EPA Deliberative Draft – Do Not Distribute, Copy, or Cite 

PROTOTYPE PESTICIDES GENERAL PERMIT 

United States Environmental Protection Agency (EPA) 

National Pollutant Discharge Elimination System (NPDES) 

PESTICIDE GENERAL PERMIT (PGP) FOR POINT SOURCE DISCHARGES 

FROM THE APPLICATION OF PESTICIDES 

AUTHORIZATION TO DISCHARGE UNDER THE 

NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM 

In compliance with the provisions of the Clean Water Act (CWA), as amended (33 U.S.C. 

1251 et seq.), any operator of a point source discharge of pollutants associated with the 

application of pesticides who: 

• Is located in an area identified in Appendix C where this permit is available, 

• Is eligible for permit coverage under Part 1.1, and 

• If required by Part 1.2.2, submits a complete and accurate Notice of Intent (NOI) 

is authorized to discharge in accordance with the requirements of this permit. 

 

This permit becomes effective on [April 9, 2011]. 

This permit and the authorization to discharge expire at midnight, [April 8, 2016]. 

, Director, Office of Ecosystem Protection 

EPA Region 1 

, Director, Division of Environmental Planning 

and Protection 

EPA Region 2 

, Division Director, Caribbean Environmental 

Protection Division 

EPA Region 2 

, Director, Water Protection Division 

EPA Region 3 

, Director 

EPA Region 4 

, Director, Water Division 

EPA Region 5 

, Director, Water Quality Protection Division 

EPA Region 6 

, Director 

EPA Region 7 

, Director 

EPA Region 8 

, Director, Water Division 

EPA Region 9 

, Director, Office of Water and Watersheds 

EPA Region 10 
Table of Contents

1.0 Coverage under This Permit.................................................................................. 1 

1.1 Eligibility.............................................................................................................. 1 

1.1.1 Activities Covered ........................................................................................ 1 

1.1.2 Limitations on coverage .............................................................................. 1 

1.2 Authorization to Discharge under This Permit................................................ 2 

1.2.1 How to Obtain Authorization ..................................................................... 2 

1.2.2 Operators Required to Submit Notices of Intent (NOIs) ......................... 2 

1.2.3 Discharge Authorization Date .................................................................... 3 

1.2.4 Continuation of this Permit ........................................................................ 4 

1.2.5 Terminating Coverage................................................................................. 4 

1.3 Alternative Permits............................................................................................. 5 

1.3.1 EPA Requiring Coverage under an Alternative Permit .......................... 5 

1.3.2 Permittee Requesting Coverage under an Alternative Permit................ 5 

1.4 Severability .......................................................................................................... 6 

2.0 Technology-Based Effluent Limitations ............................................................... 6 

2.1 Mosquito Control (Adulticides and Larvicides)............................................... 6 

2.1.1 Minimize Pesticide Discharges into Waters of the United States............ 6 

2.1.2 Identify the Problem.................................................................................... 7 

2.1.3 Source Reduction and Habitat Modification............................................. 7 

2.1.4 Pest Surveillance .......................................................................................... 7 

2.1.5 Pesticide Use ................................................................................................. 8 

2.1.6 Education and Prevention........................................................................... 8 

2.2 Aquatic Weed Control in Lakes and Ponds ..................................................... 9 

2.2.1 Minimize Pesticide Discharges into Waters of the United States............ 9 

2.2.2 Identify the Problem.................................................................................... 9 

2.2.3 Mechanical Control, Biological Control, and Habitat Modification....... 9 

2.2.4 Pest Surveillance ........................................................................................ 10 

2.2.5 Pesticide Use. .............................................................................................. 10 

2.2.6 Education and Prevention......................................................................... 10 

3.0 Water Quality-Based Effluent Limitations ........................................................ 11 

4.0 (merged with Section 2)........................................................................................ 11 

5.0 Corrective Action.................................................................................................. 11 

5.1 Situations Requiring Revision of Control Measures..................................... 11 

5.2 Corrective Action Deadlines............................................................................ 12 

5.3 Corrective Action Reporting and Documentation......................................... 12 

5.3.1 Reporting and Documentation for Adverse Incidents............................ 12 

5.3.2 Documentation for Other Situations........................................................ 12 

6.0 Integrated Pest Management (IPM) Plan........................................................... 13 

6.1 Contents of Your IPM Plan ............................................................................. 13 

6.1.1 Mosquito Control (Adulticide and Larvicide)......................................... 13 

6.1.2 Aquatic Weed Control in Lakes and Ponds ............................................ 14 

6.1.3 Schedules and Procedures......................................................................... 16 

6.1.4 Documentation to Support Eligibility Considerations Under Other 

Federal Laws ........................................................................................................... 17 

6.1.5 Signature Requirements............................................................................ 17 
6.2 IPM Plan Modifications ................................................................................... 17 

6.3 IPM Plan Availability....................................................................................... 17 

7.0 Documentation ...................................................................................................... 17 

8.0 Site Monitoring...................................................................................................... 17 

8.1 Routine Visual Monitoring .............................................................................. 17 

8.1.1 Visual Monitoring Requirements............................................................. 17 

8.1.2 Frequency ................................................................................................... 18 

8.1.3 Observable Impacts................................................................................... 18 

8.1.4 Report of Findings ..................................................................................... 18 

8.2 Enhanced Monitoring....................................................................................... 19 

8.2.1 Pesticides Requiring Enhanced Monitoring............................................ 19 

8.2.3 Frequency of Enhanced Monitoring ........................................................ 19 

8.3 Additional EPA Monitoring............................................................................. 19 

9.0 Reporting ............................................................................................................... 20 

9.1 Annual Report................................................................................................... 20 

9.2 Adverse Incident Reporting............................................................................. 20 

10.0 Recordkeeping..................................................................................................... 21 

11.0 EPA Addresses.................................................................................................... 23 

11.1 Regional Addresses......................................................................................... 23 

11.2 State and Tribal Addresses............................................................................ 25 

12.0 State, Indian, Territory Requirements............................................................. 25 

Appendix A - Definitions and Acronyms...................................................................... 26 

Appendix B - Standard Permit Conditions .................................................................. 27 

Appendix C - Areas Covered ......................................................................................... 37 

Appendix D - Endangered Species Procedures............................................................ 40 

Appendix E - Historic Properties Preservation Procedures....................................... 41 

Appendix F - Notice of Intent Form.............................................................................. 42 

Appendix G - Notice of Termination Form.................................................................. 43 

Appendix H - Annual Report Form .............................................................................. 44 
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1.0 Coverage under This Permit 

1.1 Eligibility. 

1.1.1 Activities Covered. This permit is applicable to discharges from the 

application of pesticides, including the following pesticide use patterns: 

• Mosquito Control (Larvicide and Adulticide) 

• Aquatic Weed Control in Lakes and Ponds 

• [Additional use patterns to be identified in draft permit.] 

1.1.1.1 Biological Pesticides. An operator may be eligible for 

coverage under this permit if, through an application of 

biological pesticides, you discharge the pesticide to, over, 

including near, waters of the United States. 

1.1.1.2 Chemical Pesticides. An operator may be eligible for 

coverage under this permit, if through an application of 

chemical pesticides that after the pesticide has performed 

its intended purpose has a residual of the pesticide that is 

discharged to, over, including near, waters of the United 

States. 

[NOTE: need language to address FIFRA exempted 

chemical pesticides under 25(b)] 

1.1.2 Limitations on coverage 

1.1.2.1 Discharges to Water Quality Impaired Waters. An operator is 

not eligible for coverage under this permit for discharges to 

waters identified as impaired for the pesticide or its degradatants 

for which the waterbody is impaired. Impaired waters are those 

which have been identified by a State or EPA pursuant to Section 

303(d) of the CWA as not meeting applicable State water quality 

standards. Impaired waters may include both waters with EPAapproved and EPA-established Total Maximum Daily Loads 

(TMDLs) and those for which EPA has not yet approved or 

established a TMDL. (http://www.epa.gov/OWOW/tmdl/) 

1.1.2.2 Discharges to Waters Designated as Tier 3 for Antidegradation 

Purposes. You are not eligible for coverage under this permit 

for discharges to waters designated by a State or Tribe as Tier 3 

(outstanding natural resource waters) for anti-degradation 

purposes under 40 CFR 131.13(a)(3) (see list of Tier 3 waters on 

EPA’s website at http://www.epa.gov/npdes/agriculture). 

1.1.2.3 Discharges of Equipment Rinsate or Washwaters. You are not 

eligible for coverage under this permit for discharges of 

equipment rinsate or washwaters except where that rinsate or 
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washwater is used in a subsequent batch of pesticide product that 

is to be applied in compliance with all applicable Federal, State, 

and local requirements. 

1.1.2.4 Discharges Currently or Previously Covered by another 

Permit. You are not eligible for coverage under this permit for 

any of the following:

• Discharges currently covered under another NPDES permit 

• Discharges covered within five years prior to the effective 

date of this permit by an individual permit or alternative 

general permit where that permit established site-specific 

numeric water quality-based limitations

• Discharges from activities where any NPDES permit has 

been or is in the process of being denied, terminated, or 

revoked by EPA (this does not apply to the routine reissuance 

of permits every five years). 

1.1.2.5 Endangered and Threatened Species and Critical Habitat 

Protection [in development] 

1.1.2.6 Historic Properties Preservation. [in development]

1.2 Authorization to Discharge under This Permit 

1.2.1 How to Obtain Authorization 

To obtain authorization under this permit an operator, must 

• Meet the eligibility requirements identified in Part 1.1, 

• If you are an operator identified in Part 1.2.2, 

o Submit a complete and accurate Notice of Intent (NOI), and 

o Develop an Integrated Pest Management (IPM) plan according to the 

requirements in Part 6.0 of this permit. 

1.2.2 Operators Required to Submit Notices of Intent (NOIs) 

The following operators are required to submit a Notice of Intent to obtain 

coverage under this general permit: 

• A “responsible entity” conducting or authorizing the application of pesticides 

on or over, including near waters of the United States resulting in more than X 

total water-acre treatments during coverage under this permit cycle – e.g., 5 

years. 

• Any applicator conducting the application of pesticides resulting in more than 

Y total water-acre treatments during coverage under this permit cycle for 

persons who themselves did not need to file an NOI. 
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The “responsible entity,” would be the organization responsible for deciding to 

conduct the pesticide applications, as opposed to the person performing the 

applications. 

Operators who meet the eligibility provisions outlined in Part 1.1 of this permit 

and will meet the X total water-acre treatments threshold to file an NOI must 

develop an IPM Plan and file an NOI prior to the pesticide application which 

results in exceeding the threshold. 

 

An operator may submit an NOI to EPA using either the electronic Notice of 

Intent (eNOI) system (accessible at www.epa.gov/npdes/eNOI) or the paper form 

included in Appendix F of this permit to the address listed in Part 11.0. EPA 

strongly encourages you to prepare and submit your NOI using eNOI. EPA will 

post on the Internet, at www.epa.gov/npdes/noisearch, all NOIs received. Late 

NOIs will be accepted, but authorization to discharge will not be retroactive. NOI 

submissions must be in accordance with the deadlines in Part 1.2.3. 

1.2.3 Discharge Authorization Date 

On April 9, 2011 and thereafter, operators must have a permit to apply chemical or 

biological pesticides on, over, including near waters of the U.S. Operators meeting the 

eligibility provisions outlined in Part 1.1 who are not required to submit an NOI are 

authorized to discharge immediately consistent with the requirements of this permit. 

Operators required to submit an NOI, as identified in Part 1.2.2, are authorized to 

discharge under this permit as follows: 

Category NOI Deadline Discharge Authorization Date 1

Operators commencing 

operation on April 9, 2011 

No later than March 

30, 2011 

April 9, 2011. 

Operators commencing 

operation after April 9, 

2011 

At least 10 days prior 

to commencement of 

discharge 

10 days after complete NOI 

received and posted by EPA. 

Operators commencing 

operation to respond to a 

state or local declared 

public health emergency 

Within 30 days of the 

discharge2

1

 Based on a review of your NOI or other information, EPA may delay your authorization for 

further review, notify you that additional effluent limitations are necessary, or may deny 

coverage under this permit and require submission of an application for an individual NPDES 

permit, as detailed in Part 1.3. In these instances, EPA will notify you in writing of the delay, 

of the need for additional effluent limits, or of the request for submission of an individual 

NPDES permit application. 

2

 In the event that a discharge occurs prior to your submitting an NOI, you must comply with 

all other requirements of this permit.
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All other operators meeting the eligibility requirements in Part 1.1 are authorized to 

discharge immediately consistent in compliance with the requirements of this permit. 

1.2.4 Continuation of this Permit

If this permit is not reissued or replaced prior to the expiration date, it will be 

administratively continued in accordance with 40 CFR 122.6 and remain in force and 

effect. If you were authorized to discharge under this permit prior to the expiration date, 

any discharges authorized under this permit will automatically remain covered by this 

permit until the earliest of: 

1. Your authorization for coverage under a reissued permit or a replacement 

of this permit following your timely and appropriate submittal of a 

complete NOI requesting authorization to discharge under the new permit 

and compliance with the requirements of the NOI; or 

2. Your submittal of a Notice of Termination; or 

3. The issuance or denial of an individual permit for a discharge of pesticides 

that would not be covered under this permit; 

4. A formal permit decision by EPA not to reissue this general permit, at 

which time EPA will identify a reasonable time period for covered 

dischargers to seek coverage under an alternative general permit or an 

individual permit. Coverage under this permit will cease at the end of this 

time period. 

1.2.5 Terminating Coverage 

1.2.5.1 Submitting a Notice of Termination

To terminate permit coverage, the operator who is required to submit an NOI as 

identified in Part 1.2.2, must submit a complete and accurate Notice of Termination either 

electronically (strongly encouraged) at www.epa.gov/npdes/eNOI or using the paper 

Notice of Termination form included in Appendix G of this permit, to the address listed 

in Part 11.0. Your authorization to discharge under this permit terminates at midnight of 

the day that a complete Notice of Termination is processed and posted on EPA’s website 

(www.epa.gov/npdes/noisearch). If you submit a Notice of Termination without meeting 

one or more of the conditions identified in Part 1.2.5.2, then your Notice of Termination 

is not valid. You are responsible for meeting the terms of this permit until your 

authorization is terminated. 

1.2.5.2 When to Submit a Notice of Termination 
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You must submit a Notice of termination within 30 days after one or more of the 

following conditions have been met: 

1. A new operator has taken over responsibility for the pest treatment; or 

2. You have ceased aquatic pesticide application for which you obtained 

permit coverage or there are not or no longer will be pesticide discharge; 

or 

3. You have obtained coverage under an individual permit or an alternative 

general permit for all discharges required to be covered by an NPDES 

permit, unless you obtained coverage under authority of Part 1.3.1, in 

which case coverage under this permit will terminate automatically. 

1.3 Alternative Permits 

1.3.1 EPA Requiring Coverage under an Alternative Permit

EPA may require you to apply for and/or obtain authorization to discharge under either 

an individual NPDES permit or an alternative NPDES general permit in accordance with 

40 CFR 122.64 and 124.5. Any interested person may petition EPA to take action under 

this paragraph. If EPA requires you to apply for an individual NPDES permit, EPA will 

notify you in writing that a permit application is required. This notification will include a 

brief statement of the reasons for this decision and will provide application information. 

In addition, if you are an existing discharger authorized to discharge under this permit, 

the notice will set a deadline to file the permit application, and will include a statement 

that on the effective date of the individual NPDES permit, or the alternative general 

permit as it applies to you, coverage under this general permit will terminate. EPA may 

grant additional time to submit the application if you request it. If you are covered under 

this permit and fail to submit an individual NPDES permit application as required by 

EPA, then the applicability of this permit to you is terminated at the end of the day 

specified by EPA as the deadline for application submittal. EPA may take appropriate 

enforcement action for any unpermitted discharge. 

1.3.2 Permittee Requesting Coverage under an Alternative Permit

You may request to be excluded from coverage under this general permit by applying for 

an individual permit. In such a case, you must submit an individual permit application in 

accordance with the requirements of 40 CFR 122.26(c)(1)(ii), with reasons supporting the 

request, to EPA at the applicable EPA Regional Office listed in Part 11 of this permit. 

The request may be granted by issuance of an individual permit or authorization of 

coverage under an alternative general permit if your reasons are adequate to support the 

request. 

When an individual NPDES permit is issued to you or you are authorized to discharge 

under an alternative NPDES general permit, your authorization to discharge under this 
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permit is terminated on the effective date of the individual permit or the date of 

authorization of coverage under the alternative general permit. 

1.4 Severability 

Invalidation of a portion of this permit does not necessarily render the whole permit 

invalid. EPA’s intent is that the permit is to remain in effect to the extent possible; in the 

event that any part of this permit is invalidated, EPA will advise the regulated community 

as to the effect of such invalidation. 

2.0 Technology-Based Effluent Limitations 

You must implement control measures (including best management practices). Control 

measures are the specific actions taken to comply with the technology-based effluent 

limits in Part 2.0. Implementation of these control measures must be in accordance with 

the best industry practices, the equipment manufacturer’s specifications, and IPM 

principles. If you find that your control measures are not minimizing pollutant 

discharges, you must modify these control measures as expeditiously as practicable. In 

addition to the technology-based effluent limitations contained in Part 2, there are 

documentation and record keeping permit conditions in Part 10. 

2.1. Mosquito Control (Adulticides and Larvicides)

2.1.1. Minimize Pesticide Discharges into Waters of the United States. To 

minimize the discharge of pollutants into waters of the United States, you 

must do the following in connection with application of pesticides for 

mosquito control: [NOTE: clarify in fact sheet that the permittee must comply 

with all applicable laws, including FIFRA.] 

2.1.1.1. Reduce discharges from pesticide applications to the extent achievable 

using control measures (including best management practices) that are 

technologically available and economically practicable and achievable in 

light of best industry practice. [NOTE: discuss in the fact sheet – control 

measures include considerations of Biological, physical, cultural, mechanical, 

behavioral and chemical controls in appropriate combinations] 

2.1.1.2. Use the lowest amount of pesticide product per application and lowest 

number of application per season necessary to effectively control the 

target pest. [NOTE: define season] 

2.1.1.3. Do not apply adulticides over waters of the United States, except when 

necessary to target areas where adult mosquitoes are present, and when 

weather conditions will facilitate movement of pesticide product away 

from the water to minimize incidental deposition into the water body. 

[NOTE: Fact sheet could include a discussion of unavoidable as 

incidental deposition. Just an idea] 
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2.1.2. Identify the Problem. If you are required to submit an NOI, prior to the first 

application covered under this permit and prior to the first application each 

season for each treatment area, you must: 

2.1.2.1. Establish mosquito densities, both larval and adult, which serve as action 

threshold for pesticide application. 

2.1.2.2. Identify mosquito species in order to develop a best control strategy 

based on developmental and behavioral considerations for each species. 

2.1.2.3. Identify known and potential breeding sites for source reduction utilizing 

habitat modification 

2.1.2.4. Identify known and potential breeding sites which are suitable for source 

reduction utilizing a larval control program. 

In the event that any of the permit conditions in 2.1.2.2 – 2.1.2.4 is not feasible, you 

must document why you are unable to comply with the condition. (See Part 6) 

2.1.3. Source Reduction and Habitat Modification. If you are required to submit 

an NOI, you must do the following prior to pesticide application: 

2.1.3.1. Remove, drain, and/or prevent mosquito entry to substrates used for 

oviposition and larval development (e.g., containers, tires, etc.). 

2.1.3.2. Use water management practices (e.g., improving drainage, periodic 

draining, ditching, impounding, frequency and duration of flooding, 

water circulation, water depth management (predator habitat), etc.). 

[NOTE: Clarify in the fact sheet water management practices do not 

include filling in wetlands.] 

2.1.3.3. Use vegetation management practices to eliminate or reduce mosquito 

habitat (e.g. mowing, grazing, aquatic herbicides, and biological 

control). 

2.1.3.4. Maintain and promote biological control by encouraging site-specific 

predator populations (e.g. larvivorous fish), growth regulators (e.g. 

methoprene), and bacteria (e.g. Bti). [NOTE: discuss enhance biological 

control in the fact sheet] 

2.1.3.5. Manage mosquitoes breeding sites in waters such as puddles, farm 

ponds, or roadside ditches, etc., that are not waters of the United States 

to reduce migration to near areas. 

In the event that any of the permit conditions in 2.1.3.1 – 2.1.3.5 is not feasible, you 

must document why you are unable to comply with the condition. (See Part 6) 

2.1.4. Pest Surveillance. If you are required to submit an NOI, you must conduct 

surveillance prior to each pesticide application to assess the treatment area and 

to determine when pre-established conditions (pest action threshold) are met 

which necessitate the need for pest control measures and conduct surveillance 

after each pesticide application to determine effectiveness of the treatment. 

You must do the following: 
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2.1.4.1. Conduct larval surveillance using best industry practices to quantify 

mosquito densities (e.g. mosquitoes per dip, per unit volume, or per unit 

surface area). 

2.1.4.2. Conduct adult surveillance using best industry practices (e.g. light traps, 

resting site traps, vehicle traps, egg collection traps, or landing count 

rates) to determine species composition, distribution, and abundance. 

2.1.4.3. Monitor environmental conditions (e.g. temperature, precipitation, and 

wind speed impacting the treatment area) in the treatment area from a 

weather station(s) as close to the treatment area(s) as possible to identify 

conditions which support development of mosquito populations. 

2.1.4.4. Conduct disease surveillance, or use available disease surveillance 

reports to identify disease presence as an indicator of the need to initiate 

an adult control program. 

2.1.4.5. Conduct resistance surveillance to ensure most effective pesticide use. 

2.1.4.6. Analyze surveillance data to identify new/unidentified sources of 

mosquito production as well as sites that have recurring mosquito 

problems. 

In the event that any of the permit conditions in 2.1.4.4 – 2.1.4.6 is not feasible, you 

must document why you are unable to comply with the condition. (See Part 6) 

2.1.5. Pesticide Use. If you are required to submit an NOI, and pesticides are used 

to control mosquitoes in waters of the United States, you must: 

2.1.5.1. Minimize the impact on the environment and non-target organisms by 

minimizing the use of both larvicides and adulticides for mosquito 

control when the action thresholds have been met. 

2.1.5.2. Use larvicides as the primary pesticide for mosquito control. If 

larviciding is inadequate, document [see Part 10, Recordkeeping] why it 

is unsuccessful. 

2.1.5.3. Use adulticides only where the adult action threshold has been met 

and/or under emergency condition (e.g. flooding, disease outbreak). 

2.1.5.4. Ensure that pesticide applicators are trained in proper applications of 

pesticides and in proper response to adverse incidents. [NOTE: same 

training requirements as restricted used applicator??] 

2.1.5.5. Perform regular maintenance activities to minimize potential for leaks, 

spills, and unintended/accidental release of pesticides from both 

pesticide containers and application equipment to waters of the United 

States. [NOTE: consider language to address “to WOUS” for the entire 

section] 

2.1.5.6. Calibrate and maintain equipment to ensure effective application and 

control. [NOTE: clarify in the fact sheet this includes droplet testing for 

adulticide equipment, pesticide label specifications, and equipment 

specifications.] 

2.1.6. Education and Prevention. If you are required to submit an NOI, once a 

year, within thirty days of the first application, you must provide mosquito 
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control information to residents in the treatment area through at least one of 

the following methods: community newspaper, community newsletter, web 

site, television and/or radio. Information must include: 

2.1.6.1. Mosquito avoidance (e.g. avoidance of peak mosquito activity periods, 

wearing protective clothing, applying insect repellents, and window 

screening. 

2.1.6.2. Source reduction: Provide information on eliminating artificially created 

mosquito breeding sites (e.g. open containers, flower pots, bird baths, 

etc.). 

2.1.6.3. Your name and contact information for residents to obtain more 

information. 

2.2 Aquatic Weed Control in Lakes and Ponds. 

2.2.1 Minimize Pesticide Discharges into Waters of the United States. To 

minimize the discharge of pollutants into waters of the United States, you 

must do the following in connection with application of aquatic herbicide to 

lakes and ponds: [NOTE: clarify in fact sheet that the permittee must comply 

with all applicable laws, including FIFRA.]

2.2.1.1 Reduce discharges from pesticide applications to the extent achievable 

using control measures (including best management practices) that are 

technologically available and economically practicable and achievable in 

light of best industry practice.

2.2.1.2 Use the lowest amount of pesticide product per application, lowest total 

amount of pesticide product per season and lowest number of 

applications per season necessary to effectively control the target pest. 

[NOTE: define season]

2.2.2 Identify the Problem. If you are required to submit an NOI, prior to the first 

application covered under this permit and prior to the first application each 

season for each treatment area, you must do the following: 

2.2.2.1 Identify problem weed areas and application areas, including water use 

goals not attained (e.g. wildlife habitat, fisheries, vegetation, and 

recreation);

2.2.2.2 Identify targeted weed species; 

2.2.2.3 Identify possible sources of the problem (e.g., nutrients, invasive 

species, etc.); and [NOTE: Clarify in fact sheet – area by area for 

aquatic weed control? Permittee not responsible for the source of the 

problem]

2.2.2.4 Establish past or present pest weed densities which serve as action 

threshold for pesticide application. 

2.2.3 Mechanical Control, Biological Control, and Habitat Modification. If you 

are required to submit an NOI, you must do the following prior to each 

pesticide application:
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2.2.3.1 Conduct control measures in a manner that minimizes impacts to nontarget species. 

2.2.3.2 Implement mechanical control (e.g. weed removal by hand or machine,);

2.2.3.3 Maintain, enhance, and promote biological control(s); and

2.2.3.4 Use habitat modification practices (e.g. light attenuation); 

In the event that any of the permit conditions in 2.2.3.2 – 2.2.3.4 is not feasible, you 

must document why you are unable to comply with the condition. (See Part 6) 

2.2.4 Pest Surveillance. If you are required to submit an NOI, you must do the 

following:

2.2.4.1 Conduct surveillance prior to each pesticide application to assess the 

treatment area and to determine when pre-established conditions (pest 

action threshold) are met which necessitate the need for pest control 

measures;

2.2.4.2 Conduct surveillance after pesticide application to determine 

effectiveness of the treatment.

2.2.4.3 [NOTE: Is there resistance surveillance for aquatic weeds? Sample 

language - Conduct resistance surveillance to ensure most effective 

pesticide use. In the event that permit condition in 2.2.4.3 is not 

feasible, you must document why you are unable to comply with the 

condition. (See Part 6)]

2.2.5 Pesticide Use. If you are required to submit an NOI and pesticides are used to 

control weeds in lakes and ponds, you must: 

2.2.5.1 Minimize the impact on the environment and non-target organisms by 

minimizing the use of pesticides for aquatic weed control in lakes and 

ponds when the action thresholds (see Part 2.2.2.4) have been met. 

2.2.5.2 Ensure that pesticide applicators are trained in proper applications of 

pesticides and in proper response to adverse incidents. 

2.2.5.3 Perform regular maintenance activities to minimize potential for leaks, 

spills, and unintended/accidental releases of pesticides from both 

pesticide containers and application equipment to waters of the United 

States. [NOTE: consider language to address “to WOUS” for the entire 

section]

2.2.5.4 Calibrate and maintain equipment to ensure effective application and 

control. [NOTE: clarify in the fact sheet this includes pesticide label 

specifications and equipment specifications.] 

2.2.6 Education and Prevention. If you are required to submit an NOI, you must 

do the following: 

2.2.6.1 Once a year, within thirty days of the first application you must provide 

the following information to users surrounding the treatment area 

through at least one of the following: community newspaper, community 

newsletter, web site, pamphlet, television and/or radio. Information 
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must include: [NOTE: for written materials – letter/pamphlet, how 

should it be distributed. Mailing? Posting?]

2.2.6.1.1 Accidental weed introduction avoidance; [NOTE: explain 

in the fact sheet public’s role in weed management.]

2.2.6.1.2 The nutrient availability in weed occurrence and 

abundance; and 

2.2.6.1.3 Your name and contact information for users to obtain 

more information. 

2.2.6.2 Prior to each pesticide application, you must post, near a public access 

point, the following information to users surrounding the treatment area:

[NOTE: specify here or in the fact sheet sign size and letter size] 

2.2.6.2.1 Pesticide application dates;

2.2.6.2.2 The pesticide product(s) (including product name, EPA 

registration numbers, label human hazard warnings) being 

used for aquatic weed control;

2.2.6.2.3 Targeted weed species;

2.2.6.2.4 Water-use restrictions; and

2.2.6.2.5 Time-frame for the water-use restrictions.

3.0 Water Quality-Based Effluent Limitations 

Your discharge must be controlled as necessary to meet applicable numeric and narrative 

state water quality standards. 

If at any time you become aware, or EPA determines, that your discharge causes or 

contributes to an exceedance of applicable water quality standards, you must take 

corrective action as required in Part XX. 

EPA may impose additional water quality-based limitations or require you to obtain 

coverage under an individual permit, if information in your NOI, required reports, or 

from other sources indicates that your discharges are not controlled as necessary to meet 

applicable water quality standards. 

4.0 (merged with Section 2)

5.0 Corrective Action 

5.1 Situations Requiring Revision of Control Measures

If any of the following situations occur, you must review and revise the selection and 

implementation of your control measures to ensure that the situation is eliminated and will 

not be repeated in the future: 

- an unauthorized release or discharge (e.g., spill, leak, or discharge not authorized 

by this or another NPDES permit) occurs; 

- you become aware, or EPA determines, that your control measures are not 

stringent enough for the discharge to meet applicable water quality standards; 
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- an inspection or evaluation of your activities by an EPA official, or local, State, 

or Tribal entity, determines that modifications to the control measures are 

necessary to meet the non-numeric effluent limits in this permit; 

- you find in any inspection that your control measures are not being properly 

operated and maintained; or 

- you become aware of an adverse incident (e.g. fish kill) in the receiving water 

resulting from your discharge. 

5.2. Corrective Action Deadlines 

You must document your discovery of any of the conditions listed in Parts 5.1 within 

24 hours of making such discovery. Subsequently, within 14 days of such discovery, you 

must document any corrective action(s) to be taken to eliminate or further investigate the 

deficiency. Specific documentation and other procedures required within 24 hours and 14 

days is detailed in Part 5.3. If you determine that changes are necessary they must be made 

before the next pesticide application that results in a discharge, or as soon as practicable. 

These time intervals are not grace periods, but are schedules considered reasonable for 

documenting your findings and for making repairs and improvements. They are included in 

this permit to ensure that the conditions prompting the need for these repairs and 

improvements are not allowed to persist indefinitely. 

5.3 Corrective Action Reporting and Documentation 

5.3.1 Reporting and Documentation for Adverse Incidents 

For any adverse incident, you must immediately notify EPA and the appropriate state 

wildlife or natural resources agency and submit an incident report if you become aware or 

have been informed that as a result of a discharge from your pesticide application that a 

non-target organism suffered a toxic or adverse effect or may suffer a delayed or chronic 

adverse effect in the future. You must report the incident by telephone to the appropriate 

EPA Incident Reporting Contact as identified at www.epa.gov/npdes/agriculture within 

24 hours of your discovery of the adverse event. You must provide a written report of the 

incident to the address listed in Part 11 within 14 days. See Part 9.2 Adverse Incident 

Reporting. 

5.3.2 Documentation for Other Situations 

For situations other than adverse incidents you must document the situation and retain a copy 

of this documentation on site. Within 24 hours of discovery of any condition listed in Part 5.1 

other than an adverse incident, you must document the following information: 

- Identification of the condition triggering the need for corrective action review; 

- A brief description of the circumstances of the situation; and 

- Date the problem was identified. 

Within 14 days of discovery of any condition listed in Part 5.1 other than an adverse incident, 

you must document the following information: 
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- Summary of corrective action taken or to be taken; 

- Notice of whether IPM plan modifications are required as a result of this 

discovery or corrective action; 

- Date corrective action initiated; and 

- Date corrective action completed or expected to be completed. 

6.0 Integrated Pest Management (IPM) Plan 

 If you are required to submit an NOI, you must prepare an IPM plan before 

submitting your NOI for permit coverage. [NOTE: one IPM plan for each treatment 

area? One plan to cover several treatment areas?] The IPM plan does not contain effluent 

limitations; the limitations are contained in Parts 2.0 and 3.0 of the permit. The IPM plan 

is intended to document the selection, design, and installation of control measures. The 

additional documentation requirements (see Part 10) are intended to document the 

implementation (including inspection, maintenance, monitoring, and corrective action) of 

the permit requirements. 

6.1 Contents of Your IPM Plan 

Where your IPM plan refers to procedures in other documents, such as spill control plans, 

copies of the relevant portions of those documents must be kept with your IPM plan. 

6.1.1 Mosquito Control (Adulticide and Larvicide) 

For coverage under this permit for any mosquito control activities, your IPM plan 

must contain all of the following elements: 

6.1.1.1 Pesticide Team 

The IPM plan must identify the staff members (by name or title) that comprise the 

team as well as their individual responsibilities, including: 

a. Staff member(s) responsible for managing pests in relation to the treatment 

area described below; 

b. Staff member(s) responsible for developing and revising the IPM plan; 

c. Staff member(s) responsible for taking corrective actions where required; and 

d. Staff member(s) or for-hire applicator responsible for pesticide applications. 

6.1.1.2 Problem Description 

The IPM must document the targeted pest, including:

a. Description of the targeted mosquito species, if feasible (see Part 2.1.2.2);

b. Description of the known and potential breeding sites for source reduction 

utilizing habitat modification, if feasible (see Part 2.1.2.3.);

c. Description of the known and potential breeding sites which are suitable for 

source reduction utilizing a larval control program; if feasible (see Part 

2.1.2.4);

d. Description of both larval and adult action threshold for pesticide application 

(see Part 2.1.2.1.);

e. Description of the geographic boundaries and waterbodies to which the plan 

applies, including the applicable water quality standards; and 
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f. A general location map (e.g., USGS quadrangle map, a portion of a city or 

county map, or other map) with enough detail to identify the geographic 

boundaries of the area to which the plan applies and location of the treatment 

area and waters of the United States.

6.1.1.3 Control Measures Description 

The IPM plan must document the control measures used/evaluated to minimize 

pesticide discharges into waters of the United States, including:

a. Any source reduction and habitat modification efforts implemented pursuant 

to Part 2.1.3, if feasible; 

b. Pest control measure options. Description of the pesticide and non-pesticide 

treatment methods of controlling pests that may be used, the rationale for 

selecting treatment methods, the benefits and limitations of each treatment 

method, and a description of how a decision to use treatment methods will be 

made.

c. Any alternative control measures that could reduce water quality impacts. 

This should include an evaluation of any non-toxic or less toxic pest control 

methods that could reduce water quality impacts and provide a practicable and 

cost-effective substitute for pesticide application. This evaluation shall 

include an estimate of each alternative’s costs, a review of any known barriers 

to implementing the alternative, and any solutions to overcoming those 

barriers; and

d. Any additional best management practices (BMPs) implemented for 

discharging pesticides for mosquito control to mitigate effects to water 

quality.

6.1.1.4 Pest Surveillance 

The IPM plan must document pre and post pest surveillance procedures, including: 

a. Larval surveillance (see Part 2.1.4.1.);

b. Adult surveillance (see Part 2.1.4.2.);

c. Disease surveillance, if feasible (see Part 2.1.4.4);

d. Resistance surveillance, if feasible (see Part 2.1.4.5)’

e. Procedures to monitor environmental conditions to identify conditions which 

support development of mosquito populations (see Part 2.1.4.3.); and

f. Procedures to analyze surveillance data to identify new/unidentified sources 

of mosquito production as well as sites that have recurring mosquito problems 

(see Part 2.1.4.6).

6.1.1.5 Education and Prevention Efforts 

The IPM must document the education and prevention efforts as required in Part 

2.1.6. 

6.1.2 Aquatic Weed Control in Lakes and Ponds

For coverage under this permit for any aquatic weed control in lakes and ponds, your 

IPM plan must contain all of the following elements: 
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6.1.2.1 Pesticide Team 

The IPM plan must identify the staff members (by name or title) that comprise the 

team as well as their individual responsibilities, including: 

a. Staff member(s) responsible for managing pests in relation to the treatment 

area described below; 

b. Staff member(s) responsible for developing and revising the IPM plan; 

c. Staff member(s) responsible for taking corrective actions where required; and 

d. Staff member(s) or for-hire applicator responsible for pesticide applications. 

6.1.2.2 Problem Description 

The IPM must document the targeted pest, including:

a. Description of the targeted weed species (see Part 2.2.2.2.);

b. Description of the problem weed areas and application areas (see Part 

2.2.2.1.);

c. Description of the possible sources of the problem (see Part 2.2.2.3.);

d. Description of weed action threshold for pesticide application (see Part 

2.2.2.4.);

e. Description of the geographic boundaries and waterbodies to which the plan 

applies, including the applicable water quality standards; and 

f. A general location map (e.g., USGS quadrangle map, a portion of a city or 

county map, or other map) with enough detail to identify the geographic 

boundaries of the area to which the plan applies and location of the treatment 

area and waters of the United States.

6.1.2.3 Control Measures Description 

The IPM plan must document the control measures used/evaluated to minimize 

pesticide discharging into waters of the United States, including:

a. Any mechanical control, biological control, and habitat modification efforts 

implemented pursuant to Part 2.2.3, if feasible; 

b. Pest control measure options. Description of the pesticide and non-pesticide 

treatment methods of controlling pests that may be used, the rationale for selecting 

treatment methods, the benefits and limitations of each treatment method, and a 

description of how a decision to use treatment methods will be made.

c. Any alternative control measures that could reduce water quality impacts. 

This should include an evaluation of any non-toxic or less toxic pest control 

methods that could reduce water quality impacts and provide a practicable and 

cost-effective substitute for pesticide application. This evaluation shall 

include an estimate of each alternative’s costs, a review of any known barriers 

to implementing the alternative, and any solutions to overcoming those 

barriers; and

d. Any additional best management practices (BMPs) implemented for 

discharging pesticides for aquatic weed control to mitigate effects to water 

quality.

6.1.2.4 Pest Surveillance 

The IPM plan must document pre and post pest surveillance procedures as required 

in Part 2.2.4. 
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6.1.2.5 Education and Prevention Efforts 

The IPM must document education and prevention efforts and procedures for posting 

as required by Part 2.2.6. 

6.1.3 Schedules and Procedures

The following schedules and procedures must be documented in your IPM plan: 

6.1.3.1 Spill Prevention and Response Procedures – Procedures for preventing 

and responding to spills and leaks. In lieu of drafting your own spill 

prevention and response procedures, you may reference the existence of 

other plans for spill prevention that were developed for pesticide 

application, provided that you keep a copy of that other plan with your 

IPM plan and make it available for review consistent with Part 6.2. Your 

documentation must include: 

 Description and dates of any incidences of significant spills, leaks, 

or other releases that resulted in discharges of pollutants to a water 

of the United States; 

 Description of the circumstances leading to the release; 

 Actions taken in response to the release; and 

 Measures taken to prevent the recurrence of such releases. 

6.1.3.2 Employee Training – Schedule for all training required by this permit. 

6.1.3.3 Adverse Incident Response Plan - Procedures for responding to incident 

resulting from pesticide applications. Your documentation must identify 

the following: 

 Course of action or responses to any incident resulting from 

pesticide applications; 

 Chain of command notification for the incident, both internal to your 

agency/organization and external; 

 Timelines of responses for the response; 

 State/Federal contacts with phone numbers; 

 Name, location, and telephone of nearest emergency medical 

facility; 

 Name, location, and telephone of nearest hazardous chemical 

responder (including police and fire department); and 

 Name and telephone number for the National Pesticide 

Telecommunications Network at 800-858-7378. 

6.1.3.4 Pesticide Monitoring – Procedures for monitoring consistent with the 

requirements in Part 8.0 including: 

 The process for determining the location of any monitoring; 

 A schedule and procedures for any monitoring; 

 The person (or position) responsible for conducting monitoring; 

and 
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 Procedures for documenting any incidents of noncompliance 

observed. 

6.1.4 Documentation to Support Eligibility Considerations Under Other Federal 

Laws. [to be determined] 

6.1.5 Signature Requirements. 

You must sign and date your IPM plan in accordance with Appendix B, Subsection 

B.11. 

6.2 IPM Plan Modifications 

You must modify your IPM plan whenever necessary to address any of the triggering 

conditions for corrective action in Part 5.1 and to ensure that they do not reoccur, or to 

reflect changes implemented when a review following the triggering conditions in Part 

5.1 indicates that changes to your control measures are necessary to meet the effluent 

limits in this permit. Changes to your IPM plan must be made in accordance with the 

corrective action deadlines in Parts 5.2 and 5.3, and must be signed and dated in 

accordance with Appendix B, Subsection B.11 

You must review your IPM plan each season or whenever necessary to address any 

changes to the treatment area(s). 

6.3 IPM Plan Availability

You must retain a copy of the current IPM plan, along with all supporting maps and 

documents, at the address provided on the NOI and it must be immediately available to 

EPA; a State, Tribal, or local agency governing pesticide applications; and 

representatives of the U.S. Fish and Wildlife Service (USFWS) or the National Marine 

Fisheries Service (NMFS) upon request. EPA may provide access to portions of your 

IPM plan to a member of the public upon request. Confidential Business Information 

(CBI) may be withheld from the public, but may not be withheld from those staff cleared 

for CBI review within EPA, USFWS, or NMFS. 

7.0 Documentation 

(merged with Section 10)

8.0 Site Monitoring 

8.1 Routine Visual Monitoring 

You must conduct visual assessments of each application site to determine the efficacy of 

the BMPs employed and to identify any possible water quality (adverse) impacts 

resulting from the application. 

8.1.1 Visual Monitoring Requirements. Visual assessments will consist of spot 

checks for possible and observable adverse impacts caused by application of pesticides, 
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including but not limited to the death or distress of non-target organisms and disruption 

of wildlife habitat, recreational or municipal use. 

8.1.2 Frequency. A visual assessment must be conducted: 

 For non-aerial treatments of wetland and aquatic areas: 

o During any pre-application surveillance 

o Immediately following treatment with contact pesticides 

o Within one week of completion of treatment with systemic pesticides 

o During the act of treatment for applications spanning multiple days 

o At one representative site per X water feet of flowing water in which 

treatment is intended to act 

 For aerially treated wetlands and aquatic areas: 

o During all surveillance and efficacy inspection activities 

o At two representative sites in the application area when the application 

area for a single treatment exceeds X water acres and one additional site 

per additional Y water acres treated. A representative site is any 

accessible wetland or aquatic area in which pesticides were applied or may 

have been deposited. 

 For treatments of ephemeral or tidal areas: 

o During all surveillance and efficacy inspection activities conducted after 

treatment is expected to have been effective 

8.1.3 Observable Impacts. You must note any of the following symptoms observed 

upon inspection: 

 Distressed or dead juvenile and small fishes 

 Washed up or floating fish 

 Fish swimming abnormally or erratically 

 Fish lying lethargically at water surface or in shallow water 

 Fish that are listless or nonresponsive to disturbance 

 Stunting, wilting, or desiccation of non-target submerged or emergent aquatic 

plants 

 Other dead or visibly distressed non-target aquatic organisms (amphibians, turtles, 

invertebrates, etc.) 

Additionally, you must note if you become or are made aware of any discomfort to 

humans or domesticated animals in the wake of treatment 

8.1.4 Report of Findings. If you observe any of the symptoms or situations described 

in 8.1.3 or any other indication of possible adverse impact, you must note to the 

extent possible the conditions under which the observation occurred including: 

 The date and time of site visit and discovery 

 The location of discovery including waterbody name if applicable. 

 The discharger will inspect the area around the adverse finding to approximate 

and note the magnitude of the impact. 

 Species affected, number of individuals, and approximate size of dead or 

distressed organisms 
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 State of decomposition of dead organisms (to determine approximate time of 

death) 

 Conditions of algae and vegetation in the immediate area 

 Appearance of waterway (sheen, color, clarity, etc.) 

 Characteristics of waterway including estimated flow rate, level, or other 

appropriate measure 

 Weather conditions 

You must prepare and submit a written report of this information, as required in Part XX. 

8.2 Enhanced Monitoring 

Enhanced monitoring is required for the use of pesticides for which historical incident or 

other applicable data suggests warrant additional application vigilance in order to ensure 

the greatest degree of ecological safety. The use of products containing the following 

active ingredients will require enhanced monitoring. 

 

8.2.1 Pesticides Requiring Enhanced Monitoring 

-????? 

-????? 

-????? 

 

8.2.3 Frequency of Enhanced Monitoring 

Enhanced [visual] monitoring must be conducted: 

 Under all circumstances described in 8.1.2 

 Prior to all applications and prior to each treatment for applications 

spanning multiple days 

 Immediately following and within one week of treatment completion 

8.3. Additional EPA Monitoring 

EPA may notify you of additional discharge monitoring requirements. Any such 

notice will clearly state the reasons for the monitoring and the details of the monitoring 

and any associated reporting and recordkeeping requirements. 

Situations in which EPA may require additional monitoring (non-exhaustive): 

• It has been determined that your discharge likely contributed to a reported adverse 

incident 

• EPA has determined that the product you are using contains a pesticide of concern 

• EPA requires additional information concerning the persistence or environmental 

impact of the product you are using 

• EPA determines that more information about your pesticide use is needed to 

modify or determine more appropriate effluent limitations 

• You are not in compliance with the conditions of the general NPDES permit 
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• A change has occurred in the availability of demonstrated technology or practices 

for the reduction of pesticide use to control pests in or over, including near Waters 

of the United States. 

Should EPA exercise its authority to require additional monitoring requirements, you will 

be notified in writing explaining your additional requirements and the basis for them. 

The written notice will include a reasonable timeframe in which to discuss these new 

requirements with EPA. Unless EPA establishes a new timeframe in writing, after that 

time period has passed, the written notice will state that the new requirements will 

become active and enforceable permit conditions. The written notice will explain that the 

discharger may either accept the new requirements or elect to apply for an individual 

permit as described in 1.3.2. 

9.0 Reporting 

9.1 Annual Report 

If you are required to submit an NOI as identified in Part 1.2.2, you must submit 

an annual report to EPA that includes the following information: 

- Operator name 

- NPDES permit tracking number(s) 

- Operator mailing address 

- Contact person name, title, and phone number 

- For the calendar year: 

o Name(s) of products used and associated EPA registration 

number(s) of those products For each product, 

 Jurisdictions where applied 

 Quantity applied directly to waters 

 Quantity applied over or near waters 

 Pests targeted 

o Description(s) of locations treated, including identification of any 

waterbodies to which pesticides were applied directly 

EPA strongly recommends that you submit this report using the Annual Reporting 

Form provided as Appendix H. You must submit the annual report to EPA no later than 

February 15 of the following year for all pesticide activities occurring January through 

December 31. The appropriate address for the report are Identified in Part 11.0. 

Operators obtaining permit coverage within 30 days of the end of the calendar year are 

not required to submit an annual report for that first partial year but must submit annual 

reports thereafter. 

9.2 Adverse Incident Reporting 

You must immediately notify EPA and the appropriate state wildlife or natural 

resources agency and submit an incident report if you become aware or have been 
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informed that an adverse incident has occurred in connection with a discharge from your 

pesticide application. See Part 5.3.1. You must provide a written report of the adverse 

incident to the appropriate EPA address listed in Part 11 and to the State Lead Agency for 

pesticide registration (see http://npic.orst.edu/state1.htm ) within 14 days. Contents of the 

written incident report must include: 

• Name of operator, mailing address, and telephone number 

• Name, address, and telephone number of contact person 

• Date operator became aware of the incident 

• Date of incident (if appropriate, list start and end dates) 

• Location of incident (city, county, state, waterbody name) 

• Product Name and EPA Registration Number 

• Formulation, if known 

• Evidence the label directions were not followed (e.g., yes, no, unknown) 

• A brief description of the circumstances of the incident 

• Symptoms or adverse effects 

• Magnitude of the effect (e.g. aquatic square area or total stream distance 

affected) 

• Pesticide application rate, intended use site (e.g., banks, above, or direct to 

water), and method of application 

• Description of the habitat and the circumstances under which the incident 

occurred 

• If plants were impacted, the type of plant life affected (i.e., crop, forest, 

orchard, home garden, ornamental foliage, etc) 

• If laboratory tests were performed, indicate what test(s) were performed and 

provide a summary of the test results. 

• Actions to be taken to prevent recurrence of incident. 

• All requirements listed in 8.1.4 

10.0 Recordkeeping 

10.1 Operators required to submit an NOI, as identified in Part 1.2.2, are required to 

keep the following documentation. These records are to be complete and up-to-date, so 

as to demonstrate your full compliance with the conditions of this permit: 

• A copy of the NOI submitted to EPA along with any correspondence exchanged 

between you and EPA specific to coverage under this permit; 

• A copy of the acknowledgment letter you received from the NOI Processing 

Center or eNOI system assigning your permit tracking numbers; 

• A copy of this permit (an electronic copy easily available is also acceptable); 

• An IPM Plan as detailed in Part 6.0 

• Records of employee training as required in Part 2.0, including date training 

received; [NOTE: clarify in the fact sheet training pertain to BAT requirements 

which includes worker protection training, certified application training for 

restricted pesticide, and training appropriate to employees’ specified duties.] 
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• Pesticide Application Logs: Pesticide applicator must maintain records of the 

following information. For-hire applicators must provide a copy of the log to 

those customers who have submitted an NOI. 

1. The name(s) of the applicator or employer’s name and if 

applicable customer’s name; 

2. Times and date(s) of application; 

3. The location(s) of the treatment area(s) (e.g., address, crossroads, 

waterbody, or map coordinates); 

4. Application details including: 

a.Target pest; 

b.Name(s) of the pesticide product used and active 

ingredient(s); 

c. EPA registration number(s); [NOTE: need to add “if 

available” if permit covers exempt pesticide.] 

d. Equipment used; 

e. Pesticide product concentration, as applied; 

f. Pesticide product application rate; 

g. Total pesticide product quantity used per treatment; 

h..Names of all waterbodies into or onto which applications are 

made or fall; and 

i. Total size of treatment area 

5. Weather conditions at the time and site of application (including 

temperature and wind speed/direction); [NOTE: clarify in the 

fact sheet, using the nearest meterological station or local 

weather forecast is acceptable. Beaufort scale may be used. The 

Beaufort scale was developed to allow the recording of wind 

speed without instrument.] 

6. Results of required Pre- and Post-treatment monitoring of the 

application area as detailed in Part 8.0; 

7. Any observed non-target impacts resulting from your discharge; 

8. For mosquito control, record of pest surveillance performed (see 

Part 2.1.4); 

9. For mosquito control, if adulticiding, document why larviciding 

is not feasible (see Part 2.1.5.2.) 

 

• Pesticide Application Equipment Maintenance – Preventative maintenance 

procedures, including regular inspections, testing, maintenance, calibration 

(including droplet testing of mosquito adulticide equipment), and 

repair/replacement of all pesticide application equipment and systems to avoid 

situations that may result in leaks, spills, and other releases. Pesticide applicator 

must maintain records of the following information: 

 Maintenance/repair schedules 

 Date and time of regular maintenance and repairs; 

 The name(s) and signature(s) of the equipment inspector(s); 
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10.2 You must retain copies of documentation outlined in Part 10.1 (including any 

modifications made to the IPM plan and employee training during the term of this 

permit), annual reports, adverse incident reports, corrective action reports, and any 

monitoring information required in Part 8 for a period of at least 3 years from the date 

that your coverage under this permit expires or is terminated. 

11.0 EPA Addresses 

Paper copies of any reports required in Parts 8 and 9, not otherwise submitted 

electronically via EPA’s eNOI system (www.epa.gov/npdes/eNOI) must be sent to one of 

the following addresses: 

Via U.S. mail: 

U.S. Environmental Protection Agency 

Office of Water, Water Permits Division 

Mail Code 4203M, ATTN: MSGP Reports 

1200 Pennsylvania Avenue, NW 

Washington, D.C. 20460 

Or Via Overnight/Express Delivery: 

U.S. Environmental Protection Agency 

Office of Water, Water Permits Division 

Room 7420, ATTN: MSGP Reports 

1201 Constitution Avenue, NW 

Washington, D.C. 20004 

Phone number: 202-564-9545 

Notices of Intent and Notices of Termination should be submitted using EPA’s eNOI 

system (www.epa.gov/npdes/eNOI) or sent to EPA’s NOI Center (see Appendix G for 

the address). 

All Incident Reports under Part 9.3 must be also forwarded within 15 days to the State 

Lead Agency for pesticide regulation (see http://npic.orst.edu/state1.htm ) 

All other written correspondence concerning discharges in any State, Indian Country 

land, Territory, or from any Federal facility covered under this permit and directed to the 

EPA, including individual permit applications, must be sent to the address of the 

appropriate EPA Regional Office listed below: 

11.1 Regional Addresses 

11.1.1 Region 1: Connecticut, Massachusetts, and New Hampshire, Rhode Island, 

Vermont. 

U.S. EPA Region 1 

Office of Ecosystem Protection 
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One Congress Street - CIP 

Boston, MA 02114 

11.1.2 Region 2: New Jersey, New York, Puerto Rico, and Virgin Islands. 

For Puerto Rico and the Virgin Islands 

U.S. EPA Region 2 

Caribbean Environmental Protection Division 

Environmental Management Branch 

Centro Europa Building 

1492 Ponce de Leon Avenue, Suite 417 

San Juan, PR 00907-4127 

For New Jersey and New York: 

U.S. EPA Region 2 

Division of Environmental Planning and Protection 

290 Broadway 

New York, NY 10007-1866 

11.1.3 Region 3: Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, 

West Virginia. 

U.S. EPA Region 3 

Water Protection Division (3WP40) 

1650 Arch Street 

Philadelphia, PA 19103 

11.1.4 Region 4: Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, 

South Carolina, Tennessee. 

U.S. EPA Region 4 

Water Management Division 

Atlanta Federal Center 

61 Forsyth Street SW 

Atlanta, GA 30303 

11.1.5 Region 5: Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin. 

U.S. EPA Region 5 

Water Division 

NPDES Programs Branch 

77 W. Jackson Blvd. 

Mail Code WN16J 

Chicago, IL 60604 
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11.1.6 Region 6: Arkansas, Louisiana, Oklahoma, Texas, and New Mexico (except 

see Region 9 for Navajo lands, and see Region 8 for Ute Mountain Reservation 

lands). 

U.S. EPA Region 6 

P.O. Box 50625 

Dallas, TX 75205 

11.1.7 Region 7: Iowa, Kansas, Missouri, Nebraska. 

 

U.S. EPA - Region 7 

901 N. 5th Street 

Kansas City, KS 66101 

11.1.8 Region 8: Colorado, Montana, North Dakota, South Dakota, Wyoming, Utah 

(except see Region 9 for Goshute Reservation and Navajo Reservation lands), the 

Ute Mountain Reservation in New Mexico, and the Pine Ridge Reservation in 

Nebraska. 

U.S. EPA Region 8 

999 18th Street, Suite 300 

Denver, CO 80202-2466 

11.1.9 Region 9: Arizona, California, Hawaii, Nevada, Guam, American Samoa, the 

Commonwealth of the Northern Mariana Islands, the Goshute Reservation in Utah 

and Nevada, the Navajo Reservation in Utah, New Mexico, and Arizona, the Duck 

Valley Reservation in Idaho, Fort McDermitt Reservation in Oregon. 

U.S. EPA Region 9 

Water Management Division, WTR-5 

75 Hawthorne Street 

San Francisco, CA 94105 

11.1.10 Region 10: Alaska, Idaho, Oregon (except see Region 9 for Fort McDermitt 

Reservation), Washington. 

U.S. EPA Region 10 

Office of Water and Watersheds OWW-130 

1200 6th Avenue Suite 900

Seattle, WA 98101 

11.2 State and Tribal Addresses 

12.0 State, Indian, Territory Requirements 
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Appendix A 

Definitions and Acronyms 
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Appendix B

Standard Permit Conditions 

Standard permit conditions in Appendix B are consistent with the general permit 

provisions required under 40 CFR 122.41. 

B.1 Duty To Comply. 

You must comply with all conditions of this permit. Any permit noncompliance 

constitutes a violation of the Clean Water Act and is grounds for enforcement action; for 

permit termination, revocation and reissuance, or modification; or for denial of a permit 

renewal application. 

A. You must comply with effluent standards or prohibitions established under 

section 307(a) of the Clean Water Act for toxic pollutants within the time 

provided in the regulations that establish these standards, even if the permit has 

not yet been modified to incorporate the requirement. 

B. Penalties for Violations of Permit Conditions: The Director will adjust the civil 

and administrative penalties listed below in accordance with the Civil Monetary 

Penalty Inflation Adjustment Rule (61 FR 252, December 31, 1996, pp. 69359-

69366, as corrected in 62 FR 54, March 20, 1997, pp.13514-13517) as mandated 

by the Debt Collection Improvement Act of 1996 for inflation on a periodic basis. 

This rule allows EPA’s penalties to keep pace with inflation. The Agency is 

required to review its penalties at least once every 4 years thereafter and to adjust 

them as necessary for inflation according to a specified formula. The civil and 

administrative penalties following were adjusted for inflation starting in 1996. 

1. Criminal Penalties. 

1.1 Negligent Violations. The CWA provides that any person who negligently 

violates permit conditions implementing Sections 301, 302, 306, 307, 308, 

318, or 405 of the Act is subject to criminal penalties of not less than 

$2,500 nor more than $25,000 per day of violation, or imprisonment of not 

more than one year, or both. In the case of a second or subsequent 

conviction for a negligent violation, a person shall be subject to criminal 

penalties of not more than $50,000 per day of violation or by 

imprisonment of not more than two years, or both. 

1.2. Knowing Violations. The CWA provides that any person who knowingly 

violates permit conditions implementing Sections 301, 302, 306, 307, 308, 

318, or 405 of the Act is subject to a fine of not less than $5,000 nor more 

than $50,000 per day of violation, or by imprisonment for not more than 3 

years, or both. In the case of a second or subsequent conviction for a 

knowing violation, a person shall be subject to criminal penalties of not 
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more than $100,000 per day of violation, or imprisonment of not more 

than 6 years, or both. 

1.3 Knowing Endangerment. The CWA provides that any person who 

knowingly violates permit conditions implementing Sections 301, 302, 

306, 307, 308, 318, or 405 of the Act and who knows at that time that he 

or she is placing another person in imminent danger of death or serious 

bodily injury shall upon conviction be subject to a fine of not more than 

$250,000 or by imprisonment of not more than 15 years, or both. In the 

case of a second or subsequent conviction for a knowing endangerment 

violation, a person shall be subject to a fine of not more than $500,000 or 

by imprisonment of not more than 30 years, or both. An organization, as 

defined in section 309(c)(3)(B)(iii) of the Act, shall, upon conviction of 

violating the imminent danger provision be subject to a fine of not more 

than $1,000,000 and can fined up to $2,000,000 for second or subsequent 

convictions. 

1.4. False Statement. The CWA provides that any person who falsifies, 

tampers with, or knowingly renders inaccurate any monitoring device or 

method required to be maintained under this permit shall, upon conviction, 

be punished by a fine of not more than $10,000, or by imprisonment for 

not more than 2 years, or both. If a conviction of a person is for a violation 

committed after a first conviction of such person under this paragraph, 

punishment is a fine of not more than $20,000 per day of violation, or by 

imprisonment of not more than 4 years, or both. The Act further provides 

that any person who knowingly makes any false statement, representation, 

or certification in any record or other document submitted or required to 

be maintained under this permit, including monitoring reports or reports of 

compliance or non-compliance shall, upon conviction, be punished by a 

fine of not more than $10,000 per violation, or by imprisonment for not 

more than 6 months per violation, or by both. 

2. Civil Penalties. The CWA provides that any person who violates a permit 

condition implementing Sections 301, 302, 306, 307, 308, 318, or 405 of the Act 

is subject to a civil penalty not to exceed the maximum amounts authorized by 

Section 309(d) of the Act and the Federal Civil Penalties Inflation Adjustment Act 

(28 U.S.C. § 2461 note) as amended by the Debt Collection Improvement Act (31 

U.S.C. § 3701 note) (currently $32,500 per day for each violation). 

3. Administrative Penalties. The CWA provides that any person who violates a 

permit condition implementing Sections 301, 302, 306, 307, 308, 318, or 405 of 

the Act is subject to an administrative penalty, as follows 

3.1. Class I Penalty. Not to exceed the maximum amounts authorized by 

Section 309(g)(2)(A) of the Act and the Federal Civil Penalties Inflation 

Adjustment Act (28 U.S.C. § 2461 note) as amended by the Debt 
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Collection Improvement Act (31 U.S.C. § 3701 note) (currently $11,000 

per violation, with the maximum amount of any Class I penalty assessed 

not to exceed $32,500). 

3.2 Class II Penalty. Not to exceed the maximum amounts authorized by 

Section 309(g)(2)(B) of the Act and the Federal Civil Penalties Inflation 

Adjustment Act (28 U.S.C. § 2461 note) as amended by the Debt 

Collection Improvement Act (31 U.S.C. § 3701 note) (currently $11,000 

per day for each day during which the violation continues, with the 

maximum amount of any Class II penalty not to exceed $157,500). 

B.2 Duty to Reapply. 

If you wish to continue an activity regulated by this permit after the expiration date of 

this permit, you must apply for and obtain authorization as required by the new permit 

once EPA issues it. 

B.3 Need to Halt or Reduce Activity Not a Defense. 

It shall not be a defense for you in an enforcement action that it would have been 

necessary to halt or reduce the permitted activity in order to maintain compliance with the 

conditions of this permit. 

B.4 Duty to Mitigate. 

You must take all reasonable steps to minimize or prevent any discharge in violation of 

this permit which has a reasonable likelihood of adversely affecting human health or the 

environment. 

B.5 Proper Operation and Maintenance. 

You must at all times properly operate and maintain all facilities and systems of treatment 

and control (and related appurtenances) which are installed or used by you to achieve 

compliance with the conditions of this permit. Proper operation and maintenance also 

includes adequate laboratory controls and appropriate quality assurance procedures. This 

provision requires the operation of backup or auxiliary facilities or similar systems which 

are installed by you only when the operation is necessary to achieve compliance with the 

conditions of this permit. 

B.6 Permit Actions. 

This permit may be modified, revoked and reissued, or terminated for cause. Your filing 

of a request for a permit modification, revocation and reissuance, or termination, or a 

notification of planned changes or anticipated noncompliance does not stay any permit 

condition. 
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B.7 Property Rights. 

This permit does not convey any property rights of any sort, or any exclusive privileges. 

B.8 Duty to Provide Information. 

You must furnish to EPA or an authorized representative (including an authorized 

contractor acting as a representative of EPA), within a reasonable time, any information 

which EPA may request to determine whether cause exists for modifying, revoking and 

reissuing, or terminating this permit or to determine compliance with this permit. You 

must also furnish to EPA or an authorized representative upon request, copies of records 

required to be kept by this permit. 

B.9 Inspection and Entry. 

You must allow EPA or an authorized representative (including an authorized contractor 

acting as a representative of EPA), upon presentation of credentials and other documents 

as may be required by law, to: 

A. Enter upon your premises where a regulated facility or activity is located or 

conducted, or where records must be kept under the conditions of this permit; 

B. Have access to and copy, at reasonable times, any records that must be kept under 

the conditions of this permit; 

C. Inspect at reasonable times any facilities, equipment (including monitoring and 

control equipment), practices, or operations regulated or required under this 

permit; and 

D. Sample or monitor at reasonable times, for the purposes of assuring permit 

compliance or as otherwise authorized by the Clean Water Act, any substances or 

parameters at any location. 

B.10 Monitoring and Records. 

A. Samples and measurements taken for the purpose of monitoring must be 

representative of the volume and nature of the monitored activity. 

B. You must retain records of all monitoring information, including all calibration 

and maintenance records and all original strip chart recordings for continuous 

monitoring instrumentation, copies of all reports required by this permit, and 

records of all data used to complete the application for this permit, for a period of 

at least three years from the date the permit expires or the date the permittee’s 

authorization is terminated. This period may be extended by request of EPA at 

any time. 

C. Records of monitoring information must include: 
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1. The date, exact place, and time of sampling or measurements; 

2. The individual(s) who performed the sampling or measurements; 

3. The date(s) analyses were performed 

4. The individual(s) who performed the analyses; 

5. The analytical techniques or methods used; and 

6. The results of such analyses. 

D. Monitoring must be conducted according to test procedures approved under 40 

CFR Part 136, unless other test procedures have been specified in the permit. 

E. The Clean Water Act provides that any person who falsifies, tampers with, or 

knowingly renders inaccurate any monitoring device or method required to be 

maintained under this permit shall, upon conviction, be punished by a fine of not 

more than $10,000, or by imprisonment for not more than 2 years, or both. If a 

conviction of a person is for a violation committed after a first conviction of such 

person under this paragraph, punishment is a fine of not more than $20,000 per 

day of violation, or by imprisonment of not more than 4 years, or both. 

B.11 Signatory Requirements. 

A. All applications, including NOIs, must be signed as follows: 

1. For a corporation: By a responsible corporate officer. For the purpose of 

this subsection, a responsible corporate officer means: (i) a president, 

secretary, treasurer, or vice-president of the corporation in charge of a 

principal business function, or any other person who performs similar 

policy- or decision-making functions for the corporation, or (ii) the 

manager of one or more manufacturing, production, or operating facilities, 

provided, the manager is authorized to make management decisions which 

govern the operation of the regulated facility including having the explicit 

or implicit duty of making major capital investment recommendations, and 

initiating and directing other comprehensive measures to assure long term 

environmental compliance with environmental laws and regulations; the 

manager can ensure that the necessary systems are established or actions 

taken to gather complete and accurate information for permit application 

requirements; and where authority to sign documents has been assigned or 

delegated to the manager in accordance with corporate procedures. 

2. For a partnership or sole proprietorship: By a general partner or the 

proprietor, respectively; or 
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3. For a municipality, state, federal, or other public agency: By either a 

principal executive officer or ranking elected official. For purposes of this 

subsection, a principal executive officer of a federal agency includes (i) 

the chief executive officer of the agency, or (ii) a senior executive officer 

having responsibility for the overall operations of a principal geographic 

unit or the agency (e.g., 

Regional Administrator of EPA). 

B. Your Integrated Pest Management (IPM) plan, including changes to your IPM 

plan to document any corrective actions taken as required by Part 5.0, and all 

reports submitted to EPA, must be signed by a person described in Appendix B, 

Subsection 11.A above or by a duly authorized representative of that person. A 

person is a duly authorized representative only if: 

1. The authorization is made in writing by a person described in Appendix B, 

Subsection 11.A; 

2. The authorization specifies either an individual or a position having 

responsibility for the overall operation of the regulated facility or activity 

such as the position of superintendent, position of equivalent 

responsibility, or an individual or position having overall responsibility for 

environmental matters for the company. (A duly authorized representative 

may thus be either a named individual or any individual occupying a 

named position); and 

3. The signed and dated written authorization is included in the IPM plan. A 

copy must be submitted to EPA, if requested. 

C. All other changes to your IPM plan, and other compliance documentation 

required under this permit, must be signed and dated by the person preparing the 

change or documentation. 

D. Changes to Authorization. If an authorization under Appendix B, Subsection B.11 

11.B is no longer accurate because the application activities have been purchased 

by a different entity, a new NOI satisfying the requirements of Subsection B.11 

11.B must be submitted to EPA. However, if the only change that is occurring is a 

change in contact information or a change in the operator’s address, the operator 

need only make a modification to the existing NOI submitted for authorization. 

E. Any person signing documents in accordance with Appendix B, Subsections A.11 

11.A or B.11 11.B above must include the following certification: 

“I certify under penalty of law that this document and all attachments were 

prepared under my direction or supervision in accordance with a system 

designed to assure that qualified personnel properly gathered and 

evaluated the information contained therein. Based on my inquiry of the 

person or persons who manage the system, or those persons directly 

responsible for gathering the information, the information contained is, to 

the best of my knowledge and belief, true, accurate, and complete. I am 
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aware that there are significant penalties for submitting false information, 

including the possibility of fine and imprisonment for knowing 

violations.” 

F. The CWA provides that any person who knowingly makes any false statement, 

representation, or certification in any record or other document submitted or 

required to be maintained under this permit, including monitoring reports or 

reports of compliance or non-compliance shall, upon conviction, be punished by a 

fine of not more than $10,000 per violation, or by imprisonment for not more than 

6 months per violation, or by both. 

B.12 Reporting Requirements. 

A. Planned changes. You must give notice to EPA as soon as possible of any planned 

physical alterations or additions to the permitted facility. Notice is required only when: 

1. The alteration or addition to a permitted facility may meet one of the 

criteria for determining whether a facility is a new source in 40 CFR 

122.29(b); or 

2. The alteration or addition could significantly change the nature or increase 

the quantity of pollutants discharged. This notification applies to 

pollutants which are subject neither to effluent limitations in the permit, 

nor to notification requirements under 40 CFR 122.42(a)(1). 

B. Anticipated noncompliance. You must give advance notice to EPA of any planned 

changes in the permitted facility or activity which may result in noncompliance 

with permit requirements. 

C. Transfers. This permit is not transferable to any person except after notice to 

EPA. Where a facility wants to change the name of the permittee, the original 

permittee (the first owner or operators) must submit a Notice of Termination 

pursuant to Part 1.3. The new owner or operator must submit a Notice of Intent in 

accordance with Part 1.2.3 and Table 1-2. See also requirements in Appendix B, 

Subsections 11.B and 11.D. 

D. Pesticide Monitoring reports. Monitoring results must be reported at the intervals 

specified elsewhere in this permit. 

1. All monitoring data must be submitted to EPA using EPA’s online eNOI 

system (www.epa.gov/npdes/eNOI). Alternatively, if you cannot access 

eNOI, monitoring results should be reported on a Discharge Monitoring 

Report (DMR) form, available at www.epa.gov/npdes, and submitted to 

EPA at the address identified in Part 11.0. 
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2. If you monitor any pollutant more frequently than required by the permit 

using test procedures approved under 40 CFR Part 136 or as specified in 

the permit, the results of this monitoring must be included in the 

calculation and reporting of the data submitted to EPA. 

3. Calculations for all limitations which require averaging of measurements 

must use an arithmetic mean unless otherwise specified by EPA in the 

permit. 

E. Compliance schedules. Reports of compliance or noncompliance with, or any 

progress reports on, interim and final requirements contained in any compliance 

schedule of this permit must be submitted no later than 14 days following each 

schedule date. 

F. Twenty-four hour reporting. 

1. You must report any noncompliance which may endanger health or the 

environment. Any information must be provided orally within 24 hours 

from the time you become aware of the circumstances. A written 

submission must also be provided within five days of the time you become 

aware of the circumstances. The written submission must 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. 

2. The following shall be included as information which must be reported 

within 24 hours under this paragraph. 

a. Any unanticipated bypass which exceeds any effluent limitation in the 

permit. (See 40 CFR 122.41(m)(3)(ii)) 

b. Any upset which exceeds any effluent limitation in the permit 

c. Violation of a maximum daily discharge limit for any numeric effluent 

limitation. (See 40 CFR 122.44(g).) 

3. EPA may waive the written report on a case-by-case basis for reports 

under Appendix B, Subsection B.12.F.2 12.F.2 if the oral report has been 

received within 24 hours. 

G. Other noncompliance. You must report all instances of noncompliance not 

reported under Appendix B, Subsections 12.D, 12.E, and 12.F, at the time 

monitoring reports are submitted. The reports must contain the information listed 

in Appendix B, Subsection 12.F. 
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H. Other information. Where you become aware that you failed to submit any 

relevant facts in a permit application, or submitted incorrect information in a 

permit application or in any report to the Permitting Authority, you must promptly 

submit such facts or information. 

B.13 Pesticide Bypass. 

A. Definitions. 

1. Bypass means the intentional diversion of waste streams from any portion 

of a treatment facility See 40 CFR 122.41(m)(1)(i). 

2. Severe property damage means substantial physical damage to property, 

damage to the treatment facilities which causes them to become 

inoperable, or substantial and permanent loss of natural resources which 

can reasonably be expected to occur in the absence of a bypass. Severe 

property damage does not mean economic loss caused by delays in 

production. See 40 CFR 122.41(m)(1)(ii). 

B. Bypass not exceeding limitations. You may allow any bypass to occur which does 

not cause effluent limitations to be exceeded, but only if it also is for essential 

maintenance to assure efficient operation. These bypasses are not subject to the 

provisions of Appendix B, Subsections 13.C and 13.D. See 40 CFR 122.41(m)(2). 

C. Notice. 

1. Anticipated bypass. If you know in advance of the need for a bypass, you 

must submit prior notice, if possible at least ten days before the date of the 

bypass. See 40 CFR 122.41(m)(3)(i). 

2. Unanticipated bypass. You must submit notice of an unanticipated bypass 

as required in Appendix B, Subsection 12.F (24-hour notice). See 40 CFR 

122.41(m)(3)(ii). 

D. Prohibition of bypass. See 40 CFR 122.41(m)(4). 

1. Bypass is prohibited, and EPA may take enforcement action against you 

for bypass, unless: 

a. Bypass was unavoidable to prevent loss of life, personal injury, or 

s evere property damage; 

b. There were no feasible alternatives to the bypass, such as the use 

of auxiliary treatment facilities, retention of untreated wastes, or 

maintenance during normal periods of equipment downtime. This 

condition is not satisfied if adequate back-up equipment should 

have been installed in the exercise of reasonable engineering 
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judgment to prevent a bypass which occurred during normal 

periods of equipment downtime or preventive maintenance; and 

c. You submitted notices as required under Appendix B, Subsection 

13.C. 

2. EPA may approve an anticipated bypass, after considering its adverse 

effects, if EPA determines that it will meet the three conditions listed 

above in Appendix B, Subsection 13.D.1. 

B.14 Upset. 

A. Definition. Upset means an exceptional incident in which there is unintentional 

and temporary noncompliance with technology based permit effluent limitations 

because of factors beyond your reasonable control. An upset does not include 

noncompliance to the extent caused by operational error, improperly designed 

treatment facilities, inadequate treatment facilities, lack of preventive 

maintenance, or careless or improper operation. See 40 CFR 122.41(n)(1). 

B. Effect of an upset. An upset constitutes an affirmative defense to an action 

brought for noncompliance with such technology based permit effluent limitations 

if the requirements of Appendix B, Subsection 14.C are met. No determination 

made during administrative review of claims that noncompliance was caused by 

upset, and before an action for noncompliance, is final administrative action 

subject to judicial review. See 40 CFR 122.41(n)(2). 

C. Conditions necessary for a demonstration of upset. See 40 CFR 122.41(n)(3). A 

permittee who wishes to establish the affirmative defense of upset must 

demonstrate, through properly signed, contemporaneous operating logs, or other 

relevant evidence that: 

1. An upset occurred and that you can identify the cause(s) of the upset; 

2. The permitted facility was at the time being properly operated; and 

3. You submitted notice of the upset as required in Appendix B, Subsection 

12.F.2.b (24 hour notice). 

4. You complied with any remedial measures required under Appendix B, 

Subsection 4. 

D. Burden of proof. In any enforcement proceeding, you, as the one seeking to 

establish the occurrence of an upset, have the burden of proof. See 40 CFR 

122.41(n)(4). 
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Appendix C

Areas Covered 

1. EPA Region 1: CT, MA, ME, NH, RI, VT 

Where EPA is Permitting Authority 

-Commonwealth of Massachusetts, including Indian country 

-Indian country within the State of Connecticut 

-State of New Hampshire 

-Indian country within the State of Rhode Island 

-Federal Facilities in the State of Vermont 

2. EPA Region 2: NJ, NY, PR, VI 

Where EPA is Permitting Authority 

-Indian country within the State of New York 

-The Commonwealth of Puerto Rico 

3. EPA Region 3: DE, DC, MD, PA, VA, WV 

Where EPA is Permitting Authority 

-The District of Columbia 

-Federal Facilities in the State of Delaware 

4. EPA Region 4: AL, FL, GA, KY, MS, NC, SC, TN 

Where EPA is Permitting Authority 

-Indian country within the State of Alabama. 

-Indian country within the State of Florida. 

-Indian country within the State of Mississippi. 

-Indian country within the State of North Carolina. 

5. EPA Region 5: IL, IN, MI, MN, OH, WI 

Where EPA is Permitting Authority 

-Indian country within the State of Michigan 

-Indian country within the State of Minnesota 

-Indian country within the State of Wisconsin 
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6. EPA Region 6: AR, LA, OK, TX, NM (except see Region 9 for Navajo lands, and 

see Region 8 for Ute Mountain Reservation lands) 

Where EPA is Permitting Authority 

-Indian country within the State of Louisiana 

-The State of New Mexico, including Indian country within the State of New Mexico, 

except Navajo Reservation Lands (see Region 9) and Ute Mountain Reservation Lands 

(see Region 8) 

-Indian country within the State of Oklahoma 

-Discharges in the State of Oklahoma that are not under the authority of the Oklahoma 

Department of Environmental Quality, including activities associated with oil and gas 

exploration, drilling, operations, and pipelines (includes SIC Groups 13 and 46, and SIC 

codes 492 and 5171), and point source discharges associated with agricultural production, 

services, and silviculture (includes SIC Groups 01, 02, 07, 08, 09). 

-Discharges in the State of Texas that are not under the authority of the Texas 

Commission on Environmental Quality (formerly TNRCC), including activities 

associated with the exploration, development, or production of oil or gas or geothermal 

resources, including transportation of crude oil or natural gas by pipeline. 

-Indian country within the State of Texas. 

7. EPA Region 7: IA, KS, MO, NE (except see Region 8 for Pine Ridge Reservation 

Lands) 

Where EPA is Permitting Authority 

-Indian country within the State of Iowa 

-Indian country within the State of Kansas 

-Indian country within the State of Nebraska, except Pine Ridge Reservation lands (see 

Region 8) 

8. EPA Region 8: CO, MT, ND, SD, WY, UT (except see Region 9 for Goshute 

Reservation and Navajo Reservation Lands), the Ute Mountain Reservation in NM, 

and the Pine Ridge Reservation in NE. 

Where EPA is Permitting Authority 

-Federal Facilities in the State of Colorado, except those located on Indian country 

-Indian country within the State of Colorado, as well as the portion of the Ute Mountain 

Reservation located in New Mexico 

-Indian country within the State of Montana 

-Indian country within the State of North Dakota 

-Indian country within the State of South Dakota, as well as the portion of the Pine Ridge 

Reservation located in Nebraska (see Region 7) 

-Indian country within the State of Utah, except Goshute and Navajo Reservation lands 

(see Region 9) 

-Indian country within the State of Wyoming 
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9. EPA Region 9: CA, HI, NV, Guam, American Samoa, the Commonwealth of the 

Northern Mariana Islands, the Goshute Reservation in UT and NV, the Navajo 

Reservation in UT, NM, and AZ, the Duck Valley Reservation in ID, and the Fort 

McDermitt Reservation in OR. 

Where EPA is Permitting Authority 

-The Island of American Samoa 

-Indian country within the State of Arizona, as well as Navajo Reservation lands in New 

Mexico (see Region 6) and Utah (See Region 8) 

-Indian country within the State of California 

-The Island of Guam 

-Johnston Atoll 

-Midway Island and Wake Island 

-Commonwealth of the Northern Mariana Islands 

-Indian country within the State of Nevada, as well as the Duck Valley Reservation in 

Idaho, the Fort McDermitt Reservation in Oregon (see Region 10) and the Goshute 

Reservation in Utah (see Region 8) 

10. EPA Region 10: AK, WA, ID (except see Region 9 for Duck Valley Reservation 

Lands), and OR (except see Region 9 for Fort McDermitt Reservation). 

Where EPA is Permitting Authority 

-The State of Alaska, including Indian country 

-The State of Idaho, including Indian country within the State of Idaho, except Duck 

Valley Reservation lands (see Region 9) 

-Indian country within the State of Oregon, except Fort McDermitt Reservation lands 

(see Region 9) 

-Federal Facilities in the State of Washington, except those located on Indian country 

-Indian country within the State of Washington 
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Appendix D 

Endangered Species Procedures 
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Appendix E 

Historic Properties Preservation Procedures 
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Appendix F 

Notice of Intent Form 
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Appendix G 

Notice of Termination Form 
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Appendix H 

Annual Report Form