[Federal Register Volume 81, Number 175 (Friday, September 9, 2016)]
[Rules and Regulations]
[Pages 62395-62397]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-21204]


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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 127

[FRL-9951-76-OECA]


NPDES Electronic Reporting Rule Implementation Guidance

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of guidance.

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SUMMARY: The U.S. Environmental Protection Agency (EPA) recently 
promulgated the NPDES Electronic Reporting Rule (``final rule'') to 
modernize Clean Water Act reporting for municipalities, industries, and 
other facilities by converting to an electronic data reporting system. 
This final rule requires regulated entities and state and Federal 
regulators to use existing, available information technology to 
electronically report data required by the National Pollutant Discharge 
Elimination System (NPDES) permit program instead of filing written 
paper reports.
    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. 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.
    The final rule requires EPA to publish 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. This Federal 
Register document provides an overview of the ``initial recipient'' 
term as well as the listing of the initial recipients by state, tribe, 
and territory and by NPDES data group and the due date for NPDES 
electronic data submissions. In accordance with the final rule, EPA 
will update this listing on its Web site and in the Federal Register if 
there are any changes.

DATES: September 9, 2016.

FOR FURTHER INFORMATION CONTACT: For additional information, please 
contact Mr. Carey A. Johnston (202-566-1014), Office of Compliance 
(mail code

[[Page 62396]]

2222A), Environmental Protection Agency, 1200 Pennsylvania Avenue NW., 
Washington, DC 20460; email address: [email protected].

SUPPLEMENTARY INFORMATION:

I. Overview of the Initial Recipient Designation Process

    Under the NPDES Electronic Reporting Rule (``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) (see 22 
October 2015; 80 FR 64064). For the final rule, the term ``initial 
recipient'' means the governmental entity, either the authorized state, 
territory, or tribe, or EPA, who first receives the NPDES program data 
listed in Appendix A to 40 CFR 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 [see 40 CFR 127.27(c)]. Identification 
of the initial recipient for each NPDES data group is also included as 
a new NPDES permit standard condition, which authorized NPDES programs 
must include in NPDES permits [see 40 CFR part 122.41(l)(9)].
    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. Below is the process for identifying 
the initial recipient.
     As of the effective date of the final rule (21 December 
2015), the initial recipient determination is an `opt-out' process for 
authorized state, tribe, or territory NPDES programs. Per section 
127.27(a), an authorized NPDES program must notify EPA within 120 days 
of the effective date of the final rule (19 April 2016) if it wishes 
EPA to be the initial recipient for a particular NPDES data group. EPA 
received six such notices from authorized NPDES programs. For all other 
authorized NPDES programs, EPA is designating 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 127.27(c)].
     There is also a process in Section 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. Section 127.27(d)(4) states 
that, ``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 and publish the revised initial recipient 
listing on its Web site and in the Federal Register.
    It should be noted that authorized NPDES programs will continue to 
retain their responsibilities to facilitate electronic reporting even 
when an authorized NPDES program elects for EPA be the initial 
recipient for one or more NPDES data groups. Regardless of the initial 
recipient status, EPA does not take over any permitting, compliance 
monitoring, or enforcement activities from the authorized NPDES 
program. In particular, the authorized NPDES program will:
     Maintain the primary roles and responsibility for 
implementing and enforcing the NPDES program;
     Retain the responsibility for outreach and training NPDES-
regulated entities on how to register and use the appropriate 
electronic reporting tools;
     Retain data steward responsibilities (including review and 
processing error correction requests); and
     Retain the responsibility for review and processing 
electronic reporting waiver requests.

EPA will continue to assist authorized NPDES programs with their 
training and outreach needs as well as provide other support so that 
authorized NPDES programs can fully understand and use EPA's electronic 
reporting systems and thereby provide effective support to NPDES-
regulated entities.
    The interaction between the CROMERR requirements and the initial 
recipient requirements in the final rule should be noted.\1\ 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 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, territory, or tribe for a particular 
data group switches from EPA to the state, then those NPDES-regulated 
entities in that data group in that state, territory, or tribe 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

[[Page 62397]]

authorized NPDES program's electronic reporting systems. However, if a 
state, territory, or tribe is already using EPA's electronic reporting 
systems, the regulated entities would not need to register again as the 
NPDES-regulated entity will be using the same electronic reporting tool 
(i.e., no change in the subscriber agreement that accompanies the 
electronic reporting tool).
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    \1\ 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).
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II. Listing of the Initial Recipients for NPDES Electronic Reporting

    The final rule requires EPA to publish 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 [see 40 CFR 127.27(c)]. 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. The final rule requires authorized NPDES programs to 
send EPA an opt-out notice by 19 April 2016. The following is a list of 
the six states that sent an opt-out notice to EPA. These notices are 
posted on EPA's Web site that provides implementation information.

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                                                                                           State elected for EPA
                                     State elected for EPA                                     to be initial
                                         to be initial       State elected for EPA to be   recipient for program
               State                 recipient for general    initial recipient for DMRs    reports (NPDES Data
                                     permit reports (NPDES     (NPDES Data Group No. 3)     Group Nos. 4 through
                                       Data Group No. 2)                                            10)
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Georgia............................  Yes (All)............  Yes..........................  Yes (All).
Nebraska...........................  Yes (All)............  Yes..........................  Yes (All).
New Jersey.........................  No...................  No...........................  Yes (only for CAFO
                                                                                            Annual Program
                                                                                            Report).
North Carolina.....................  Yes (only for Low      No...........................  No.
                                      Erosivity Waivers
                                      and No Exposure
                                      Certifications).
Oregon.............................  Yes (All)............  Yes..........................  Yes (All).
Rhode Island.......................  Yes (All)............  Yes..........................  Yes (All).
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Note: Although not required as the initial recipient process is an `opt-out' process, Tennessee sent notice to
  EPA that they intend to be the Initial Recipient for all NPDES data groups.

    State that have elected for EPA to be the Initial Recipient for all 
of the NPDES data groups will be using EPA's electronic reporting tools 
(e.g., NetDMR, NeT) and NPDES data system (ICIS-NPDES). It should be 
noted that Georgia and Rhode Island elected to use EPA's NetDMR and 
NPDES data system (ICIS-NPDES) prior to the effective date of the final 
rule. Consequently, NPDES-regulated entities in these two states that 
are already using NetDMR will not need to take any additional actions 
in response to Georgia and Rhode Island designating EPA as the Initial 
Recipient for DMRs (NPDES Data Group No. 3). In accordance with the 
final rule (see 40 CFR 127.16), NPDES-regulated entities in Nebraska 
and Oregon will need to register and start using NetDMR prior to the 
Phase 1 electronic reporting deadline (21 December 2016). New Jersey 
has elected for EPA to be the Initial Recipient for the Concentrated 
Animal Feeding Operation (CAFO) Annual Program Report [see 40 CFR 
122.42(e)(4)]. In accordance with the final rule, CAFOs in New Jersey 
will need to register and start using NeT to submit their CAFO Annual 
Program Report prior to the Phase 2 electronic reporting deadline (21 
December 2020). Finally, North Carolina has elected for EPA to be the 
Initial Recipient for Low Erosivity Waivers (LEWs) [see Exhibit 1 to 40 
CFR 122.26(b)(15)] and No Exposure Certifications (NOEs) [see 
122.26(g)]. In accordance with the final rule, facilities in North 
Carolina will need to register and start using NeT to submit their LEWs 
and NOEs prior to the Phase 2 electronic reporting deadline (21 
December 2020).
    For all other authorized NPDES programs not in the above table, the 
authorized state, tribe, or territorial NPDES program is the initial 
recipient for the NPDES programs and NPDES permits that it administers. 
For example, Arkansas will be the initial recipient for all NPDES Data 
Groups except for the Sewage Sludge/Biosolids Annual Program Reports 
[40 CFR part 503], as Arkansas is not authorized for the Federal 
Biosolids NPDES program. Likewise, Colorado will be the initial 
recipient for all NPDES Data Groups except for:
     Sewage Sludge/Biosolids Annual Program Reports [40 CFR 
part 503],
     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)], and
     All NPDES reporting for Federal facilities.
    Colorado is not authorized for the Federal Biosolids or 
Pretreatment NPDES programs and Colorado is not the NPDES permitting 
authority for Federal facilities in Colorado. It should be noted that 
EPA will be the initial recipient for all NPDES-regulated entities 
where EPA is the permitting authority or authorized NPDES program. A 
full listing of NPDES program authorization for each state is available 
on EPA's Web site (https://www.epa.gov/npdes/npdes-state-program-information).

    Dated: August 24, 2016.
David Hindin,
Director, Office of Compliance, Office of Enforcement and Compliance 
Assurance.
[FR Doc. 2016-21204 Filed 9-8-16; 8:45 am]
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