if the
                                    facility uses chlorination
                                    for disinfection. This data
                                    element only applies to
                                    POTWs.
POTW Wastewater Treatment          The one or more unique codes/  122.21(j)(2)(ii)(A)  1, 2.
 Technology Unit Operations.        descriptions that describe     , 122.28(b)(2)(ii)
                                    the wastewater treatment       and CWA section
                                    technology unit operations     516.
                                    (e.g., grit removal, flow
                                    equalization, complete mix
                                    activated sludge secondary
                                    treatment, trickling filter,
                                    facultative lagoon,
                                    biological nitrification)
                                    used at the facility. This
                                    data element is required for
                                    POTWs that have a design
                                    flow capacity equal to or
                                    above 10 million gallons per
                                    day (MGD) and is optional
                                    for POTWs with a design flow
                                    capacity below 10 MGD.
----------------------------------------------------------------------------------------------------------------

[[Page 64129]]

 
                                       Combined Sewer Overflow Information
 
[Note: All Phase II and post-Phase II combined sewer system NPDES permittees are required to complete and
 implement a long-term CSO control plan (LTCP) as described in EPA's Combined Sewer Overflow (CSO) Control
 Policy (19 April 1994; 59 Federal Register 18688-18698). These data will be updated by the authorized NPDES
 program on a timely basis as changes occur with the combined sewer system and the LTCP as well as with the
 POTW's implementation and compliance with the LTCP.]
----------------------------------------------------------------------------------------------------------------
Long-Term CSO Control Plan Permit  This data element uses a       122.41(h), 122.43,   1.
 Requirements and Compliance.       unique code/description that   123.41(a) and CWA
                                    identifies whether the         section 402(q)(1),
                                    permit requires the permit     Combined Sewer
                                    holder to complete and         Overflow (CSO)
                                    implement a LTCP and whether   Control Policy (59
                                    the permit holder is in        FR 18688-18698, 19
                                    compliance with these permit   April 1994).
                                    requirements.
Nine Minimum CSO Controls          This data element uses a       122.41(h), 122.43,   1.
 Developed.                         unique code/description to     123.41(a) and CWA
                                    identify by number each of     section 402(q)(1),
                                    the nine minimum control       Combined Sewer
                                    measures outlines in the CSO   Overflow (CSO)
                                    Control Policy that the        Control Policy (59
                                    permit holder has              FR 18688-18698, 19
                                    implemented in compliance      April 1994).
                                    with the applicable permit
                                    and/or enforcement
                                    mechanism. These unique
                                    codes are: (1) Proper
                                    operation and regular
                                    maintenance programs for the
                                    sewer system and the CSOs;
                                    (2) Maximum use of the
                                    collection system for
                                    storage; (3) Review and
                                    modification of pretreatment
                                    requirements to assure CSO
                                    impacts are minimized; (4)
                                    Maximization of flow to the
                                    publicly owned treatment
                                    works for treatment; (5)
                                    Prohibition of CSOs during
                                    dry weather; (6) Control of
                                    solid and floatable
                                    materials in CSOs; (7)
                                    Pollution prevention; (8)
                                    Public notification to
                                    ensure that the public
                                    receives adequate
                                    notification of CSO
                                    occurrences and CSO impacts;
                                    and (9) Monitoring to
                                    effectively characterize CSO
                                    impacts and the efficacy of
                                    CSO controls. For example,
                                    if the permit holder has
                                    only developed the ``Maximum
                                    use of the collection system
                                    for storage'' minimum
                                    control measure then the
                                    permitting authority will
                                    record ``2'' for this data
                                    element. Likewise, if the
                                    permit holder has developed
                                    all nine minimum control
                                    measures then permitting
                                    authority will record 1, 2,
                                    3, 4, 5, 6, 7, 8, and 9 for
                                    this data element.
Nine Minimum CSO Controls          This data element uses a       122.41(h), 122.43,   1.
 Implemented.                       unique code/description to     123.41(a) and CWA
                                    identify by number each of     section 402(q)(1),
                                    nine minimum control           Combined Sewer
                                    measures outlined in the CSO   Overflow (CSO)
                                    Control Policy that the        Control Policy (59
                                    permit holder has              FR 18688-18698, 19
                                    implemented in compliance      April 1994).
                                    with the applicable permit
                                    and/or enforcement
                                    mechanism. These unique
                                    codes are: (1) Proper
                                    operation and regular
                                    maintenance programs for the
                                    sewer system and the CSOs;
                                    (2) Maximum use of the
                                    collection system for
                                    storage; (3) Review and
                                    modification of pretreatment
                                    requirements to assure CSO
                                    impacts are minimized; (4)
                                    Maximization of flow to the
                                    publicly owned treatment
                                    works for treatment; (5)
                                    Prohibition of CSOs during
                                    dry weather; (6) Control of
                                    solid and floatable
                                    materials in CSOs; (7)
                                    Pollution prevention; (8)
                                    Public notification to
                                    ensure that the public
                                    receives adequate
                                    notification of CSO
                                    occurrences and CSO impacts;
                                    and (9) Monitoring to
                                    effectively characterize CSO
                                    impacts and the efficacy of
                                    CSO controls. For example,
                                    if the permit holder has
                                    only developed the ``Maximum
                                    use of the collection system
                                    for storage'' minimum
                                    control measure then the
                                    permitting authority will
                                    record ``2'' for this data
                                    element. Likewise, if the
                                    permit holder has developed
                                    all nine minimum control
                                    measures then permitting
                                    authority will record 1, 2,
                                    3, 4, 5, 6, 7, 8, and 9 for
                                    this data element.

[[Page 64130]]

 
LTCP Submission and Approval Type  This data element uses a       122.41(h), 122.43,   1.
                                    unique code/description to     123.41(a) and CWA
                                    identify whether the most      section 402(q)(1),
                                    recent version of the LTCP     Combined Sewer
                                    was received and approved by   Overflow (CSO)
                                    the permitting authority       Control Policy (59
                                    (e.g., most recent version     FR 18688-18698, 19
                                    of the LTCP was submitted by   April 1994).
                                    permit holder and was
                                    approved by the permitting
                                    authority, most recent
                                    version of the LTCP was
                                    submitted by permit holder
                                    but has not yet been
                                    approved by permitting
                                    authority, permit holder is
                                    required to submit a revised
                                    LTCP but the permitting
                                    authority has not yet
                                    received the revised LTCP
                                    from the permit holder,
                                    permit holder has not yet
                                    submitted a LTCP).
LTCP Approval Date...............  This data element identifies   122.41(h), 122.43,   1.
                                    the date when the permitting   123.41(a) and CWA
                                    authority approved the most    section 402(q)(1),
                                    current version of the LTCP.   Combined Sewer
                                    This data element will be      Overflow (CSO)
                                    updated for each revision to   Control Policy (59
                                    the LTCP. The date must be     FR 18688-18698, 19
                                    provided in YYYY-MM-DD         April 1994).
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Enforceable Mechanism and          This data element uses a       122.41(h), 122.43,   1.
 Schedule to Complete LTCP and      unique code/description to     123.41(a) and CWA
 CSO Controls.                      identify whether the permit    section 402(q)(1),
                                    holder is on an enforceable    Combined Sewer
                                    schedule to complete all       Overflow (CSO)
                                    required LTCP and CSO          Control Policy (59
                                    controls and the type of       FR 18688-18698, 19
                                    enforcement mechanism.         April 1994).
Actual Date Completed LTCP and     This data element identifies   122.41(h), 122.43,   1.
 CSO Controls.                      the date by which the permit   123.41(a) and CWA
                                    holder completed               section 402(q)(1),
                                    construction and               Combined Sewer
                                    implementation of all          Overflow (CSO)
                                    currently required LTCP and    Control Policy (59
                                    CSO controls. This data        FR 18688-18698, 19
                                    element will be updated for    April 1994).
                                    each revision to the LTCP
                                    and CSO controls. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Approved Post-Construction         This data element uses a       122.41(h), 122.43,   1.
 Compliance Monitoring Program.     unique code/description to     123.41(a) and CWA
                                    indicate whether the permit    section 402(q)(1),
                                    holder is currently            Combined Sewer
                                    implementing an approved       Overflow (CSO)
                                    post-construction compliance   Control Policy (59
                                    monitoring program.            FR 18688-18698, 19
                                                                   April 1994).
Other CSO Control Measures with    This data element uses a       122.41(h), 122.43,   1.
 Compliance Schedule.               unique code/description to     123.41(a) and CWA
                                    identify whether the permit    section 402(q)(1),
                                    holder has other CSO control   Combined Sewer
                                    measures specified in a        Overflow (CSO)
                                    compliance schedule, beyond    Control Policy (59
                                    those identified in the nine   FR 18688-18698, 19
                                    minimum controls, long-term    April 1994).
                                    CSO control plan (LTCP), or
                                    a plan for sewer system
                                    separation.
----------------------------------------------------------------------------------------------------------------
 Pretreatment Information on NPDES Permit Application or Notice of Intent (this includes permit application data
                          required for all new and existing POTWs [40 CFR 122.21(j)(6)]
 
[Note: These data will be added or updated through the Annual Pretreatment Program Report, see 40 CFR 403.12(i),
 as needed. It is also important to note that the `Associated NPDES ID Number' identifies the receiving POTW's
 NPDES permit number for each industrial user.]
----------------------------------------------------------------------------------------------------------------
Pretreatment Program Required      The unique code/description    122.28(b)(2)(ii),    1.
 Indicator.                         that describes whether the     122.44(j).
                                    permitted municipality is
                                    required to develop or
                                    implement a pretreatment
                                    program (in accordance with
                                    40 CFR 403).
Pretreatment Program Approval or   The date the pretreatment      122.28(b)(2)(ii),    1.
 Modification Date.                 program was approved or        403.8(a) and (b),
                                    substantially modified. This   403.11.
                                    data element can be system
                                    generated by carrying
                                    forward the most recent date
                                    (approval or modification).
                                    The date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
Pretreatment Program Modification  The unique code describing     122.28(b)(2)(ii),    1.
 Type.                              the type of substantial        403.8(a) and (b),
                                    modification to a POTW         403.11, 403.18.
                                    Pretreatment Program, which
                                    includes the initial start
                                    of a pretreatment program.

[[Page 64131]]

 
Industrial User Type.............  The unique code/description    122.21(j)(6),        1, 2, 7.
                                    that identifies the type of    122.28(b)(2)(ii),
                                    each industrial user           122.44(j),
                                    discharging to a POTW [e.g.,   403.12(i).
                                    Significant Industrial User
                                    (SIU), Standard Categorical
                                    Industrial Users (CIU), Non-
                                    Significant Categorical
                                    Industrial User (NSCIU), and
                                    Middle Tier Categorical
                                    Industrial User (MTCIU)].
                                    This data element is at the
                                    permit or control mechanism
                                    level and is required for
                                    each SIU, CIU, NSCIU, and
                                    MTCIU. This data element
                                    also applies to SIUs and
                                    CIUs that discharge non-
                                    domestic wastewater by
                                    truck, rail, and dedicated
                                    pipe or other means of
                                    transportation to one or
                                    more POTWs.
Significant Industrial User        The unique code (e.g.,         122.21(j)(6),        1, 2, 7.
 Subject to Local Limits.           ``Yes'', ``No'') that          122.28(b)(2)(ii),
                                    identifies for each            122.44(j),
                                    Significant Industrial User    403.12(i).
                                    (SIU) or Categorical
                                    Industrial User (CIU)
                                    discharging to a POTW
                                    (including non-domestic
                                    wastewater delivered by
                                    truck, rail, and dedicated
                                    pipe or other means of
                                    transportation) whether the
                                    SIU is subject to local
                                    limits.
Significant Industrial User        The unique code (e.g.,         122.21(j)(6),        1, 2, 7.
 Subject to Local Limits More       ``Yes'', ``No'') that          122.28(b)(2)(ii),
 Stringent Than Categorical         identifies for each            122.44(j),
 Standards.                         Categorical Industrial User    403.12(i).
                                    (CIU) discharging to a POTW
                                    (including non-domestic
                                    wastewater delivered by
                                    truck, rail, and dedicated
                                    pipe or other means of
                                    transportation) whether the
                                    CIU is subject to one or
                                    more local limits that are
                                    more stringent than the
                                    applicable categorical
                                    standards.
Applicable Categorical Standards.  This data element will         122.21(j)(6),        1, 2, 7.
                                    identify for each              122.28(b)(2)(ii),
                                    Categorical Industrial User    122.44(j),
                                    (CIU) discharging to a POTW    403.12(i).
                                    (including non-domestic
                                    wastewater delivered by
                                    truck, rail, and dedicated
                                    pipe or other means of
                                    transportation) the
                                    applicable categorical
                                    standard(s) by its 40 CFR
                                    part number (e.g., Metal
                                    Finishing--part 433,
                                    Electrical and Electronic
                                    Components--Part 469). This
                                    data element will track the
                                    one or more applicable
                                    categorical standards even
                                    when the CIU is subject to
                                    one or more local limits
                                    that are more stringent than
                                    the applicable categorical
                                    standards.
Significant Industrial User        This data element will         122.21(j)(6),        1, 2.
 Wastewater Flow Rate.              identify for each              122.28(b)(2)(ii),
                                    Significant Industrial User    122.44(j).
                                    (SIU) or Categorical
                                    Industrial User (CIU) that
                                    is discharging to a POTW
                                    (including non-domestic
                                    wastewater delivered by
                                    truck, rail, and dedicated
                                    pipe or other means of
                                    transportation) the
                                    estimated maximum monthly
                                    average wastewater flow rate
                                    (in gallons per day).
Industrial User Causing Problems   The unique code/description    122.21(j)(6),        1, 2.
 at POTW.                           that identifies for each       122.28(b)(2)(ii),
                                    Significant Industrial User    122.44(j)(2)(ii),
                                    (SIU) or Categorical           403.5(c).
                                    Industrial User (CIU)
                                    whether it caused or
                                    contributed to any problems
                                    (including upset, bypass,
                                    interference, pass-through)
                                    at a POTW within the past
                                    four and one-half calendar
                                    years. EPA regulations
                                    require the Control
                                    Authority to develop and
                                    enforce local limits when
                                    the discharge from an IU
                                    causes or contributes to any
                                    problems (including upset,
                                    interference, and bypass) at
                                    the receiving POTW's
                                    effluent discharge or
                                    biosolids/sewage sludge
                                    management. This data
                                    element also applies to SIUs
                                    and CIUs that discharge non-
                                    domestic wastewater by
                                    truck, rail, and dedicated
                                    pipe or other means of
                                    transportation to one or
                                    more POTWs.
Receiving RCRA Waste.............  The unique code/description    122.21(j)(7),        1, 2.
                                    that identifies whether a      122.28(b)(2)(ii),
                                    POTW has received RCRA         122.44(j).
                                    hazardous waste by truck,
                                    rail, or dedicated pipe
                                    within the last three
                                    calendar years.

[[Page 64132]]

 
Receiving Remediation Waste......  The unique code/description    122.21(j)(7),        1, 2.
                                    that identifies whether the    122.44(j).
                                    POTW has received RCRA or
                                    CERLCA waste from off-site
                                    remedial activities within
                                    the last three calendar
                                    years.
Control Authority Identifier.....  This data element identifies   122.28(b)(2)(ii),    1, 2.
                                    the one or more Control        122.44(j).
                                    Authorities for each
                                    Significant Industrial User
                                    (SIU) or Categorical
                                    Industrial User (CIU). When
                                    the Control Authority is a
                                    POTW this data element will
                                    use the POTW's NPDES ID.
                                    There will also be a unique
                                    identifier for each state
                                    and EPA Region for SIUs and
                                    CIUs when they are the
                                    Control Authority.
----------------------------------------------------------------------------------------------------------------
                Cooling Water Intake Information on NPDES Permit Application or Notice of Intent
----------------------------------------------------------------------------------------------------------------
Cooling Water Intake Applicable    The unique code/description    122.21(r),           1, 2.
 Subpart.                           that identifies the            122.28(b)(2)(ii),
                                    regulatory subpart the         subparts I, J, and
                                    facility is subject to         N of 125, 401.14,
                                    [e.g., 1 = New Facility        and CWA section
                                    under 40 CFR part 125,         316(b).
                                    subpart I, 2 = New Offshore
                                    Oil and Gas Facility under
                                    40 CFR part 125, subpart N,
                                    3 = Existing Facility under
                                    40 CFR part 125, subpart J,
                                    4 = BPJ Facility under 40
                                    CFR 125.80(c), 40 CFR
                                    125.90(b), 40 CFR
                                    125.130(c), or 40 CFR
                                    401.14].
Design Intake Flow for Cooling     Design Intake Flow (DIF)       122.21(r),           1, 2.
 Water Intake Structure(s).         means the value, in units of   122.28(b)(2)(ii),
                                    million gallons per day        125.80, 125.86,
                                    (MGD), assigned to each        125.90, 125.92,
                                    cooling water intake           125.95, 125.131,
                                    structure design that          125.136, 401.14,
                                    corresponds to the maximum     and CWA section
                                    instantaneous rate of flow     316(b).
                                    of water the cooling water
                                    intake system is capable of
                                    withdrawing from a source
                                    waterbody. The facility's
                                    DIF may be adjusted to
                                    reflect permanent changes to
                                    the maximum flow capability
                                    of the cooling water intake
                                    system to withdraw cooling
                                    water, including pumps
                                    permanently removed from
                                    service, flow limit devices,
                                    and physical limitations of
                                    the piping. DIF does not
                                    include values associated
                                    with emergency and fire
                                    suppression capacity or
                                    redundant pumps (i.e., back-
                                    up pumps). For new
                                    facilities this is the
                                    design maximum flow capacity
                                    of the cooling water intake
                                    structure. See 40 CFR 125.83
                                    and 125.92. This data
                                    element will be reported for
                                    each cooling water intake
                                    structure, which will have a
                                    ``Permitted Feature ID.''
                                    Specific monitoring
                                    protocols and frequency of
                                    monitoring will be
                                    determined by the Director.

[[Page 64133]]

 
Actual Intake Flow for Cooling     This actual flow value, in     122.21(r),           1, 2.
 Water Intake Structure(s).         units of MGD, is intended to   122.28(b)(2)(ii),
                                    represent on-the-ground        125.86,125.92(a),
                                    intake flow for each cooling   125.95, 125.136,
                                    water intake structure at      401.14, and CWA
                                    the facility, as opposed to    section 316(b).
                                    the DIF, which is based on
                                    maximum design flow intake.
                                    For existing facility,
                                    Actual Intake Flow (AIF)
                                    means the average flow rate
                                    of water withdrawn on an
                                    annual basis by each cooling
                                    water intake structure over
                                    the past three years. After
                                    October 14, 2019, AIF means
                                    the average flow rate of
                                    water withdrawn on an annual
                                    basis by each cooling water
                                    intake structure over the
                                    previous five years. Actual
                                    intake flow is measured at a
                                    location within the cooling
                                    water intake structure that
                                    the Director deems
                                    appropriate. The calculation
                                    of actual intake flow
                                    includes days of zero flow.
                                    AIF does not include flows
                                    associated with emergency
                                    and fire suppression
                                    capacity. See 40 CFR 125.92.
                                    This data element will be
                                    reported for each cooling
                                    water intake structure,
                                    which will have a
                                    ``Permitted Feature ID.''
                                    Specific monitoring
                                    protocols and frequency of
                                    monitoring will be
                                    determined by the Director.
Location Type for Cooling Water    The unique code/description    122.21(r),           1, 2.
 Intake Structure.                  that identifies the location   122.28(b)(2)(ii),
                                    and description for each       125.86, 125.95,
                                    cooling water intake           125.136, 401.14
                                    structure [e.g., 1 =           and CWA section
                                    shoreline intake description   316(b).
                                    (flushed, recessed), 2 =
                                    intake canal, 3 = embayment,
                                    bank, or cove, 4 = submerged
                                    offshore intake, 5 = near-
                                    shore submerged intake, 6 =
                                    shoreline submerged intake,
                                    7 = Offshore Velocity Cap
                                    (800 foot minimum distance
                                    from shoreline), 8 = other].
                                    Each cooling water intake
                                    structure will have its own
                                    ``Permitted Feature ID''.
Actual Through-Screen Velocity...  This is the actual through-    122.21(r),           1, 2.
                                    screen velocity (in feet/      122.28(b)(2),
                                    second) of the water intake    125.86, 125.94,
                                    through the screen for each    125.95, 125.136,
                                    cooling water intake           401.14 and CWA
                                    structure at an existing       section 316(b).
                                    facility. This is the
                                    measured average intake
                                    velocity as water passes
                                    through the structural
                                    components of a screen
                                    measured perpendicular to
                                    the screen mesh during
                                    normal operations. See 40
                                    CFR 125.94. This data
                                    element will be reported for
                                    each cooling water intake
                                    structure, which will have a
                                    ``Permitted Feature ID.''
                                    Specific monitoring
                                    protocols and frequency of
                                    monitoring will be
                                    determined by the Director.
Source Water for Cooling Purposes  The unique code/description    122.21(r),           1, 2.
                                    that describes the one or      122.28(b)(2)(ii),
                                    more source water for          125.86, 125.95,
                                    cooling purpose for each       125.136, 401.14
                                    cooling water intake           and CWA section
                                    structure [e.g., 1 = Ocean,    316(b).
                                    2 = Estuary, 3 = Great Lake,
                                    4 = Fresh River, 5 = Lake/
                                    Reservoir, 6 = contract or
                                    arrangement with an
                                    independent supplier (or
                                    multiple suppliers)]. Each
                                    cooling water intake
                                    structure will have its own
                                    ``Permitted Feature ID''.

[[Page 64134]]

 
Cooling Water Intake Structure     The unique code/description    122.21(r)(6),        1, 2.
 Chosen Compliance Method.          to indicate the one or more    122.28(b)(2)(ii),
                                    compliance method selected     125.84, 125.85,
                                    for each cooling water         125.94, 125.134,
                                    intake structure based on      125.135, 401.14
                                    EPA's CWA section 316(b)       and CWA section
                                    regulations or based on BPJ.   316(b).
                                    For new facilities for
                                    example, Track I, Track II,
                                    alternative requirements,
                                    etc. For existing
                                    facilities, which of the 40
                                    CFR 125.94(c) compliance
                                    options were chosen and
                                    reported as part of 40 CFR
                                    122.21(r)(6), whether the
                                    facility has chosen to
                                    comply on an intake basis or
                                    facility wide, or whether
                                    alternative requirements
                                    were requested. Facilities
                                    have the option to comply on
                                    a facility wide or on an
                                    intake basis. Each cooling
                                    water intake structure will
                                    have its own ``Permitted
                                    Feature ID''.
Source Water Baseline Biological   For new and existing           122.21(r)(4),        1, 2.
 Characterization Data:             facilities, a unique code/     122.28(b)(2),
 Threatened or Endangered Status.   description that identifies    125.86, 125.95,
                                    whether there are Federally-   125.136, 401.14
                                    listed threatened or           and CWA section
                                    endangered species (or         316(b).
                                    relevant taxa) that might be
                                    susceptible to impingement
                                    and entrainment at the
                                    facility's cooling water
                                    intake structures. This
                                    unique code/description will
                                    also identify whether
                                    designated critical habitat
                                    is in the vicinity of
                                    facility's cooling water
                                    intake structure.
----------------------------------------------------------------------------------------------------------------
         CWA section 316(a) Thermal Variance Information on NPDES Permit Application or Notice of Intent
----------------------------------------------------------------------------------------------------------------
Thermal Variance Request Type....  The unique code/description    125, subpart H and   1.
                                    that describes the thermal     CWA section 316(a).
                                    variance request submitted
                                    by the discharger (e.g., 1 =
                                    new request, 2 = renewal
                                    request).
Public Notice of Section 316(a)    This is the unique code that   124.57, 125,         1.
 Requests.                          describes whether the NPDES    subpart H and CWA
                                    permitting authority           section 316(a).
                                    included the information
                                    required under 40 CFR
                                    124.57(a) in the public
                                    notice regarding the CWA
                                    section 316(a) request.
Thermal Variance Granted Date....  This is the most recent date   122.28(b)(2)(ii),    1.
                                    when the NPDES permitting      subpart H of 125
                                    authority granted or renewed   and CWA section
                                    a CWA section 316(a)           316(a).
                                    variance for the controlling
                                    NPDES permit. The date must
                                    be provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
----------------------------------------------------------------------------------------------------------------
                              Compliance Monitoring Activity Information (General)
----------------------------------------------------------------------------------------------------------------
Compliance Monitoring Identifier.  The unique identifier for the  123.26, 123.41(a)    1.
                                    compliance monitoring          and CWA section
                                    activity performed by the      308.
                                    authorized NPDES program and
                                    EPA (e.g., inspections).
                                    This data element can be
                                    system generated.

[[Page 64135]]

 
Permitted Feature Identifier       The unique identifier for the  122.34(g)(3),        1, 3, 4, 6, 8, and 9.
 (Compliance Monitoring Activity).  permitted feature number(s)    122.41(l)(4)(i),
                                    entered by the user for the    122.41(l)(6) and
                                    inspected or monitored         (7), 122.41(m)(3),
                                    permitted feature(s). This     123.26, 123.41(a),
                                    data element will use the      122.42(c),
                                    same number used by            403.12(e),
                                    `Permitted Feature             403.12(h) and CWA
                                    Identifier (Permit)' data      section 308.
                                    element for each compliance
                                    monitoring activity
                                    permitted feature. This will
                                    provide a unique link
                                    between each compliance
                                    monitoring activity
                                    permitted feature and the
                                    corresponding NPDES
                                    permitted feature. This data
                                    element can be left blank if
                                    the compliance monitoring
                                    activity does not involve a
                                    permitted feature. For Sewer
                                    Overflow/Bypass Event
                                    Reports this data element
                                    will identify the permitted
                                    feature(s), if any, for each
                                    Sewer Overflow/Bypass
                                    Identifier. The POTW can
                                    leave this data element
                                    blank on the Sewer Overflow/
                                    Bypass Event Report if the
                                    sewer overflows are caused
                                    by an extreme weather event
                                    (e.g., hurricane) that
                                    floods the entire sewer
                                    system and are too numerous
                                    to count. This data element
                                    applies to compliance
                                    monitoring activities
                                    performed by the authorized
                                    NPDES program and EPA (e.g.,
                                    inspections) as well as
                                    compliance monitoring
                                    reports submitted by the
                                    NPDES regulated entity
                                    (e.g., DMRs, program
                                    reports).
----------------------------------------------------------------------------------------------------------------
Electronic Submission Type         This is the unique code/       123.26, 123.41(a)    1.
 (Compliance Monitoring Activity).  description for each report    and CWA section
                                    submitted by the NPDES         308.
                                    regulated entity. Report
                                    submissions covered by the
                                    data element are listed in
                                    Table 1 in this appendix
                                    (i.e., NPDES Data Groups 3
                                    through 10). This data
                                    element describes how each
                                    submission was
                                    electronically collected or
                                    processed by the initial
                                    recipient [see Sec.
                                    127.2(b)]. For example,
                                    these unique codes/
                                    descriptions include: (1)
                                    NPDES regulated entity
                                    submits NPDES program data
                                    using an EPA electronic
                                    reporting system; (2) NPDES
                                    regulated entity submits
                                    NPDES program data using an
                                    authorized NPDES program
                                    electronic reporting system;
                                    (3) NPDES regulated entity
                                    has temporary waiver from
                                    electronic reporting and
                                    submits NPDES program data
                                    on paper to the authorized
                                    NPDES program who then
                                    electronically uses manual
                                    data entry to electronically
                                    process these data; (4)
                                    NPDES regulated entity has a
                                    permanent waiver from
                                    electronic reporting and
                                    submits NPDES program data
                                    on paper to the authorized
                                    NPDES program who then
                                    electronically uses manual
                                    data entry to electronically
                                    process these data; (5)
                                    NPDES regulated entity has
                                    an episodic waiver from
                                    electronic reporting and
                                    submits NPDES program data
                                    on paper to the authorized
                                    NPDES program who then
                                    electronically uses manual
                                    data entry to electronically
                                    process these data; (6)
                                    NPDES regulated entity
                                    submits NPDES program data
                                    on paper in a form that
                                    allows the authorized NPDES
                                    program to use of automatic
                                    identification and data
                                    capture technology to
                                    electronically process these
                                    data; (7) NPDES regulated
                                    entity submits NPDES program
                                    data using another
                                    electronic reporting system
                                    (e.g., third-party). This
                                    data element can sometimes
                                    be system generated (e.g.,
                                    incorporated into an
                                    electronic reporting tool).
                                    This data element does not
                                    identify the electronic
                                    submission type

[[Page 64136]]

 
                                    of general permit reports
                                    (NPDES Data Group =2 in
                                    Table 1), which is tracked
                                    by the ``Electronic
                                    Submission Type (General
                                    Permit Reports)'' data
                                    element. This data element
                                    applies to information
                                    submitted by NPDES regulated
                                    entities and does not apply
                                    to compliance monitoring
                                    information generated by
                                    authorized NPDES programs
                                    and EPA (e.g., inspection
                                    data).
----------------------------------------------------------------------------------------------------------------
   Compliance Monitoring Activity Information (General Data Generated from Authorized NPDES Programs and EPA)
----------------------------------------------------------------------------------------------------------------
Compliance Monitoring Activity     The actual date on which the   123.26, 123.41(a)    1.
 Actual End Date.                   compliance monitoring          and CWA section
                                    activity ended. For example,   308.
                                    the date of an authorized
                                    NPDES program inspection of
                                    a facility can be used for
                                    this data element. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Compliance Monitoring Activity...  The unique code/description    123.26, 123.41(a)    1.
                                    that identifies each           and CWA section
                                    compliance monitoring          308.
                                    activity taken by the
                                    authorized NPDES program
                                    (e.g., inspection,
                                    investigation, information
                                    request, offsite records
                                    review).
Compliance Monitoring Type.......  The unique code/description    123.26, 123.41(a)    1.
                                    that identifies each           and CWA section
                                    compliance monitoring          308.
                                    activity type taken by a
                                    regulatory Agency (e.g.,
                                    audit, biomonitoring, case
                                    development, diagnostic,
                                    evaluation, reconnaissance
                                    with sampling,
                                    reconnaissance without
                                    sampling, sampling).
Biomonitoring Test Type..........  The unique code/description    123.26, 123.41(a)    1.
                                    that identifies the type of    and CWA section
                                    biomonitoring inspection       308.
                                    method (e.g., acute,
                                    chronic, or flow through)
                                    and sample type (e.g., grab,
                                    composite). This data
                                    element supplements the
                                    Compliance Monitoring Type
                                    data element. This data
                                    element only applies to
                                    compliance monitoring
                                    activities that involve
                                    biomonitoring.
Compliance Monitoring Action       The unique code/description    123.26, 123.41(a)    1.
 Reason.                            that identifies the reason     and CWA section
                                    for the initiation of the      308.
                                    compliance monitoring
                                    activity (e.g., Agency
                                    Priority, Citizen Complaint/
                                    Tip, Core Program).
Was this a State, Federal or       This data element identifies   123.26, 123.41(a)    1.
 Joint (State/Federal)              if the inspection is a joint   and CWA section
 Inspection?                        inspection by federal,         308.
                                    state, tribal, or
                                    territorial personnel. Only
                                    one value for this data
                                    element may be used for each
                                    compliance monitoring
                                    activity [e.g., State,
                                    Federal, Joint (State/
                                    Federal)].
Programs Evaluated...............  The unique code/description    123.26, 123.41(a)    1.
                                    for the one or more programs   and CWA section
                                    evaluated or related to the    308.
                                    compliance monitoring
                                    activity (e.g., NPDES Base
                                    Program, Biosolids/Sewage
                                    Sludge, Pretreatment, and
                                    MS4).
----------------------------------------------------------------------------------------------------------------
   Compliance Monitoring Activity Information (Program Data Generated from Authorized NPDES Programs and EPA)
----------------------------------------------------------------------------------------------------------------
Deficiencies Identified Through    This is the unique code/       123.26, 123.41(a),   1.
 the Biosolids/Sewage Sludge        description that that          123.45 and CWA
 Compliance Monitoring.             identifies each deficiency     section 308.
                                    in the facility's biosolids
                                    and sewage sludge program
                                    (40 CFR part 503) for each
                                    compliance monitoring
                                    activity (e.g., inspections,
                                    audits) by the regulatory
                                    authority. This data element
                                    includes unique codes to
                                    identify when the facility
                                    failed to comply with any
                                    applicable permit
                                    requirements or enforcement
                                    actions. The values for this
                                    data element will
                                    distinguish between
                                    noncompliance and
                                    significant noncompliance
                                    (SNC).

[[Page 64137]]

 
Deficiencies Identified Through    This is the unique code/       123.26, 123.41(a),   1.
 the MS4 Compliance Monitoring.     description that that          123.45 and CWA
                                    identifies each deficiency     section 308.
                                    in the MS4's program to
                                    control stormwater pollution
                                    for each compliance
                                    monitoring activity (e.g.,
                                    inspections, audits) by the
                                    regulatory authority. This
                                    data element includes unique
                                    codes to identify when the
                                    MS4 failed to comply with
                                    any applicable permit
                                    requirements or enforcement
                                    actions. The values for this
                                    data element will
                                    distinguish between
                                    noncompliance and
                                    significant noncompliance
                                    (SNC).
Deficiencies Identified Through    This is the unique code/       123.26, 123.41(a),   1.
 the Pretreatment Compliance        description that that          123.45, 403.10,
 Monitoring.                        identifies each deficiency     and CWA section
                                    in the POTW's authorized       308.
                                    pretreatment program for
                                    each pretreatment compliance
                                    monitoring activity (e.g.,
                                    inspections, audits) by the
                                    regulatory authority. The
                                    values for this data element
                                    will distinguish between
                                    noncompliance and
                                    significant noncompliance
                                    (SNC). These unique codes
                                    include: (1) Failure to
                                    enforce against pass through
                                    and/or interference; (2)
                                    failure to submit required
                                    reports within 30 days; (3)
                                    failure to meet compliance
                                    schedule milestones within
                                    90 days; (4) failure to
                                    issue/reissue control
                                    mechanisms to 90% of SIUs
                                    within 6 months; (5) failure
                                    to inspect or sample 80% of
                                    SIUs within the past 12
                                    months; and (6) failure to
                                    enforce standards and
                                    reporting requirements.
Deficiencies Identified Through    This is the unique code/       122.41(h),           1.
 the Sewer Overflow/Bypass          description that that          122.41(l)(6) and
 Compliance Monitoring.             identifies each deficiency     (7), 122.43,
                                    in the POTW's control of       123.26, 123.41(a),
                                    combined sewer overflows,      and CWA sections
                                    sanitary sewer overflows, or   308 and 402(q)(1).
                                    bypass events for each
                                    compliance monitoring
                                    activity (e.g., inspections,
                                    audits) by the regulatory
                                    authority. This data element
                                    includes unique codes to
                                    identify when a POTW has
                                    failed to provide 24-hour
                                    notification to the NPDES
                                    permitting authority or
                                    failed to submit the Sewer
                                    Overflow/Bypass Event Report
                                    within the required 5-day
                                    period. This data element
                                    also includes unique codes
                                    to identify when the POTW
                                    failed to comply with any
                                    applicable long-term CSO
                                    control plan, permit
                                    requirements, or enforcement
                                    actions. The values for data
                                    element will distinguish
                                    between noncompliance and
                                    significant noncompliance
                                    (SNC).
----------------------------------------------------------------------------------------------------------------
 Compliance Monitoring Activity Information (AFO/CAFO Program Data Generated from Authorized NPDES Programs and
                                                      EPA)
----------------------------------------------------------------------------------------------------------------
Animal Types (Inspection)........  The unique code/description    122.23, 123.26,      1.
                                    that identifies the animal     123.41(a), and CWA
                                    type(s) at the facility at     section 308.
                                    the time of inspection
                                    (e.g., beef cattle,
                                    broilers, layers, swine
                                    weighing 55 pounds or more,
                                    swine weighing less than 55
                                    pounds, mature dairy cows,
                                    dairy heifers, veal calves,
                                    sheep and lambs, horses,
                                    ducks, turkeys, other).
Animal Numbers (Inspection)......  The number of each type of     122.23, 123.26,      1.
                                    animal in open confinement     123.41(a) and CWA
                                    or housed under roof (either   section 308.
                                    partially or totally) which
                                    are held at the facility at
                                    the time of inspection.
Animal Numbers in Open             The number of each type of     122.23, 123.26,      1.
 Confinement (Inspection).          animal in open confinement     123.41(a) and CWA
                                    which are held at the          section 308.
                                    facility at the time of
                                    inspection.
MLPW Containment and Storage Type  The one or more types of       122.23, 123.26,      1.
 (Inspection).                      containment and storage        123.41(a) and CWA
                                    (e.g., anaerobic lagoon,       section 308.
                                    roofed storage shed, storage
                                    ponds, underfloor pits,
                                    above ground storage tanks,
                                    below ground storage tanks,
                                    concrete pad, impervious
                                    soil pad, other) at the
                                    facility at the time of
                                    inspection.

[[Page 64138]]

 
MLPW Containment and Storage Type  The one or more unique codes/  122.23, 123.26,      1.
 Within Design Capacity             descriptions that identifies   123.41(a) and CWA
 (Inspection).                      whether or not the facility    section 308.
                                    is operating within the
                                    design capacity for each
                                    type of containment and
                                    storage used by the facility
                                    for MLPW at the time of
                                    inspection.
AFO/CAFO Unauthorized Discharges   A unique code (e.g., ``Yes'',  122.23, 123.26,      1.
 (Inspection).                      ``No'') that indicates         123.41(a) and CWA
                                    whether there evidence of      section 308.
                                    unauthorized discharge(s) of
                                    pollutants from the
                                    facility's production area
                                    and/or land application
                                    area(s) to a water of the
                                    U.S.
Permit Requirements                The unique code/description    122.23, 123.26,      1.
 Implementation (Inspection).       that identifies whether or     123.41(a) and CWA
                                    not the facility is properly   section 308.
                                    implementing its NPDES
                                    permit requirements,
                                    including the applicable
                                    Nutrient Management Plan
                                    (NMP) or other nutrient
                                    management planning, at the
                                    time of inspection.
----------------------------------------------------------------------------------------------------------------
  Compliance Monitoring Activity Information (Discharge Monitoring Report, and Pretreatment Periodic Compliance
Reports for Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) when EPA or the State is
   the Control Authority) [Note: Authorized NPDES programs will identify in the applicable NPDES permits will
                      identify whether MS4 regulated entities are required to submit DMRs.]
----------------------------------------------------------------------------------------------------------------
Limit Set Designator (Compliance   The unique identifier tying    122.41(l)(4)(i),     3, 6, 8.
 Monitoring Activity).              the compliance monitoring      123.26, 123.41(a),
                                    activity (e.g., DMR            403.12(e),
                                    submission) to the             403.12(h).
                                    corresponding Limit Set
                                    record.
Parameter Code (Compliance         The unique code/description    122.41(l)(4)(i),     3, 6, 8.
 Monitoring Activity).              identifying the parameter      123.26, 123.41(a),
                                    reported on the compliance     403.12(e),
                                    monitoring activity (e.g.,     403.12(h).
                                    DMR submission).
Monitoring Location Code           The unique code/description    122.41(l)(4)(i),     3, 6, 8.
 (Compliance Monitoring Activity).  that identifies the            123.26, 123.41(a),
                                    monitoring location at which   403.12(e),
                                    the sampling occurred for a    403.12(h).
                                    compliance monitoring
                                    activity parameter (e.g.,
                                    DMR submission).
Limit Season Number (Compliance    The unique identifier tying    122.41(l)(4)(i),     3, 6, 8.
 Monitoring Activity).              the compliance monitoring      123.26, 123.41(a),
                                    activity (e.g., DMR            403.12(e),
                                    submission) to the Limit       403.12(h).
                                    Season Number of the
                                    corresponding limit. This
                                    data element is necessary as
                                    a parameter can have
                                    different seasonal limits
                                    within a single limit start
                                    and end date.
Monitoring Period End Date         The monitoring period end      122.41(l)(4)(i),     3, 6, 8.
 (Compliance Monitoring Activity).  date for the values covered    123.26, 123.41(a),
                                    by the compliance monitoring   403.12(e),
                                    activity (e.g., DMR            403.12(h).
                                    submission). The date must
                                    be provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
No Data Indicator (NODI)           The unique code/description    122.41(l)(4)(i),     3, 6, 8.
 (Compliance Monitoring Activity).  that indicates the reason      123.26, 123.41(a),
                                    that ``No Discharge'' or       403.12(e),
                                    ``No Data'' was reported on    403.12(h).
                                    the compliance monitoring
                                    activity (e.g., DMR
                                    submission) (e.g., B = Below
                                    Detection Limit, C = No
                                    Discharge).
Value (Compliance Monitoring       The number value reported on   122.41(l)(4)(i),     3, 6, 8.
 Activity).                         the compliance monitoring      123.26, 123.41(a),
                                    activity (e.g., DMR form).     403.12(e),
                                                                   403.12(h).
Quantity or Concentration Units    The unique code/description    122.41(l)(4)(i),     3, 6, 8.
 (Compliance Monitoring Activity).  that identifies the one or     123.26, 123.41(a),
                                    more units of measure that     403.12(e),
                                    are applicable to quantity     403.12(h).
                                    or concentration limits and
                                    measurements as entered on
                                    the compliance monitoring
                                    activity (e.g., DMR
                                    submission). This field is
                                    optional if the units are
                                    the same as the limit units.
Value Received Date (Compliance    The date the compliance        122.41(l)(4)(i),     1.
 Monitoring Activity).              monitoring value was           123.26, 123.41(a),
                                    received by the regulatory     403.12(e),
                                    authority (e.g., DMR           403.12(h).
                                    submission). The date must
                                    be provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Value Type (Compliance Monitoring  The unique code/description    122.41(l)(4)(i),     3, 6, 8.
 Activity).                         identifying a value type       123.26, 123.41(a),
                                    (e.g., Quantity 1, Quantity    403.12(e),
                                    2, Concentration 1,            403.12(h).
                                    Concentration 2,
                                    Concentration 3) on a
                                    compliance monitoring
                                    activity (e.g., DMR
                                    submission).

[[Page 64139]]

 
Value Qualifier (Compliance        The unique code identifying    122.41(l)(4)(i),     3, 6, 8.
 Monitoring Activity).              the qualifier for the          123.26, 123.41(a),
                                    reported value (e.g., ``<'',   403.12(e),
                                    ``='', ``>'') on a             403.12(h).
                                    compliance monitoring
                                    activity (e.g., DMR
                                    submission). This field is
                                    optional if the qualifier is
                                    ``=''.
----------------------------------------------------------------------------------------------------------------
                      Compliance Monitoring Activity Information (Periodic Program Reports)
----------------------------------------------------------------------------------------------------------------
Program Report Received Date.....  The date the program report    These are data       1.
                                    was received. The date must    elements that are
                                    be provided in YYYY-MM-DD      common to reports
                                    format where YYYY is the       required in parts
                                    year, MM is the month, and     122, 123, 403, and
                                    DD is the day.                 503.
Program Report Event ID..........  The unique identifier for      These are data       1.
                                    each program report            elements that are
                                    submission. This will          common to reports
                                    provide for unique tracking    required in parts
                                    of program report              122, 123, 403, and
                                    submissions. This data         503.
                                    element can be system
                                    generated.
Start Date of Reporting Period     The start date of the          These are data       4, 5, 6, 7, 9, 10.
 (Program Report).                  reporting period for the       elements that are
                                    program report. The date       common to reports
                                    must be provided in YYYY-MM-   required in parts
                                    DD format where YYYY is the    122, 123, 403, and
                                    year, MM is the month, and     503.
                                    DD is the day. For the Sewer
                                    Overflow/Bypass Event Report
                                    this is the start or best
                                    estimate of the start date
                                    for each Sewer Overflow/
                                    Bypass Identifier.
End Date of Reporting Period       The end date of the reporting  These are data       4, 5, 6, 7, 9, 10.
 (Program Report).                  period for the program         elements that are
                                    report. The date must be       common to reports
                                    provided in YYYY-MM-DD         required in parts
                                    format where YYYY is the       122, 123, 403, and
                                    year, MM is the month, and     503.
                                    DD is the day. For the Sewer
                                    Overflow/Bypass Event Report
                                    this is the end or best
                                    estimate of the end date for
                                    each Sewer Overflow/Bypass
                                    Identifier.
NPDES Data Group Number (Program   This data element identifies   These are data       4 through 10.
 Report).                           the NPDES Data Group for       elements that are
                                    each program report            common to reports
                                    submission. This corresponds   required in parts
                                    to Table 1 in this appendix    122, 123, 403, and
                                    {e.g., 7 = Pretreatment        503.
                                    Program Reports [40 CFR
                                    403.12(i)]{time} .This data
                                    element also applies to
                                    Significant Industrial User
                                    Compliance Reports in
                                    Municipalities Without
                                    Approved Pretreatment
                                    Programs [40 CFR 403.12(e)
                                    and (h)], which is NPDES
                                    Data Group Number 8 (Table 1
                                    in this appendix). This can
                                    be a system generated data
                                    element.
----------------------------------------------------------------------------------------------------------------
  Compliance Monitoring Activity Information (Data Elements Specific to Sewage Sludge/Biosolids Annual Program
                                                    Reports)
----------------------------------------------------------------------------------------------------------------
Biosolids or Sewage Sludge         The one or more unique codes/  503.18, 503.28,      4.
 Treatment Processes.               descriptions that identify     503.48.
                                    the biosolids or sewage
                                    sludge treatment process or
                                    processes at the facility.
                                    For example, this data
                                    element uses codes to
                                    identify treatment processes
                                    in the following categories:
                                    preliminary operations
                                    (e.g., sludge grinding and
                                    degritting), thickening
                                    (concentration),
                                    stabilization, anaerobic
                                    digestion, aerobic
                                    digestion, composting,
                                    conditioning, disinfection
                                    (e.g., beta ray irradiation,
                                    gamma ray irradiation,
                                    pasteurization), dewatering
                                    (e.g., centrifugation,
                                    sludge drying beds, sludge
                                    lagoons), heat drying,
                                    thermal reduction, and
                                    methane or biogas capture
                                    and recovery.
Biosolids or Sewage Sludge         The one or more unique codes/  503.8(b), 503.18,    4.
 Analytical Methods.                descriptions that identify     503.28, 503.48.
                                    each of the analytic methods
                                    used by the facility to
                                    analyze enteric viruses,
                                    fecal coliforms, helminth
                                    ova, Salmonella sp., and
                                    other regulated parameters.
                                    For example, EPA requires
                                    facilities to monitor for
                                    the certain parameters,
                                    which are listed in Tables
                                    1, 2, 3, and 4 at 40 CFR
                                    503. 13 and Tables 1 and 2
                                    at 40 CFR 503.23. This data
                                    element stores each analytic
                                    methods used by the facility
                                    only once for each annual
                                    report (not for each
                                    parameter measurement).

[[Page 64140]]

 
Biosolids or Sewage Sludge Form..  The one or more unique codes/  503.18, 503.28,      4.
                                    descriptions that identify     503.48.
                                    the nature of each biosolids
                                    and sewage sludge material
                                    generated by the facility in
                                    terms of whether the
                                    material is a biosolid or
                                    sewage sludge and whether
                                    the material is ultimately
                                    conveyed off-site in bulk or
                                    in bags. The facility will
                                    separately report the form
                                    for each biosolids or sewage
                                    sludge management practice
                                    or practices used by the
                                    facility and pathogen class.
Biosolids or Sewage Sludge         The one or more unique codes/  503.18, 503.28,      4.
 Management Practice.               descriptions that identify     503.48.
                                    the type of biosolids or
                                    sewage sludge management
                                    practice or practices (e.g.,
                                    land application, surface
                                    disposal, incineration) used
                                    by the facility. The
                                    facility will separately
                                    report the management
                                    practice for each biosolids
                                    or sewage sludge form and
                                    pathogen class. This data
                                    element will also identify
                                    the management practices
                                    used by surface disposal
                                    site owners/operators (see
                                    40 CFR 503.24).
Biosolids or Sewage Sludge         The one or more unique codes/  503.18, 503.28,      4.
 Pathogen Class.                    descriptions that identify     503.48.
                                    the pathogen class or
                                    classes [e.g., Class A,
                                    Class B, Not Applicable
                                    (Incineration)] for
                                    biosolids or sewage sludge
                                    generated by the facility.
                                    The facility will separately
                                    report the pathogen class
                                    for each biosolids or sewage
                                    sludge management practice
                                    used by the facility and by
                                    each biosolids or sewage
                                    sludge form.
Biosolids or Sewage Sludge Amount  This is the amount (in dry     503.18, 503.28,      4.
 (Program Report).                  metric tons) of biosolids or   503.48.
                                    sewage sludge applied to the
                                    land, prepared for sale or
                                    give-away in a bag or other
                                    container for application to
                                    the land, or placed on an
                                    active sewage sludge unit.
                                    This identification will be
                                    made for each biosolids or
                                    sewage sludge management
                                    practice used by the
                                    facility and by each
                                    biosolids or sewage sludge
                                    form as well as by each
                                    biosolids or sewage sludge
                                    pathogen class.
Biosolids or Sewage Sludge         The one or more unique codes/  503.18, 503.28,      4.
 Pathogen Reduction Options.        descriptions that identify     503.48.
                                    the options used by the
                                    facility to control
                                    pathogens (e.g., Class A--
                                    Alternative 1, Class A--
                                    Alternative 2, Class A--
                                    Alternative 3, Class A--
                                    Alternative 4, Class A--
                                    Alternative 5, Class A--
                                    Alternative 6, Class B--
                                    Alternative 1, Class B--
                                    Alternative 2, Class B--
                                    Alternative 3, or pH
                                    Adjustment (Domestic
                                    Septage). The facility will
                                    separately report the
                                    pathogen reduction options
                                    for each biosolids or sewage
                                    sludge management practice
                                    used by the facility and by
                                    each biosolids or sewage
                                    sludge form as well as by
                                    each biosolids or sewage
                                    sludge pathogen class.
Biosolids or Sewage Sludge Vector  The one or more unique codes/  503.18, 503.28,      4.
 Attraction Reduction Options.      descriptions that identify     503.48.
                                    the options used by the
                                    facility for vector
                                    attraction reduction. See a
                                    listing of these vector
                                    attraction reduction options
                                    at 40 CFR 503.33(b)(1)
                                    through (11). The facility
                                    will separately report the
                                    vector attraction reduction
                                    options for each biosolids
                                    or sewage sludge management
                                    practice used by the
                                    facility and by each
                                    biosolids or sewage sludge
                                    form as well as by each
                                    biosolids or sewage sludge
                                    pathogen class.

[[Page 64141]]

 
Biosolids or Sewage Sludge         This is the biosolids or       503.18, 503.28,      4.
 Monitored Parameter.               sewage sludge parameter that   503.48.
                                    is monitored by the
                                    facility. If there is more
                                    than one class, then the
                                    facility will separately
                                    report each monitored
                                    parameter for each biosolids
                                    or sewage sludge management
                                    practice used by the
                                    facility and by each
                                    biosolids or sewage sludge
                                    form. EPA requires
                                    facilities to monitor for
                                    the certain parameters,
                                    which are listed in Tables
                                    1, 2, 3, and 4 at 40 CFR
                                    503. 13 and Tables 1 and 2
                                    at 40 CFR 503.23, pathogens
                                    (e.g., fecal coliform,
                                    Salmonella sp., enteric
                                    viruses, helminth ova), and
                                    vector attraction reduction
                                    parameters (e.g., specific
                                    oxygen uptake rate, and
                                    total, fixed, and volatile
                                    solids).
Biosolids or Sewage Sludge         This is the value of the       503.18, 503.28,      4.
 Monitored Parameter Value.         Biosolids or Sewage Sludge     503.48.
                                    Monitored Parameter.
Biosolids or Sewage Sludge         This is the measurement unit   503.18, 503.28,      4.
 Monitored Parameter Units.         (e.g., mg/kg) associated       503.48.
                                    with the Biosolids or Sewage
                                    Sludge Monitored Parameter
                                    Value.
Biosolids or Sewage Sludge         This is the end date of the    503.18, 503.28,      4.
 Monitored Parameter End Date.      monthly monitoring period      503.48.
                                    for the biosolids or sewage
                                    sludge sampling (e.g., 1/31/
                                    2015 for biosolids or sewage
                                    sludge monitoring data in
                                    January 2015). This data
                                    element is used to track the
                                    frequency of biosolids or
                                    sewage sludge monitoring in
                                    the reporting period (e.g.,
                                    annual, quarterly, bi-
                                    monthly, or monthly). For
                                    example, see Table 1 of 40
                                    CFR 503.16 (Land
                                    Application), Table 1 of 40
                                    CFR 503.26 (Surface
                                    Disposal).
Biosolids or Sewage Sludge--       This data element is           503.23, 503.28.....  4.
 Surface Disposal Maximum           applicable to facilities
 Allowable Pollutant                that use an active surface
 Concentration.                     disposal sites (e.g.,
                                    monofills, surface
                                    impoundments, lagoons, waste
                                    piles, dedicated disposal
                                    sites, and dedicated
                                    beneficial use sites)
                                    without a liner. This data
                                    element identifies the
                                    maximum allowable pollutant
                                    concentration for each of
                                    the three pollutants:
                                    Arsenic, chromium, and
                                    nickel (in units of mg/kg).
                                    This data element will use
                                    Tables 1 and 2 of 40 CFR
                                    503.23 or the procedures
                                    identified in 40 CFR
                                    503.23(b).
Biosolids or Sewage Sludge--Land   This data element is           503.18, 503.28.....  4.
 Application or Surface Disposal    applicable to facilities
 Deficiencies.                      that use land application
                                    and/or an active surface
                                    disposal site (e.g.,
                                    monofills, surface
                                    impoundments, lagoons, waste
                                    piles, dedicated disposal
                                    sites, and dedicated
                                    beneficial use sites). This
                                    data element uses one or
                                    more unique codes/
                                    descriptions to identify all
                                    deficiencies in the
                                    biosolids or sewage sludge
                                    program within the reporting
                                    period. For example, this
                                    data element uses a unique
                                    code/description to identify
                                    when a biosolids or sewage
                                    sludge pollutant
                                    concentration exceed a
                                    ceiling concentration (e.g.,
                                    Table 1 of 40 CFR 503.13 for
                                    facilities utilizing land
                                    application). This data
                                    element also uses a unique
                                    code/description to identify
                                    when the facility failed to
                                    properly collect and analyze
                                    its biosolids or sewage
                                    sludge in accordance with
                                    the approved analytical
                                    methods (including
                                    appropriate method holding
                                    times). This data element
                                    also uses a unique code/
                                    description to identify
                                    deficiencies with pathogen
                                    reduction and/or vector
                                    attraction reduction. For
                                    facilities that use an
                                    active surface disposal site
                                    this data element will use a
                                    unique code/description to
                                    identify any deficiencies in
                                    meeting the applicable
                                    surface disposal
                                    requirements [see 40 CFR
                                    503.24(a) through (n)].
----------------------------------------------------------------------------------------------------------------

[[Page 64142]]

 
       Compliance Monitoring Activity Information (Data Elements Specific to CAFO Annual Program Reports)
----------------------------------------------------------------------------------------------------------------
CAFO Animal Types (Program         The unique code/description    122.42(e)(4)(i)....  5.
 Report).                           that identifies the
                                    permittee's applicable
                                    animal sector(s) in the
                                    previous 12 months. This
                                    includes (but not limited
                                    to) beef cattle, broilers,
                                    layers, swine weighing 55
                                    pounds or more, swine
                                    weighing less than 55
                                    pounds, mature dairy cows,
                                    dairy heifers, veal calves,
                                    sheep and lambs, horses,
                                    ducks, and turkeys.
CAFO Animal Maximum Number         The estimated maximum number   122.42(e)(4)(i)....  5.
 (Program Report).                  of each type of animal in
                                    open confinement or housed
                                    under roof (either partially
                                    or totally) which are held
                                    at the facility for a total
                                    of 45 days or more in the
                                    previous 12 months.
CAFO Animal Maximum Number in      The estimated maximum number   122.42(e)(4)(i)....  5.
 Open Confinement (Program          of each type of animal in
 Report).                           open confinement which are
                                    held at the facility for a
                                    total of 45 days or more in
                                    the previous 12 months.
CAFO MLPW (Program Report).......  The unique code/description    122.42(e)(4)(ii)...  5.
                                    that identifies the type of
                                    CAFO manure, litter, and
                                    process wastewater generated
                                    by the facility i.e. in the
                                    previous 12 months.
CAFO MLPW Amounts (Program         The estimated total amount of  122.42(e)(4)(ii)...  5.
 Report).                           CAFO manure, litter, and
                                    process wastewater generated
                                    by the facility in the
                                    previous 12 months.
CAFO MLPW Amounts Units (Program   The unit (e.g., tons,          122.42(e)(4)(ii)...  5.
 Report).                           gallons) for the estimated
                                    total amount of CAFO manure,
                                    litter, and process
                                    wastewater generated by the
                                    facility i.e.in the previous
                                    12 months.
CAFO MLPW Transferred (Program     The estimated total amount of  122.42(e)(4)(iii)..  5.
 Report).                           CAFO manure, litter, and
                                    process wastewater generated
                                    by the facility i.e. in the
                                    previous 12 months that is
                                    transferred to other
                                    persons. The units for this
                                    data element will be the
                                    same as the units for the
                                    ``CAFO MLPW Amounts (Program
                                    Report)'' data element.
Total Number of Acres for Land     Total number of acres for      122.42(e)(4)(iv)...  5.
 Application Covered by the         land application covered by
 Nutrient Management Plan           the current nutrient
 (Program Report).                  management plan.
Total Number of Acres Used for     The total number of acres      122.42(e)(4)(v)....  5.
 Land Application (Program          under control of the CAFO
 Report).                           and used for land
                                    application in the previous
                                    12 months.
Discharge Type (Program Report)..  The unique code/description    122.42(e)(4)(vi),    5.
                                    that identifies for each       412.
                                    discharge from the
                                    permittee's production area
                                    in the previous 12 month
                                    whether a 25-year, 24-hour
                                    rainfall event was the cause
                                    for the discharge. These
                                    data are optional if
                                    permittee uses a Discharge
                                    Monitoring Report (DMR) to
                                    provide the permitting
                                    authority with information
                                    on their discharges.
Discovery Dates of Discharges      The date of each discharge     122.42(e)(4)(vi)...  5.
 from Production Area (Program      from the permittee's
 Report).                           production area in the
                                    previous 12 months. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day. These data
                                    are optional if permittee
                                    uses a Discharge Monitoring
                                    Report (DMR) to provide the
                                    permitting authority with
                                    information on their
                                    discharges.
Duration of Discharges from        The estimated duration time    122.42(e)(4)(vi)...  5.
 Production Area (Program Report).  (in hours) of each discharge
                                    from the permittee's
                                    production area in the
                                    previous 12 months. These
                                    data are optional if
                                    permittee uses a Discharge
                                    Monitoring Report (DMR) to
                                    provide the permitting
                                    authority with information
                                    on their discharges.

[[Page 64143]]

 
Approximate Volume of Discharge    The approximate volume (in     122.42(e)(4)(vi)...  5.
 from Production Area (Program      gallons) of each discharge
 Report).                           from the permittee's
                                    production area in the
                                    previous 12 months. These
                                    data are optional if
                                    permittee uses a Discharge
                                    Monitoring Report (DMR) to
                                    provide the permitting
                                    authority with information
                                    on their discharges.
Whether NMP Approved or Developed  The unique code/description    122.42(e)(4)(vii)..  5.
 by Certified Planner (Program      that identifies whether the
 Report).                           current version of the NMP
                                    was approved or developed by
                                    a certified nutrient
                                    management planner.
CAFO MLPW Nitrogen Content         The nitrogen content of CAFO   122.42(e)(4)(viii).  5.
 (Program Report).                  manure, litter, and process
                                    wastewater used or generated
                                    by the facility i.e. in the
                                    previous 12 months.
CAFO MLPW Phosphorus Content       The phosphorus content of      122.42(e)(4)(viii).  5.
 (Program Report).                  CAFO manure, litter, and
                                    process wastewater used or
                                    generated by the facility
                                    i.e. in the previous 12
                                    months.
CAFO MLPW Nitrogen or Phosphorus   The unit(s) (e.g., lbs/tons,   122.42(e)(4)(viii).  5.
 Units (Program Report).            lbs/1,000-gallons) for the
                                    nitrogen and phosphorus
                                    content of CAFO manure,
                                    litter, and process
                                    wastewater used or generated
                                    by the facility i.e. in the
                                    previous 12 months.
CAFO MLPW Nitrogen or Phosphorus   The form (e.g., total          122.42(e)(4)(viii).  5.
 Form (Program Report).             nitrogen, ammonium-nitrogen,
                                    total phosphorus) for the
                                    nitrogen and phosphorus
                                    content of CAFO manure,
                                    litter, and process
                                    wastewater used or generated
                                    by the facility i.e.in the
                                    previous 12 months.
Field Identification Number        A unique field number to       122.42(e)(4)(viii).  5.
 (Program Report).                  which CAFO MLPW was applied
                                    in the previous 12 months.
                                    This data element will be
                                    used when the term ``for
                                    each field'' is used in the
                                    CAFO Annual Program Report.
Actual Crop(s) Planted for Each    Actual crop(s) planted for     122.42(e)(4)(viii).  5.
 Field (Program Report).            each field.
Actual Crop Yield(s) for Each      Actual crop yield(s) for each  122.42(e)(4)(viii).  5.
 Field (Program Report).            field.
Actual Crop Yield(s) for Each      The unit(s) for the actual     122.42(e)(4)(viii).  5.
 Field Units (Program Report).      crop yield(s) for each field
                                    (e.g., bushels per acre).
Method for Calculating Maximum     The unique code/description    122.42(e)(4)(viii).  5.
 Amounts of Manure, Litter, and     that identifies whether the
 Process Wastewater (Program        CAFO used the Linear
 Report).                           Approach [40 CFR
                                    122.42(e)(5)(i)] or the
                                    Narrative Rate Approach [40
                                    CFR 122.42(e)(5)(ii)].
CAFO MLPW Land Application For     The unique code/description    122.42(e)(4)(viii).  5.
 Each Field (Program Report).       that identifies for each
                                    field the type of CAFO
                                    manure, litter, and process
                                    wastewater i.e. in the
                                    previous 12 months and used
                                    for land application.
CAFO MLPW Land Application         The maximum amount of CAFO     122.42(e)(4)(viii).  5.
 Maximum Amount For Each Field      manure, litter, and process
 (Program Report).                  wastewater for each field in
                                    the previous 12 months and
                                    used for land application.
                                    The maximum amounts of CAFO
                                    manure, litter, and process
                                    wastewater is calculated in
                                    accordance with procedures
                                    in the Linear Approach [40
                                    CFR 122.42(e)(5)(i)(B)] or
                                    the Narrative Rate Approach
                                    [40 CFR 122.42(e)(5)(ii)(D)].
CAFO MLPW Land Application Actual  The actual amount of CAFO      122.42(e)(4)(viii).  5.
 Amount For Each Field (Program     manure, litter, and process
 Report).                           wastewater for each field in
                                    the previous 12 months and
                                    used for land application.
CAFO MLPW Land Application For     The unit (e.g., tons,          122.42(e)(4)(viii).  5.
 Each Field Unit (Program Report).  gallons) for the maximum and
                                    actual amount of CAFO
                                    manure, litter, and process
                                    wastewater for each field in
                                    the previous 12 months and
                                    used for land application.
Nitrogen Soil Test Measurement     For each field used for land   122.42(e)(4)(viii).  5.
 (Narrative Rate Approach)          application, the results of
 (Program Report).                  the most recent soil
                                    nitrogen analysis for any
                                    soil test taken in the
                                    preceding 12 months (i.e.,
                                    amount of nitrogen in the
                                    soil). This data element is
                                    only applicable to
                                    facilities using the
                                    Narrative Rate Approach as
                                    described in 40 CFR
                                    122.42(e)(5)(ii).

[[Page 64144]]

 
Phosphorus Soil Test Measurement   For each field used for land   122.42(e)(4)(viii).  5.
 (Narrative Rate Approach)          application, the results of
 (Program Report).                  the most recent soil
                                    phosphorus analysis for any
                                    soil test taken in the
                                    preceding 12 months (i.e.,
                                    amount of phosphorus in the
                                    soil). This data element is
                                    only applicable to
                                    facilities using the
                                    Narrative Rate Approach as
                                    described in 40 CFR
                                    122.42(e)(5)(ii).
Soil Test Measurement Form         The form (e.g., total          122.42(e)(4)(viii).  5.
 (Narrative Rate Approach)          nitrogen, ammonium-nitrogen,
 (Program Report).                  total phosphorus) for each
                                    soil test measurement. This
                                    data element is only
                                    applicable to facilities
                                    using the Narrative Rate
                                    Approach as described in 40
                                    CFR 122.42(e)(5)(ii).
Soil Test Measurement Unit(s)      The unit(s) for the amounts    122.42(e)(4)(viii).  5.
 (Narrative Rate Approach)          of nitrogen and/or
 (Program Report).                  phosphorus for any soil test
                                    results. This data element
                                    is only applicable to
                                    facilities using the
                                    Narrative Rate Approach, as
                                    described in 40 CFR
                                    122.42(e)(5)(ii).
Nitrogen Amount of Any             For each field used for land   122.42(e)(4)(viii).  5.
 Supplemental Fertilizer Applied    application, provide the
 (Program Report).                  amount of nitrogen in
                                    supplemental fertilizer
                                    applied in the previous 12
                                    months. This data element is
                                    only applicable to
                                    facilities using the
                                    Narrative Rate Approach as
                                    described in 40 CFR
                                    122.42(e)(5)(ii).
Phosphorus Amount of Any           For each field used for land   122.42(e)(4)(viii).  5.
 Supplemental Fertilizer Applied    application, provide the
 (Program Report).                  amount of phosphorus in
                                    supplemental fertilizer
                                    applied in the previous 12
                                    months. This data element is
                                    only applicable to
                                    facilities that are using
                                    the Narrative Rate Approach
                                    as described in 40 CFR
                                    122.42(e)(5)(ii).
Supplemental Fertilizer Applied    The unit(s) for the amount(s)  122.42(e)(4)(viii).  5.
 Units (Program Report).            of nitrogen and/or
                                    phosphorus in any
                                    supplemental fertilizer
                                    applied in the previous 12
                                    months (e.g., ppm, pounds
                                    per acre). This data element
                                    is only applicable to
                                    facilities using the
                                    Narrative Rate Approach, as
                                    described in 40 CFR
                                    122.42(e)(5)(ii).
----------------------------------------------------------------------------------------------------------------
   Compliance Monitoring Activity Information (Data Elements Specific to Municipal Separate Storm Sewer System
                                                Program Reports)
[Note: The MS4 permit may require one report for each unique governmental entity or one report per permit].
----------------------------------------------------------------------------------------------------------------
MS4 Reliance on Other Government   This is a unique code (e.g.,   122.26(d)(2)(vii),.  6.
 Entities Status.                   ``Yes'', ``No'') that         122.34(g)(3)(v)....
                                    identifies whether the
                                    permittee relies on another
                                    unique governmental entity
                                    to satisfy any of the permit
                                    requirements.
MS4 Reliance on Other Government   For each MS4 permit component  122.34(g)(3)(i) and  6.
 Entities: Permit Component         this data element identifies   (v), 122.35(a) and
 Status.                            the responsible government     122.42(c).
                                    entity. This data element
                                    uses the `Unique Identifier
                                    for Each Municipality
                                    Covered Under MS4 Permit'
                                    data element. Use of this
                                    identifier allows for
                                    greater geographic
                                    resolution for the MS4
                                    components being tracked.
                                    This unique identifier does
                                    not change over time. The
                                    number identifies the entity
                                    taking responsibility for
                                    complying with each MS4
                                    permit component.
MS4 Permit Components              The one or more codes/         122.34(g)(3) and     6.
 Descriptions and Measurable        descriptions that identify     122.42(c).
 Goals.                             for each unique municipality
                                    all of the permitted
                                    components and measurable
                                    goals that are included in
                                    the MS4 permit. For Phase II
                                    MS4s, these components will
                                    be pre-populated from the
                                    BMPs each Phase II MS4
                                    permittee indicated it will
                                    implement in its NOI or
                                    permit application. The
                                    groupings of these MS4
                                    components will include
                                    public education and
                                    outreach on stormwater
                                    impacts; public involvement/
                                    participation; illicit
                                    discharge detection and
                                    elimination; construction
                                    site stormwater runoff; post-
                                    construction stormwater
                                    management in new
                                    development and
                                    redevelopment; and pollution
                                    prevention/good housekeeping
                                    for municipal operations.

[[Page 64145]]

 
Changes to MS4 Permit Components   The one or more codes/         122.34(g)(3)(iv)     6.
 and Measurable Goals.              descriptions that describe     and 122.42(c).
                                    for each unique municipality
                                    any changes made to MS4
                                    permit components (e.g.,
                                    BMPs) during the reporting
                                    period.
Status of Compliance with each     The unique code (e.g.,         122.34(g)(3) and     6.
 Minimum Control Measure.           ``Yes'', ``No'') that          122.42(c).
                                    identifies if the permittee
                                    has completed each
                                    measureable goal associated
                                    with each MS4 permit
                                    component.
Progress and Summary of Results    This is a text summary         122.34(g)(3) and     6.
 with Each Minimum Control          describing the permittee's     122.42(c).
 Measure.                           compliance and progress
                                    toward meeting each
                                    measurable goal including a
                                    summary of results for each
                                    unique municipality.
MS4 Enforcement Action Type......  For each unique municipality   122.34(g)(3) and     6.
                                    covered under a Phase I MS4    122.42(c).
                                    permit, this data element
                                    identifies the one or more
                                    types of enforcement actions
                                    taken during the past
                                    reporting period (e.g.,
                                    notice of violations, stop
                                    work orders, administration
                                    orders, administrative
                                    fines, civil penalties,
                                    criminal actions). The
                                    unique municipality covered
                                    under the MS4 permit will
                                    identify ``No Authority''
                                    for this data element if the
                                    municipality does not have
                                    the authority to conduct
                                    enforcement actions. This
                                    data element is optional for
                                    Phase II MS4s.
MS4 Enforcement Action Number....  For each unique municipality   122.34(g)(3) and     6.
                                    covered under a Phase II MS4   122.42(c).
                                    permit and for each MS4
                                    Enforcement Action Type,
                                    this data element identifies
                                    the number of enforcement
                                    actions taken by responsible
                                    MS4 Municipal Enforcement
                                    Agency. The unique
                                    municipality covered under
                                    the MS4 permit will identify
                                    ``No Authority'' for this
                                    data element if the
                                    municipality does not have
                                    the authority to conduct
                                    enforcement actions. For
                                    Phase II MS4s this data
                                    element will be the total
                                    number of enforcement
                                    actions taken during the
                                    reporting period.
MS4 Municipality Enforcement       For each unique municipality   122.34(g)(3) and     6.
 Agency.                            covered under the MS4 permit   122.42(c).
                                    and for each MS4 Enforcement
                                    Action Type, this data
                                    element identifies the
                                    corresponding MS4 Municipal
                                    Enforcement Agency by its
                                    unique municipality number
                                    (``Unique Identifier for
                                    Each Municipality Covered
                                    Under MS4 Permit''). This
                                    data element is only
                                    required for permittees that
                                    have co-permittees under
                                    their unique MS4 permit.

[[Page 64146]]

 
MS4 Industrial Stormwater Control  The one or more unique codes/  40 CFR               6.
                                    descriptions that identify     122.26(d)(2)(i)(A,
                                    how the MS4 permittee will     B, C, E, and F)
                                    comply with industrial         and 40 CFR
                                    stormwater control             122.26(d)(2)(ii)
                                    requirements, including (at    and (iv)(A)(5) and
                                    a minimum): (1) Status of      (iv)(C), 122.42(c).
                                    the ordinance or other
                                    regulatory mechanism to
                                    control the contribution of
                                    pollutants by stormwater
                                    discharges associated with
                                    industrial activity,
                                    including authority to carry
                                    out all inspection,
                                    surveillance and monitoring
                                    procedures necessary to
                                    determine compliance and
                                    noncompliance, and including
                                    sanctions to ensure
                                    compliance; (2) status of
                                    the MS4 permittee industrial
                                    stormwater inventory, which
                                    identifies facilities with
                                    industrial activities and
                                    assesses the quality of the
                                    stormwater discharged from
                                    each facility with an
                                    industrial activity; (3)
                                    status of program to monitor
                                    and control pollutants in
                                    stormwater discharges from
                                    municipal landfills,
                                    hazardous waste treatment,
                                    disposal and recovery
                                    facilities, industrial
                                    facilities that are subject
                                    to Toxics Release Inventory
                                    (TRI) reporting requirements
                                    (Emergency Planning and
                                    Community Right-To-Know Act
                                    Section 313), and industrial
                                    facilities that are
                                    contributing a substantial
                                    pollutant loading to the
                                    MS4; and (4) status of
                                    monitoring program for
                                    discharges associated with
                                    industrial facilities. This
                                    data element is optional for
                                    Phase II MS4s.
----------------------------------------------------------------------------------------------------------------
Compliance Monitoring Activity Information (Data Elements Specific to Pretreatment Program Reports, SIU Periodic
                 Compliance Reports in Municipalities without an Approved Pretreatment Program)
[Note: These data elements do not apply to the development, evaluation, or compliance monitoring activities
 supporting wastewater surcharge rates.]
----------------------------------------------------------------------------------------------------------------
SNC Published....................  A unique code (e.g., ``Yes'',  403.8(f)(2)(viii),   7.
                                    ``No'') that identifies for    403.12(i)(2).
                                    each Significant Industrial
                                    User (SIU) and Non-
                                    Significant Categorical
                                    Industrial Users (NSCIU) in
                                    SNC whether the Control
                                    Authority published a public
                                    notice within the reporting
                                    period.
SNC with Pretreatment Enforceable  The unique code/description    403.8(f)(2)(viii),   7.
 Compliance Schedule Status.        that identifies for each       403.12(i)(2).
                                    Significant Industrial User
                                    (SIU) and Non-Significant
                                    Categorical Industrial User
                                    (NSCIU) in SNC whether the
                                    industrial user in SNC is
                                    subject to one or more
                                    enforceable compliance
                                    schedules within the
                                    reporting period.
Local Limits Adoption Date.......  This is the most recent date   122.44(j)(2)(ii),    7.
                                    on which the Control           403.5(c),
                                    Authority adopted new local    403.8(f)(4) and
                                    limits within the reporting    (5), 403.12(i)(4).
                                    period. The date must be
                                    provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day. The Control
                                    Authority can leave this
                                    data element blank on the
                                    Pretreatment Program Report
                                    if the Control Authority did
                                    not adopt any new local
                                    limits within the reporting
                                    period.
Local Limits Evaluation Date.....  This is the most recent date   122.44(j)(2)(ii),    7.
                                    on which the Control           403.5(c),
                                    Authority completed an         403.8(f)(4) and
                                    evaluation on the potential    (5), 403.12(i)(4),
                                    need for local limits within   403.8(f)(4).
                                    the reporting period. The
                                    date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
                                    The Control Authority can
                                    leave this data element
                                    blank on the Pretreatment
                                    Program Report if the
                                    Control Authority did not
                                    evaluate any local limits
                                    within the reporting period.

[[Page 64147]]

 
Local Limits Pollutants..........  This is the list of the        403.5(c),            7.
                                    pollutants for which the       403.12(i)(4).
                                    Control Authority adopted
                                    local limits. The Control
                                    Authority will only need to
                                    enter each pollutant once no
                                    matter how many treatment
                                    works are managed by the
                                    Control Authority. The
                                    Control Authority can leave
                                    this data element blank on
                                    the Pretreatment Program
                                    Reports if the Control
                                    Authority did not change the
                                    pollutants for which the
                                    Control Authority derived
                                    local limits.
POTW Discharge Contamination       The one or more unique codes/  403.8(f), 403.12(i)  7.
 Indicator (Program Report).        descriptions that identify
                                    any problems (e.g., pass-
                                    through, interference,
                                    violation of NPDES permit
                                    limits) with the receiving
                                    POTW's effluent discharge
                                    within the reporting period.
                                    See 40 CFR 403.3(k) and (p).
                                    EPA regulations require the
                                    Control Authority to develop
                                    and enforce local limits
                                    when the discharge from an
                                    IU causes or contributes to
                                    any problems at the
                                    receiving POTW.
POTW Biosolids or Sewage Sludge    The one or more unique codes/  403.8(f), 403.12(i)  7.
 Contamination Indicator (Program   descriptions that identify
 Report).                           any problems (e.g.,
                                    interference with the use or
                                    disposal of biosolids or
                                    sewage sludge, violation of
                                    NPDES permit requirements or
                                    EPA's regulations at 40 CFR
                                    part 503) with the receiving
                                    POTW's biosolids or sewage
                                    sludge within the reporting
                                    period. See 40 CFR 403.3(k).
                                    EPA regulations require any
                                    Control Authority that must
                                    develop a Pretreatment
                                    Program also to develop and
                                    enforce local limits to
                                    ensure that the discharge
                                    from an IU does not cause or
                                    contribute a disruption of
                                    biosolids' use or disposal
                                    at the receiving POTW.
Industrial User Control Mechanism  A unique code/description      403.3(k), 403.5(c),  7.
 Status.                            that identifies whether the    403.8(f),
                                    Industrial User is subject     403.12(i).
                                    to an effective Control
                                    Mechanism within the
                                    reporting period.
Industrial User Control Mechanism  The date when the active       403.8(f)(1)(iii)(B)  7.
 Effective Date.                    Control Mechanism for the      (1), 403.12(i).
                                    Industrial User became
                                    effective. The date must be
                                    provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Industrial User Control Mechanism  The date when the active       403.8(f), 403.12(i)  7.
 Expiration Date.                   Control Mechanism for the
                                    Industrial User will expire.
                                    The date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
SNC With Pretreatment Standards    This data element will         403.8(f), 403.12(i)  7.
 or Limits (Program Report).        identify for each
                                    Significant Industrial User
                                    (SIU) and Non-Significant
                                    Categorical Industrial User
                                    (NSCIU) whether the IU was
                                    in Significant Non-
                                    Compliance (SNC) with any
                                    pretreatment standard or
                                    local limits applicable to
                                    the industrial user's
                                    discharge within the
                                    reporting period.
SNC With Pretreatment Standards    This data element will         403.8(f), 403.12(i)  7.
 or Limits Pollutants (Program      identify for each
 Report).                           Significant Industrial User
                                    (SIU) and Non-Significant
                                    Categorical Industrial User
                                    (NSCIU) the pollutants that
                                    related to the industrial
                                    user's Significant Non-
                                    Compliance (SNC) status with
                                    any applicable pretreatment
                                    standard or local limits
                                    within the reporting period.
SNC With Reporting Requirements    This data element will         123.26, 123.41(a),   1, 7.
 (Program Report).                  identify for each              123.45, 403.8(f),
                                    Significant Industrial User    403.10, 403.12(i).
                                    (SIU) and Non-Significant
                                    Categorical Industrial User
                                    (NSCIU) whether the IU was
                                    in Significant Non-
                                    Compliance (SNC) with
                                    reporting requirements
                                    (including baseline
                                    monitoring reports, notice
                                    of potential problems,
                                    periodic self-monitoring
                                    reports, notice of change in
                                    Industrial User discharge,
                                    hazardous waste notification
                                    and BMP certification)
                                    within the reporting period.

[[Page 64148]]

 
SNC with Other Control Mechanism   This data element will         123.26, 123.41(a),   1, 7.
 Requirements (Program Report).     identify for each              123.45, 403.8(f),
                                    Significant Industrial User    403.10, 403.12(i).
                                    (SIU) and Non-Significant
                                    Categorical Industrial User
                                    (NSCIU) whether the IU was
                                    in Significant Non-
                                    Compliance (SNC) with any
                                    other control mechanism
                                    requirements within the
                                    reporting period. This data
                                    element does not include
                                    instances of SNC that relate
                                    to the industrial user's
                                    applicable discharge
                                    standards or local limits or
                                    reporting requirements.
Listing of Months in SNC.........  This data element will         123.26, 123.41(a),   1, 7.
                                    identify for each              123.45, 403.8(f),
                                    Significant Industrial User    403.10, 403.12(i).
                                    (SIU) and Non-Significant
                                    Categorical Industrial User
                                    (NSCIU) the month or months
                                    the IU is in SNC within the
                                    reporting period. These data
                                    must be provided in YYYY-MM
                                    format where YYYY is the
                                    year and MM is the month.
Number of Industrial User          This data element will         403.8(f), 403.12(i)  7.
 Inspections by Control Authority.  identify for each
                                    Significant Industrial User
                                    (SIU) the number of
                                    inspections conducted by the
                                    Control Authority within the
                                    reporting period.
Number of Industrial User          This data element will         403.8(f), 403.12(i)  7.
 Sampling Events by Control         identify for each
 Authority.                         Significant Industrial User
                                    (SIU) the number of complete
                                    sampling events conducted by
                                    the Control Authority within
                                    the reporting period.
Number of Required Industrial      This data element will         403.8(f), 403.12(i)  7.
 User Self-Monitoring Events.       identify for each
                                    Significant Industrial User
                                    (SIU) the number of required
                                    self-monitoring sampling
                                    events within the reporting
                                    period that must be reported
                                    to the Control Authority.
Actual Number of Industrial User   This data element will         403.8(f), 403.12(i)  7.
 Self-Monitoring Events.            identify for each
                                    Significant Industrial User
                                    (SIU) the actual number of
                                    self-monitoring sampling
                                    events within the reporting
                                    period submitted to the
                                    Control Authority.
Types of Industrial User           This data element will         403.8(f), 403.12(i)  7.
 Enforcement Action.                identify for each
                                    Significant Industrial User
                                    (SIU) the type(s) of formal
                                    enforcement action(s) (e.g.,
                                    formal notices of violation
                                    or equivalent actions,
                                    administrative orders, civil
                                    suits, criminal suits)
                                    issued by the Control
                                    Authority within the
                                    reporting period. The
                                    Control Authority can also
                                    optionally use this data
                                    element to track informal
                                    actions that they issued
                                    within the reporting period.
Number of Industrial User          This data element will         403.8(f), 403.12(i)  7.
 Enforcement Actions.               identify for each
                                    Significant Industrial User
                                    (SIU) and for each type of
                                    enforcement action the total
                                    number of formal enforcement
                                    actions issued by the
                                    Control Authority within the
                                    reporting period. The
                                    Control Authority can also
                                    optionally use this data
                                    element to track informal
                                    actions that they issued
                                    within the reporting period.
Industrial User Cash Civil         For civil judicial             CWA section 309....  7.
 Penalty Amount Assessed.           Enforcement Actions, the
                                    dollar amount of the penalty
                                    assessed against each
                                    Significant Industrial User
                                    (SIU) and Non-Significant
                                    Categorical Industrial User
                                    (NSCIU) within the reporting
                                    period as specified in the
                                    final entered Consent Decree
                                    or Court Order. For
                                    Administrative Enforcement
                                    Actions, it is the dollar
                                    amount of the penalty
                                    assessed in the Consent/
                                    Final Order.
Industrial User Cash Civil         For civil judicial             CWA section 309....  7.
 Penalty Amount Collected.          Enforcement Actions, the
                                    dollar amount of the penalty
                                    collected from each
                                    Significant Industrial User
                                    (SIU) and Non-Significant
                                    Categorical Industrial User
                                    (NSCIU) within the reporting
                                    period. For Administrative
                                    Enforcement Actions, it is
                                    the dollar amount collected
                                    of the penalty assessed in
                                    the Consent/Final Order.

[[Page 64149]]

 
Industrial User POTW Discharge     The one or more unique codes/  123.26, 123.41(a),   1, 7.
 Contamination Indicator (Program   descriptions that identify     123.45, 403.5(c),
 Report).                           for each Significant           403.8(f), 403.10,
                                    Industrial User (SIU) and      403.12(i).
                                    Non-Significant Categorical
                                    Industrial User (NSCIU)
                                    whether the Industrial User
                                    caused or contributed to any
                                    problems (e.g., pass-
                                    through, interference,
                                    violation of NPDES permit
                                    limits) with the receiving
                                    POTW's effluent discharge in
                                    the previous reporting
                                    period. See 40 CFR 403.3(k)
                                    and (p). EPA regulations
                                    require the Control
                                    Authority to develop and
                                    enforce local limits when
                                    the discharge from an IU
                                    causes or contributes to any
                                    problems e.g.at the
                                    receiving POTW.
Industrial User Biosolids or       The one or more unique codes/  123.26, 123.41(a),   1, 7.
 Sewage Sludge Contamination        descriptions that identify     123.45, 403.5(c),
 Indicator (Program Report).        for each Significant           403.8(f), 403.10,
                                    Industrial User (SIU) and      403.12(i).
                                    Non-Significant Categorical
                                    Industrial User (NSCIU)
                                    whether the Industrial User
                                    caused or contributed to any
                                    problems (e.g., interference
                                    with the use or disposal of
                                    biosolids or sewage sludge,
                                    violation of NPDES permit
                                    requirements or EPA's
                                    regulations at 40 CFR part
                                    503) with the receiving
                                    POTW's biosolids or sewage
                                    sludge in the previous
                                    reporting period. See 40 CFR
                                    403.3(k). EPA regulations
                                    require the Control
                                    Authority to develop and
                                    enforce local limits when
                                    the discharge from an IU
                                    causes or contributes to any
                                    problems e.g.at the
                                    receiving POTW.
Industrial User Wastewater Flow    This data element will         403.8(f),            7, 8.
 Rate (Program Report).             identify for each              403.12(e),
                                    Significant Industrial User    403.12(h),
                                    (SIU) and Non-Significant      403.12(i).
                                    Categorical Industrial User
                                    (NSCIU) the maximum monthly
                                    average wastewater flow rate
                                    (in gallons per day) in the
                                    previous reporting period.
Middle-Tier Significant            The unique code/description    123.26, 123.41(a),   1, 7.
 Industrial User Reduced            that identifies for each       123.45, 403.10,
 Reporting Status.                  Middle-Tier Significant        403.12(e)(3),
                                    Industrial User (MTSIU)        403.12(i)(2).
                                    whether the Control
                                    Authority has granted
                                    reduced reporting
                                    requirements in accordance
                                    with 40 CFR 403.12(e)(3).
Non-Significant Categorical        The unique code/description    123.26, 123.41(a),   1, 7.
 Industrial User (NSCIU)            that identifies for each Non-  123.45, 403.10,
 Certification Submitted to         Significant Categorical        403.12(i)(2),
 Control Authority.                 Industrial User (NSCIU)        403.12(q).
                                    whether the facility has
                                    reported its required annual
                                    compliance certification to
                                    the Control Authority within
                                    the reporting period.
Notification of Changed Discharge  The unique code (e.g.,         403.8(f), 403.12     1, 7.
 Submission.                        ``Yes'', ``No'') that          (i), 403.12(j).
                                    identifies for each
                                    Significant Industrial User
                                    (SIU) and Non-Significant
                                    Categorical Industrial User
                                    (NSCIU) whether the
                                    Industrial User submitted a
                                    notification within the
                                    reporting period to the
                                    Control Authority of a
                                    substantial change in the
                                    volume or character of
                                    pollutants in their
                                    discharge, including the
                                    listing or characteristic
                                    hazardous wastes for which
                                    the Industrial User
                                    previously submitted notice.
----------------------------------------------------------------------------------------------------------------
   Compliance Monitoring Activity Information (Data Elements Specific to Sewer Overflow/Bypass Event Reports)
[Note: These data elements apply to sewer overflows and bypass events at POTWs. These data elements do not apply
 to industrial facilities. This report uses the `Permitted Feature Identifier (Compliance Monitoring Activity)'
 data element to identify the location of each sewer overflow or bypass at a permitted feature. Each bypass
 location should be permitted and have an identifier in the `Permitted Feature Identifier (Permit)' data
 element. This report will also identify the location of each sewer overflow at an unpermitted feature.]
----------------------------------------------------------------------------------------------------------------

[[Page 64150]]

 
Sewer Overflow/Bypass Identifier.  This data element will allow   122.41(l)(4), (6),   3, 9.
                                    the reporting of multiple      and (7) and
                                    sewer overflows or bypasses    122.41(m)(3).
                                    on one report. Each
                                    individualized sewer
                                    overflow or bypass will be
                                    given a unique identifier
                                    (e.g., 1, 2, 3, and so on)
                                    for each Sewer Overflow/
                                    Bypass Event Report. This
                                    field can be system
                                    generated to accommodate one
                                    or more individual sewer
                                    overflows or bypasses. If
                                    the sewer overflows are
                                    caused by an extreme weather
                                    event (e.g., hurricane) that
                                    floods the entire sewer
                                    system the POTW can use this
                                    data element to indicate
                                    that the number of sewer
                                    overflows cannot be
                                    tabulated as they are too
                                    numerous to count.
Sewer Overflow Longitude for       This data element is required  122.41(l)(4), (6),   3, 9.
 Unpermitted Feature (Sewer         for each Sewer Overflow/       and (7).
 Overflow/Bypass Event Report).     Bypass Identifier without a
                                    corresponding identifier in
                                    the `Permitted Feature
                                    Identifier (Permit)' data
                                    element, which is reported
                                    on the NPDES permit
                                    application or Notice of
                                    Intent for NPDES permit
                                    coverage. This data element
                                    is the measure of the
                                    angular distance on a
                                    meridian east or west of the
                                    prime meridian for the sewer
                                    overflow location. The
                                    format for this data element
                                    is decimal degrees (e.g., -
                                    77.029289) and the WGS84
                                    standard coordinate system.
                                    The `Permitted Feature
                                    Identifier (Compliance
                                    Monitoring Activity)' data
                                    element is used to identify
                                    the location of each sewer
                                    overflow at a permitted
                                    feature. If the sewer
                                    overflow is associated with
                                    a private residence the
                                    longitude of the nearest
                                    collection system structure
                                    (e.g., manhole) can be used
                                    for this data element to the
                                    extent that reporting is
                                    required. The POTW can leave
                                    this data element blank on
                                    the Sewer Overflow/Bypass
                                    Event Report if the sewer
                                    overflows are caused by an
                                    extreme weather event (e.g.,
                                    hurricane) that floods the
                                    entire sewer system and are
                                    too numerous to count. This
                                    data element can also be
                                    system generated if the
                                    Sewer Overflow/Bypass Event
                                    Report collects the street
                                    location of the sewer
                                    overflow and the street
                                    location can be used to
                                    generate an accurate
                                    longitude value. (Note:
                                    ``Post Office Box''
                                    addresses and ``Rural
                                    Route'' addresses are
                                    generally not geocodable).

[[Page 64151]]

 
Sewer Overflow Latitude for        This data element is required  122.41(l)(4), (6),   3, 9.
 Unpermitted Feature (Sewer         for each Sewer Overflow/       and (7).
 Overflow/Bypass Event Report).     Bypass Identifier without a
                                    corresponding identifier in
                                    the `Permitted Feature
                                    Identifier (Permit)' data
                                    element, which is reported
                                    on the NPDES permit
                                    application or Notice of
                                    Intent for NPDES permit
                                    coverage. This data element
                                    is the measure of the
                                    angular distance on a
                                    meridian north or south of
                                    the equator for the sewer
                                    overflow location. The
                                    format for this data element
                                    is decimal degrees (e.g., -
                                    77.029289) and the WGS84
                                    standard coordinate system.
                                    The Permitted Feature
                                    Identifier (Compliance
                                    Monitoring Activity) data
                                    element is used to identify
                                    the location of each sewer
                                    overflow at a permitted
                                    feature. If the sewer
                                    overflow is associated with
                                    a private residence the
                                    latitude of the nearest
                                    collection system structure
                                    (e.g., manhole) can be used
                                    for this data element to the
                                    extent that reporting is
                                    required. The POTW can leave
                                    this data element blank on
                                    the Sewer Overflow/Bypass
                                    Event Report if the sewer
                                    overflows are caused by an
                                    extreme weather event (e.g.,
                                    hurricane) that floods the
                                    entire sewer system and are
                                    too numerous to count. This
                                    data element can also be
                                    system generated if the
                                    Sewer Overflow/Bypass Event
                                    Report collects the street
                                    location of the sewer
                                    overflow and the street
                                    location can be used to
                                    generate an accurate
                                    longitude value. (Note:
                                    ``Post Office Box''
                                    addresses and ``Rural
                                    Route'' addresses are
                                    generally not geocodable).
Type of Sewer Overflow/Bypass      A unique code/description      122.41(l)(4), (6),   3, 9.
 (Sewer Overflow/Bypass Event       that identifies the type of    and (7) and
 Report).                           sewer overflow or bypass       122.41(m)(3).
                                    (e.g., CSO or SSO from the
                                    POTW's collection system,
                                    anticipated bypass from the
                                    treatment works,
                                    unanticipated bypass from
                                    the treatment works) for
                                    each Sewer Overflow/Bypass
                                    Identifier. For bypass
                                    events the permittee will
                                    also use this data element
                                    to identify if any NPDES
                                    effluent limitations were
                                    violated as a result of the
                                    bypass.
Type of Sewer Overflow/Bypass      A unique code/description      122.41(l)(4), (6),   3, 9.
 Structure.                         that identifies the type of    and (7) and
                                    sewer overflow or bypass       122.41(m)(3).
                                    structure (e.g., manhole,
                                    CSO outfall) for each Sewer
                                    Overflow/Bypass Identifier.
                                    The POTW can leave this data
                                    element blank on the Sewer
                                    Overflow/Bypass Event Report
                                    if the sewer overflows are
                                    caused by an extreme weather
                                    event (e.g., hurricane) that
                                    floods the entire sewer
                                    system and are too numerous
                                    to count.
Sewer Overflow/Bypass Cause......  The one or more unique codes/  122.41(l)(4), (6),   3, 9
                                    descriptions that best         and (7) and
                                    represent the likely cause     122.41(m)(3).
                                    of the sewer overflow or
                                    bypass (e.g., broken pipe,
                                    fats/oil/grease, mechanical
                                    failure, pump station
                                    electrical failure, wet
                                    weather, vandalism) for each
                                    Sewer Overflow/Bypass
                                    Identifier..
Duration of Sewer Overflow/Bypass  Estimated duration of the      122.41(l)(4), (6),   3, 9.
 (hours) (Sewer Overflow/Bypass     sewer overflow or bypass (in   and (7) and
 Event Report).                     hours) for each Sewer          122.41(m)(3).
                                    Overflow/Bypass Identifier.
                                    If the discharge has not
                                    been corrected, this is the
                                    best professional judgment
                                    from the sewer owner or in
                                    the case of a bypass, the
                                    treatment plant owner, of
                                    the time the sewer overflow
                                    or bypass is expected to
                                    continue. The POTW can leave
                                    this data element blank on
                                    the Sewer Overflow/Bypass
                                    Event Report if the sewer
                                    overflows are caused by an
                                    extreme weather event (e.g.,
                                    hurricane) that floods the
                                    entire sewer system and are
                                    too numerous to count.

[[Page 64152]]

 
Sewer Overflow/Bypass Discharge    Best professional judgment     122.41(l)(4), (6),   3, 9.
 Volume (gallons) (Sewer Overflow/  from the sewer owner on the    and (7) and
 Bypass Event Report).              estimated number of gallons    122.41(m)(3).
                                    of sewer overflow or bypass
                                    for each Sewer Overflow/
                                    Bypass Identifier. If the
                                    discharge has not been
                                    corrected, this is the best
                                    professional judgment from
                                    the sewer owner or in the
                                    case of a bypass, the
                                    treatment plant owner, of
                                    the volume of overflow or
                                    bypass prior to cessation.
                                    The POTW can leave this data
                                    element blank on the Sewer
                                    Overflow/Bypass Event Report
                                    if the sewer overflows are
                                    caused by an extreme weather
                                    event (e.g., hurricane) that
                                    floods the entire sewer
                                    system and are too numerous
                                    to count.
Receiving Waterbody Name for       This data element identifies   122.41(l)(4), (6),   3, 9.
 Unpermitted Feature (Sewer         the receiving waterbody name   and (7).
 Overflow/Bypass Event Report).     for each Sewer Overflow/
                                    Bypass Identifier that does
                                    not have a corresponding
                                    value in the `Permitted
                                    Feature Identifier (Permit)'
                                    data element. This data
                                    element will use the best
                                    professional judgment of the
                                    sewer owner to identify the
                                    name of the waterbody that
                                    is or will likely receive
                                    the discharge from each
                                    Sewer Overflow/Bypass
                                    Identifier. The POTW can
                                    leave this data element
                                    blank on the Sewer Overflow/
                                    Bypass Event Report if the
                                    sewer overflows are caused
                                    by an extreme weather event
                                    (e.g., hurricane) that
                                    floods the entire sewer
                                    system and are too numerous
                                    to count.
Wet Weather Occurrence for Sewer   The unique code (e.g.,         122.41(l)(4), (6),   3, 9.
 Overflow/Bypass Status.            ``Yes'', ``No'') that          and (7) and
                                    represents the best            122.41(m)(3).
                                    professional judgment of the
                                    sewer owner, or in the case
                                    of a bypass, the treatment
                                    plant owner, regarding
                                    whether the sewer overflow
                                    or bypass, by Sewer Overflow/
                                    Bypass Identifier, occurred
                                    during wet weather.
Corrective Actions Taken or        The unique code/description    122.41(l)(4), (6),   3, 9.
 Planned for Sewer Overflow/        that describes the steps       and (7) and
 Bypass (Sewer Overflow/Bypass      taken or planned to reduce,    122.41(m)(3).
 Event Report).                     eliminate, and prevent
                                    reoccurrence of future sewer
                                    overflows or bypasses for
                                    each Sewer Overflow/Bypass
                                    Identifier and the related
                                    impacts to health and the
                                    environment. This data
                                    element can be used to
                                    identify the portion of the
                                    sewer overflow or bypass
                                    that was contained and
                                    recovered prior to any
                                    discharge to waters of the
                                    U.S. This data element will
                                    also identify if any
                                    monitoring of the receiving
                                    waterbody was done during
                                    and/or after the sewer
                                    overflow or bypass to gauge
                                    the potential impact to
                                    health and the environment.
                                    The POTW can leave this data
                                    element blank on the Sewer
                                    Overflow/Bypass Event Report
                                    if the sewer overflows are
                                    caused by an extreme weather
                                    event (e.g., hurricane) that
                                    floods the entire sewer
                                    system and are too numerous
                                    to count.
Type of Potential Impact of Sewer  The unique code/description    122.41(l)(4), (6),   3, 9.
 Overflow/Bypass (Sewer Overflow/   that describes the type of     and (7) and
 Bypass Event Report).              potential health or            122.41(m)(3).
                                    environmental impact(s)
                                    (e.g., beach closure) for
                                    each Sewer Overflow/Bypass
                                    Identifier. Under 40 CFR
                                    122.41(l)(6), ``the
                                    permittee shall report any
                                    noncompliance which may
                                    endanger health or the
                                    environment.'' This data
                                    element provides information
                                    regarding the nature of such
                                    potential endangerment. The
                                    POTW can leave this data
                                    element blank on the Sewer
                                    Overflow/Bypass Event Report
                                    if the sewer overflows are
                                    caused by an extreme weather
                                    event (e.g., hurricane) that
                                    floods the entire sewer
                                    system and are too numerous
                                    to count.
----------------------------------------------------------------------------------------------------------------

[[Page 64153]]

 
    Compliance Monitoring Activity Information (Data Elements Specific to CWA section 316(b) Annual Reports)
 
[Note: Where the Director requires additional measures to protect Federally-listed threatened or endangered
 species or critical habitat pursuant to 40 CFR 125.94(g), the Director shall require reporting associated with
 those measures [see 40 CFR 125.97(g)]. The following data elements correspond to this reporting requirement.
 These data elements are only required for facilities that are required to report on their additional measures
 to protect Federally-listed threatened or endangered species or critical habitat.]
----------------------------------------------------------------------------------------------------------------
CWA Section 316(b) Biological      For existing facilities, a     125.96, 125.97(g),   10.
 Monitoring--Species Name           listing of each Federally-     125.98,
 (Program Report).                  listed threatened or           125.138(b), 401.14
                                    endangered species (or         and CWA section
                                    relevant taxa) for all life    316(b).
                                    stages that might be
                                    susceptible to impingement
                                    and entrainment at the
                                    facility's cooling water
                                    intake structure(s).
                                    Specific monitoring
                                    protocols and frequency of
                                    monitoring will be
                                    determined by the Director.
CWA Section 316(b) Biological      For existing facilities, the   125.96, 125.97(g),   10.
 Monitoring--Species Number         number of each Federally-      125.98,
 (Program Report).                  listed threatened or           125.138(b), 401.14
                                    endangered species (or         and CWA section
                                    relevant taxa) that might be   316(b).
                                    susceptible to impingement
                                    and entrainment at the
                                    facility's cooling water
                                    intake structure(s).
                                    Specific monitoring
                                    protocols and frequency of
                                    monitoring will be
                                    determined by the Director.
CWA Section 316(b) Biological      For existing facilities, a     125.96, 125.97(g),   10.
 Monitoring--Threatened or          unique code/description that   125.98,
 Endangered Status (Program         identifies for each            125.138(b), 401.14
 Report).                           Federally-listed threatened    and CWA section
                                    or endangered species (or      316(b).
                                    relevant taxa) whether the
                                    species is threatened,
                                    endangered, or is an
                                    otherwise protected species
                                    that might be susceptible to
                                    impingement and entrainment
                                    at the facility's cooling
                                    water intake structure(s).
                                    Specific monitoring
                                    protocols and frequency of
                                    monitoring will be
                                    determined by the Director.
CWA Section 316(b) Biological      For existing facilities, the   125.96, 125.97(g),   10.
 Monitoring--Species Impinged and   number of each Federally-      125.98,
 Entrained (Program Report).        listed threatened or           125.138(b), 401.14
                                    endangered species (or         and CWA section
                                    relevant taxa) impinged and    316(b).
                                    entrained per year by the
                                    facility's cooling water
                                    intake structure(s).
                                    Specific monitoring
                                    protocols and frequency of
                                    monitoring will be
                                    determined by the Director.
CWA Section 316(b) Biological      For existing facilities, a     125.96, 125.97(g),   10.
 Monitoring--Applicable Measures    text summary of the measures   125.98,
 to Protect Designated Critical     taken by the permittee to      125.138(b), 401.14
 Habitat (Program Report).          protect designated critical    and CWA section
                                    habitat in the vicinity of     316(b).
                                    impingement and entrainment
                                    at the facility's cooling
                                    water intake structure(s).
----------------------------------------------------------------------------------------------------------------
                     Information Common to Violations, Enforcement Actions, and Final Orders
 
[Note: Single Event Violation (SEV) data elements are mandatory for construction stormwater inspections that
 identify CWA violations that result in a regulatory authority taking a formal enforcement action. SEV data
 elements are optional for other construction stormwater inspections.]
----------------------------------------------------------------------------------------------------------------
Violation Code...................  The unique code/description    123.45 and CWA       1.
                                    that identifies each type of   section 309.
                                    violation that has occurred
                                    at the facility (e.g., D80 =
                                    Required Monitoring DMR
                                    Value Non-Receipt, E90 =
                                    Effluent Violation, C20 =
                                    Schedule Event Achieved
                                    Late). This includes single
                                    event violations (SEVs) and
                                    violations that are system
                                    generated based upon DMRs,
                                    schedules, etc.
Violation Date...................  This is the date of the        123.45 and CWA       1.
                                    violation, which varies        section 309.
                                    depending on the type of
                                    violation. The date must be
                                    provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day. This data
                                    element may be system
                                    generated and does not apply
                                    to single event violation
                                    dates.
----------------------------------------------------------------------------------------------------------------
                                              Violation Information
----------------------------------------------------------------------------------------------------------------
Agency Identifying the Single      The unique code/description    123.26, 123.41(a),   1.
 Event Violation (SEV).             that identifies the agency     123.45.
                                    that identified the single
                                    event violation (SEV).

[[Page 64154]]

 
Single Event Violation Start Date  The date the single event      123.26, 123.41(a),   1.
                                    violation (SEV) began. If      123.45.
                                    the SEV occurred on one
                                    date, this data element is
                                    optional as this date can be
                                    system generated to equal
                                    ``Single Event Violation End
                                    Date'' when left blank. The
                                    date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
Single Event Violation End Date..  The date the single event      123.26, 123.41(a),   1.
                                    violation (SEV) ended. This    123.45.
                                    field will be left blank to
                                    denote an ongoing or
                                    unresolved SEV. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
RNC Detection Code...............  The unique code/description    123.26, 123.41(a),   1.
                                    that identifies the type of    123.45.
                                    reportable noncompliance
                                    (RNC) detected by the
                                    regulatory authority.
RNC Detection Date...............  The date that reportable       123.26, 123.41(a),   1.
                                    noncompliance (RNC) was        123.45.
                                    detected. This date may vary
                                    according to the type of
                                    violation detected. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
RNC Resolution Code..............  The unique code/description    123.26, 123.41(a),   1.
                                    that identifies the            123.45.
                                    reportable noncompliance
                                    (RNC) status (e.g.,
                                    noncompliant, resolved
                                    pending, waiting resolution,
                                    resolved) for each
                                    violation. This data element
                                    can be entered manually or
                                    system generated.
RNC Resolution Date..............  The date reportable            123.26, 123.41(a),   1.
                                    noncompliance (RNC) was        123.45.
                                    marked to its current
                                    resolution status. This data
                                    element is entered manually.
                                    The date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
----------------------------------------------------------------------------------------------------------------
                                         Enforcement Action Information
 
[Note: NPDES authorized programs will only need to share criminal action information with EPA when the criminal
 case is concluded.]
----------------------------------------------------------------------------------------------------------------
Enforcement Action Identifier....  The unique identifier for      123.27, 123.41(a),   1.
                                    each enforcement action. For   and CWA section
                                    EPA enforcement actions,       309.
                                    this field will be have
                                    three components, each
                                    separated by a hyphen (e.g.,
                                    04-2014-4509). These three
                                    components are: (1) the EPA
                                    Region responsible for the
                                    enforcement action as
                                    identified by the EPA Region
                                    code (e.g., 04); (2) the
                                    four-digit fiscal year
                                    during which the enforcement
                                    action is initiated (e.g.,
                                    2014); and (3) a four-digit,
                                    user-assigned sequence
                                    number between 0001 and 9999
                                    (e.g., 4509). States will be
                                    able to use this same
                                    structure, or they will be
                                    able to use a different
                                    structure of their choosing
                                    provided that the first two
                                    characters of the identifier
                                    constitute the state code
                                    (e.g., Alabama = ``AL'').
Enforcement Action Forum.........  This identifies the forum of   123.27, 123.41(a),   1.
                                    the formal enforcement         and CWA section
                                    action (e.g., administrative   309.
                                    formal, judicial). This can
                                    be system generated.
Enforcement Action Type..........  The unique code/description    123.27, 123.41(a),   1.
                                    that identifies the type for   and CWA section
                                    each formal or informal        309.
                                    enforcement action. This
                                    code/description identifies,
                                    for example, whether the
                                    enforcement action is a
                                    civil judicial referral, a
                                    notice of violation, an
                                    administrative penalty
                                    order, administrative order,
                                    or criminal prosecution.
Programs Violated (Enforcement     The unique code/description    123.27, 123.41(a),   1.
 Action).                           that identifies each program   and CWA section
                                    (e.g., pretreatment,           309.
                                    biosolids/sewage sludge,
                                    MS4s, Core NPDES program)
                                    associated with each
                                    enforcement activity.

[[Page 64155]]

 
Enforcement Action Sub-activity    A unique code/description      123.27, 123.41(a),   1.
 Type.                              that identifies the type for   and CWA section
                                    each sub-activity associated   309.
                                    with each enforcement
                                    activity (e.g., COMPS =
                                    compliance achieved, MECDJ =
                                    motion to enforce consent
                                    agreement, AHRG =
                                    administrative hearing,
                                    AMNCA = amended complaint).
                                    Some of these sub-activities
                                    are system required and some
                                    can be system generated.
                                    Data on sub-activities that
                                    are not milestones are
                                    optional.
Enforcement Action Sub-activity    The date on which the sub-     123.27, 123.41(a),   1.
 Completion Date.                   activity was completed. This   and CWA section
                                    data element is required for   309.
                                    each sub-activity provided.
                                    The date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
                                    Some of these dates can be
                                    system generated.
----------------------------------------------------------------------------------------------------------------
                                             Final Order Information
 
 [Note: These data elements are linked to the ``Enforcement Action Identifier''. NPDES authorized programs will
          only need to share criminal action information with EPA when the criminal case is concluded.]
----------------------------------------------------------------------------------------------------------------
Final Order Identifier...........  The unique identifier for      123.27, 123.41(a),   1.
                                    each final order. This data    and CWA section
                                    element can be system          309.
                                    generated.
Final Order Type.................  A unique code that identifies  123.27, 123.41(a),   1.
                                    the legal process used by      and CWA section
                                    the authorized NPDES program   309.
                                    to settle the enforcement
                                    action (e.g., administrative
                                    compliance order, an
                                    administrative penalty
                                    order, consent decree,
                                    Federal facility agreement,
                                    criminal conviction or plea
                                    agreement).
Final Order Issued/Entered Date..  For a judicial enforcement     123.27, 123.41(a),   1.
                                    action this is the date the    and CWA section
                                    Clerk of the Court stamps      309.
                                    the document after it is
                                    signed by the presiding
                                    Judge. For an administrative
                                    formal enforcement action
                                    this is the date the Final
                                    Order was issued. For a
                                    criminal enforcement action,
                                    this is the date the
                                    sentence was imposed. The
                                    date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
NPDES Closed Date................  The date of closure for each   123.27, 123.41(a),   1.
                                    NPDES final order. The date    and CWA section
                                    must be provided in YYYY-MM-   309.
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
----------------------------------------------------------------------------------------------------------------
                                               Penalty Information
 
[Note: These data elements are linked to the ``Enforcement Action Identifier''. NPDES authorized programs will
 only need to share criminal action information with EPA when the criminal case is concluded.]
----------------------------------------------------------------------------------------------------------------
Penalty Amount Assessed..........  For civil judicial             123.27, 123.41(a),   1.
                                    enforcement actions, the       and CWA section
                                    dollar amount of the penalty   309.
                                    assessed against the
                                    defendant(s) as specified in
                                    the final entered Consent
                                    Decree or Court Order. For
                                    administrative enforcement
                                    actions, it is the dollar
                                    amount of the penalty
                                    assessed in the Consent
                                    Decree or Final Order. For
                                    criminal enforcement
                                    actions, it is the dollar
                                    amount of the fine agreed to
                                    by the defendant or
                                    sentenced by the Court and
                                    should include fields for
                                    prison time, probation, home
                                    confinement or monitoring
                                    periods, restitution, and
                                    special assessments.
Penalty Amount Collected.........  For civil judicial             123.27, 123.41(a),   1.
                                    enforcement actions, the       and CWA section
                                    dollar amount of the penalty   309.
                                    collected from the
                                    defendant(s). For
                                    administrative enforcement
                                    actions, it is the dollar
                                    amount collected of the
                                    penalty assessed in the
                                    Consent Decree or Final
                                    Order. For criminal
                                    enforcement actions, it is
                                    the dollar amount of the
                                    fine paid by the defendant
                                    as well as restitution and
                                    special assessments.
Supplemental Environmental         The unique identifier for      123.27, 123.41(a),   1.
 Project Identifier.                each supplemental              and CWA section
                                    environmental project. This    309.
                                    data element can be system
                                    generated.

[[Page 64156]]

 
Supplemental Environmental         The assessed cost, in          123.27, 123.41(a),   1.
 Project Amount.                    dollars, of the one or more    and CWA section
                                    of the defendant's             309.
                                    Supplemental Environmental
                                    Projects (SEPs). This is the
                                    dollar amount that is
                                    assessed either in addition
                                    to civil penalties or in
                                    lieu of civil penalties.
                                    This data element is only
                                    required if there is a SEP
                                    and may be entered at a
                                    later date when the data is
                                    available.
Supplemental Environmental         This text field summarizes     123.27, 123.41(a),   1.
 Project Description.               the Supplemental               and CWA section
                                    Environmental Projects         309.
                                    (SEPs) that the respondent
                                    has completed in response to
                                    an enforcement action. This
                                    data element is only
                                    required if there is a SEP
                                    and may be entered at a
                                    later date when the data is
                                    available.
----------------------------------------------------------------------------------------------------------------
                                         Compliance Schedule Information
 
[Note: These data elements are linked to the ``Enforcement Action Identifier''.]
----------------------------------------------------------------------------------------------------------------
Compliance Schedule Number.......  This number that in            123.27, 123.41(a),   1.
                                    combination with the           and CWA section
                                    Compliance Schedule Type and   309.
                                    NPDES ID uniquely identifies
                                    a compliance schedule.
Compliance Schedule Type.........  The unique code/description    123.27, 123.41(a),   1.
                                    that identifies the type of    and CWA section
                                    compliance schedule (e.g.,     309.
                                    an administrative formal
                                    action = ``A'', a judicial
                                    action = ``J'').
Compliance Schedule Description..  The unique code/description    123.27, 123.41(a),   1.
                                    that identifies each type of   and CWA section
                                    condition or requirement       309.
                                    (e.g., best management
                                    practices plan development)
                                    for the compliance schedule.
Compliance Schedule Event Code...  The unique code/description    123.27, 123.41(a),   1.
                                    that identifies each event     and CWA section
                                    that is added within a         309.
                                    compliance schedule.
Compliance Schedule Due Date.....  The date the compliance        123.27, 123.41(a),   1.
                                    schedule event is scheduled    and CWA section
                                    to be completed (i.e., the     309.
                                    due date). The date must be
                                    provided in YYYY-MM-DD
                                    format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
Compliance Schedule Actual Date..  The actual date on which the   123.27, 123.41(a),   1.
                                    compliance schedule event      and CWA section
                                    was completed or achieved.     309.
                                    The date must be provided in
                                    YYYY-MM-DD format where YYYY
                                    is the year, MM is the
                                    month, and DD is the day.
Compliance Schedule Report         The date the regulatory        123.27, 123.41(a),   1.
 Received Date.                     agency received the report     and CWA section
                                    required by the compliance     309.
                                    schedule report. The date
                                    must be provided in YYYY-MM-
                                    DD format where YYYY is the
                                    year, MM is the month, and
                                    DD is the day.
----------------------------------------------------------------------------------------------------------------

    Notes:
    (1) The NPDES program authority may pre-populate these data 
elements and other data elements (e.g., Federal Registry System ID) 
in the NPDES electronic reporting systems in order to create 
efficiencies and standardization. For example, the NPDES program 
authority may configure their electronic reporting system to 
automatically generate NPDES IDs for control mechanisms for new 
facilities reported on a Pretreatment Program Report [40 CFR 
403.12(i)]. Additionally, the NPDES program authority can decide 
whether to allow NPDES regulated entities to override these pre-
populated data.
    (2) The data elements in this table conform to EPA's policy 
regarding the application requirements for renewal or reissuance of 
NPDES permits for discharges from municipal separate storm sewer 
systems (see 61 FR 41698; 6 August 1996).
    (3) The data elements in this table are also supported by the 
Office Management and Budget approved permit applications and forms 
for the NPDES program.
    (4) These data will allow EPA and the NPDES program authority to 
link facilities, compliance monitoring activities, compliance 
determinations, and enforcement actions. For example, these data 
will provide several ways to make the following linkages: linking 
violations to enforcement actions and final orders; linking single 
event violations and compliance monitoring activities; linking 
program reports to DMRs; linking program reports to compliance 
monitoring activities; and linking enforcement activities and 
compliance monitoring activities.

PART 403--GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW 
SOURCES OF POLLUTION

0
24. The authority citation for part 403 continues to read as follows:

    Authority:  33 U.S.C. 1251 et seq.


0
25. Amend Sec.  403.10 by adding paragraph (f)(2)(viii) to read as 
follows:


Sec.  403.10  Development and submission of NPDES State pretreatment 
programs.

* * * * *
    (f) * * *
    (2) * * *

[[Page 64157]]

    (viii) Regularly notify all Control Authorities of electronic 
submission requirements of 40 CFR part 127.
* * * * *

0
26. Amend Sec.  403.12 by revising paragraphs (e)(1), (h), and (i) 
introductory text to read as follows:


Sec.  403.12  Reporting requirements for POTW's and industrial users.

* * * * *
    (e) * * *
    (1) Any Industrial User subject to a categorical Pretreatment 
Standard (except a Non-Significant Categorical User as defined in Sec.  
403.3(v)(2)), after the compliance date of such Pretreatment Standard, 
or, in the case of a New Source, after commencement of the discharge 
into the POTW, shall submit to the Control Authority during the months 
of June and December, unless required more frequently in the 
Pretreatment Standard or by the Control Authority or the Approval 
Authority, a report indicating the nature and concentration of 
pollutants in the effluent which are limited by such categorical 
Pretreatment Standards. In addition, this report shall include a record 
of measured or estimated average and maximum daily flows for the 
reporting period for the Discharge reported in paragraph (b)(4) of this 
section except that the Control Authority may require more detailed 
reporting of flows. In cases where the Pretreatment Standard requires 
compliance with a Best Management Practice (or pollution prevention 
alternative), the User shall submit documentation required by the 
Control Authority or the Pretreatment Standard necessary to determine 
the compliance status of the User. At the discretion of the Control 
Authority and in consideration of such factors as local high or low 
flow rates, holidays, budget cycles, etc., the Control Authority may 
modify the months during which the above reports are to be submitted. 
For Industrial Users for which EPA or the authorized state, tribe, or 
territory is the Control Authority, as of December 21, 2020 all reports 
submitted in compliance with this section must be submitted 
electronically by the industrial user to the Control Authority or 
initial recipient, as defined in 40 CFR 127.2(b), in compliance with 
this section and 40 CFR part 3 (including, in all cases, subpart D to 
part 3), 40 CFR 122.22, and 40 CFR part 127. Part 127 is not intended 
to undo existing requirements for electronic reporting. Prior to this 
date, and independent of part 127, the Industrial Users for which EPA 
or the authorized state, tribe, or territory is the Control Authority 
may be required to report electronically if specified by a particular 
control mechanism or if required to do so by state law.
* * * * *
    (h) Reporting requirements for Industrial Users not subject to 
categorical Pretreatment Standards. The Control Authority must require 
appropriate reporting from those Industrial Users with Discharges that 
are not subject to categorical Pretreatment Standards. Significant Non-
categorical Industrial Users must submit to the Control Authority at 
least once every six months (on dates specified by the Control 
Authority) a description of the nature, concentration, and flow of the 
pollutants required to be reported by the Control Authority. In cases 
where a local limit requires compliance with a Best Management Practice 
or pollution prevention alternative, the User must submit documentation 
required by the Control Authority to determine the compliance status of 
the User. These reports must be based on sampling and analysis 
performed in the period covered by the report, and in accordance with 
the techniques described in part 136 of this chapter and amendments 
thereto. This sampling and analysis may be performed by the Control 
Authority in lieu of the significant non-categorical Industrial User. 
For Industrial Users for which EPA or the authorized state, tribe, or 
territory is the Control Authority, as of December 21, 2020 all reports 
submitted in compliance with this section must be submitted 
electronically by the industrial user to the Control Authority or 
initial recipient, as defined in 40 CFR 127.2(b), in compliance with 
this section and 40 CFR part 3 (including, in all cases, subpart D to 
part 3), 40 CFR 122.22, and 40 CFR part 127. Part 127 is not intended 
to undo existing requirements for electronic reporting. Prior to this 
date, and independent of part 127, the Industrial Users for which EPA 
or the authorized state, tribe, or territory is the Control Authority 
may be required to report electronically if specified by a particular 
control mechanism or if required to do so by state law.
    (i) Annual POTW reports. POTWs with approved Pretreatment Programs 
shall provide the Approval Authority with a report that briefly 
describes the POTW's program activities, including activities of all 
participating agencies, if more than one jurisdiction is involved in 
the local program. The report required by this section shall be 
submitted no later than one year after approval of the POTW's 
Pretreatment Program, and at least annually thereafter, and must 
include, at a minimum, the applicable required data in appendix A to 40 
CFR part 127. The report required by this section must also include a 
summary of changes to the POTW's pretreatment program that have not 
been previously reported to the Approval Authority and any other 
relevant information requested by the Approval Authority. As of 
December 21, 2020 all annual reports submitted in compliance with this 
section must be submitted electronically by the POTW Pretreatment 
Program to the Approval Authority or initial recipient, as defined in 
40 CFR 127.2(b), in compliance with this section and 40 CFR part 3 
(including, in all cases, subpart D to part 3), 40 CFR 122.22, and 40 
CFR part 127. Part 127 is not intended to undo existing requirements 
for electronic reporting. Prior to this date, and independent of part 
127, the Approval Authority may also require POTW Pretreatment Programs 
to electronically submit annual reports under this section if specified 
by a particular permit or if required to do so by state law.
* * * * *

PART 501--STATE SLUDGE MANAGEMENT PROGRAM REGULATIONS

0
27. The authority citation for part 501 continues to read as follows:

    Authority:  33 U.S.C. 1251 et seq.


0
28. Revise Sec.  501.21 to read as follows:


Sec.  501.21  Program reporting to EPA.

    As of December 21, 2020, state sludge management programs must 
comply with 40 CFR part 3 and 40 CFR part 127 (including the applicable 
required data elements in appendix A to part 127).

PART 503--STANDARDS FOR THE USE OR DISPOSAL OF SEWAGE SLUDGE

0
29. The authority citation for part 503 continues to read as follows:

    Authority:  Sections 405 (d) and (e) of the Clean Water Act, as 
amended by Pub. L. 95-217, sec. 54(d), 91 Stat. 1591 (33 U.S.C. 1345 
(d) and (e)); and Pub. L. 100-4, title IV, sec. 406(a), (b), 101 
Stat., 71, 72 (33 U.S.C. 1251 et seq.).


0
30. Amend Sec.  503.18 by revising paragraph (a) introductory text to 
read as follows:


Sec.  503.18  Reporting.

    (a) Class I sludge management facilities, POTWs (as defined in 
Sec.  501.2 of this chapter) with a design flow rate equal to or 
greater than one million

[[Page 64158]]

gallons per day, and POTWs that serve 10,000 people or more shall 
submit a report on February 19 of each year. As of December 21, 2016 
all reports submitted in compliance with this section must be submitted 
electronically by the operator to EPA when the Regional Administrator 
is the Director in compliance with this section and 40 CFR part 3 
(including, in all cases, subpart D to part 3), 40 CFR 122.22, and 40 
CFR part 127. As of December 21, 2020 all reports submitted in 
compliance with this section must be submitted electronically in 
compliance with this section and 40 CFR part 3 (including, in all 
cases, subpart D to part 3), 40 CFR 122.22, and 40 CFR part 127. Part 
127 is not intended to undo existing requirements for electronic 
reporting. Prior to the start dates for electronic reporting (see Table 
1 in 40 CFR 127.16), the Director may also require operators to 
electronically submit annual reports under this section if required to 
do so by state law.
* * * * *

0
31. Revise Sec.  503.28 to read as follows:


Sec.  503.28  Reporting.

    Class I sludge management facilities, POTWs (as defined in 40 CFR 
501.2) with a design flow rate equal to or greater than one million 
gallons per day, and POTWs that serve 10,000 people or more shall 
submit a report on February 19 of each year. As of December 21, 2016 
all reports submitted in compliance with this section must be submitted 
electronically by the operator to EPA when the Regional Administrator 
is the Director in compliance with this section and 40 CFR part 3 
(including, in all cases, subpart D to part 3), 40 CFR 122.22, and 40 
CFR part 127. As of December 21, 2020 all reports submitted in 
compliance with this section must be submitted electronically in 
compliance with this section and 40 CFR part 3 (including, in all 
cases, subpart D to part 3), 40 CFR 122.22, and 40 CFR part 127. Part 
127 is not intended to undo existing requirements for electronic 
reporting. Prior to the start dates for electronic reporting (see Table 
1 in 40 CFR 127.16), the Director may also require operators to 
electronically submit annual reports under this section if required to 
do so by state law.

0
32. Revise Sec.  503.48 to read as follows:


Sec.  503.48  Reporting.

    Class I sludge management facilities, POTWs (as defined in Sec.  
501.2 of this chapter) with a design flow rate equal to or greater than 
one million gallons per day, and POTWs that serve a population of 
10,000 people or greater shall submit a report on February 19 of each 
year. As of December 21, 2016 all reports submitted in compliance with 
this section must be submitted electronically by the operator to EPA 
when the Regional Administrator is the Director in compliance with this 
section and 40 CFR part 3 (including, in all cases, subpart D to part 
3), 40 CFR 122.22, and 40 CFR part 127. As of December 21, 2020 all 
reports submitted in compliance with this section must be submitted 
electronically in compliance with this section and 40 CFR part 3 
(including, in all cases, subpart D to part 3), 40 CFR 122.22, and 40 
CFR part 127. Part 127 is not intended to undo existing requirements 
for electronic reporting. Prior to the start dates for electronic 
reporting (see Table 1 in 40 CFR 127.16), the Director may also require 
operators to electronically submit annual reports under this section if 
required to do so by state law.

[FR Doc. 2015-24954 Filed 10-21-15; 8:45 am]
BILLING CODE 6560-50-P