Vol. 80 Thursday, 

No. 204 October 22, 2015 

Part II 

Environmental Protection Agency 

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

National Pollutant Discharge Elimination System (NPDES) Electronic 

Reporting Rule; Final Rule 

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64064 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Parts 9, 122, 123, 124, 127, 403, 

501, and 503 

[EPA–HQ–OECA–2009–0274; FRL–9930– 

70–OECA] 

RIN 2020–AA47 

National Pollutant Discharge 

Elimination System (NPDES) 

Electronic Reporting Rule 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Final rule. 

SUMMARY: The Environmental Protection 

Agency (EPA) is publishing this final 

regulation that requires the electronic 

reporting and sharing of Clean Water 

Act National Pollutant Discharge 

Elimination System (NPDES) program 

information instead of the current 

paper-based reporting of this 

information. This action will save time 

and resources for permittees, states, 

tribes, territories, and the U.S. 

Government while increasing data 

accuracy, improving compliance, and 

supporting EPA’s goal of providing 

better protection of the nation’s waters. 

By modernizing this Clean Water Act 

reporting program, permittees and 

regulators will use existing, available 

information technology to electronically 

report information and data related to 

the NPDES permit program. This 

regulation will help provide greater 

clarity on who is and who is not in 

compliance and enhances transparency 

by providing a timelier, complete, more 

accurate, and nationally-consistent set 

of data about the NPDES program. By 

providing improved data in a more 

accessible form, this final rulemaking 

will improve the ability of EPA and 

authorized NPDES programs to target 

the most serious water quality and 

compliance problems. Furthermore, by 

reducing the time and resources devoted 

to outdated data management activities, 

the rule could allow authorized NPDES 

programs to shift limited resources to 

important water quality and public 

health protection activities. The 

transition from paper to electronic 

reporting will require close coordination 

and cooperation between EPA and 

authorized NPDES programs. This 

regulation provides important flexibility 

while still implementing electronic 

reporting in a timely and effective 

fashion. 

DATES: The final rule is effective on 

December 21, 2015. The incorporation 

by reference of certain publications 

listed in this rule was approved by the 

Director of the Federal Register as of 

February 7, 2000. In accordance with 40 

CFR part 23, this regulation shall be 

considered issued for purposes of 

judicial review at 1 p.m. Eastern time on 

November 5, 2015. The start dates for 

electronic reporting are provided in 40 

CFR 127.16. 

ADDRESSES: EPA has established a 

docket for this action under Docket ID 

No. EPA–HQ–OECA–2009–0274. All 

documents in the docket are listed on 

the www.regulations.gov Web site. 

Although listed in the index, some 

information is not publicly available, 

e.g., confidential business information 

or other information whose disclosure is 

restricted by statute. Certain other 

material, such as copyrighted material, 

is not placed on the Internet and will be 

publicly available only in hard copy 

form. Publicly available docket 

materials are available either 

electronically through 

www.regulations.gov or in hard copy at 

the EPA Docket Center, EPA West 

Building, Room 3334, 1301 Constitution 

Avenue NW., Washington, DC. The 

Public Reading Room is open from 8:30 

a.m. to 4:30 p.m., Monday through 

Friday, excluding legal holidays. The 

telephone number for the Public 

Reading Room is (202) 566–1744. For 

additional information about EPA’s 

public docket, please visit the EPA 

Docket Center homepage at http://

www.epa.gov/dockets. 

FOR FURTHER INFORMATION CONTACT: For 

additional information, please contact 

Messrs. John Dombrowski (202–566– 

0742) or Carey A. Johnston (202–566– 

1014), Office of Compliance (mail code 

2222A), Environmental Protection 

Agency, 1200 Pennsylvania Avenue 

NW., Washington, DC 20460; email 

addresses: dombrowski.john@epa.gov or 

johnston.carey@epa.gov. 

SUPPLEMENTARY INFORMATION: 

How is this document organized? 

The outline of this document follows 

the following format: 

I. General Information 

II. Legal Authority 

III. Legislative and Regulatory Background 

IV. Rulemaking History 

V. Summary of Decisions in the Final Rule 

VI. Economic Analysis 

VII. Regulatory Implementation 

VIII. Statutory and Executive Order Reviews 

I. General Information 

A. Executive Summary 

1. Purpose of the Regulatory Action 

The final rule substitutes electronic 

reporting for paper-based reports and, 

over the long term, saves time and 

resources for permittees, states, tribes, 

territories, and EPA, while improving 

compliance and better protecting the 

Nation’s waters. The final rule requires 

permittees and regulators to use 

existing, available information 

technology to electronically report 

information and data related to the 

NPDES permit program in lieu of filing 

paper-based reports. Authorized NPDES 

programs may adopt EPA data systems 

or elect to use their own data systems 

to collect NPDES program information 

as the initial recipient. All authorized 

programs are required to electronically 

transmit the federally-required data 

(identified in appendix A to 40 CFR part 

127) to EPA. 

The purpose and need for this rule 

was highlighted in the development of 

the Clean Water Act Enforcement 

Action Plan (Plan). Announced by EPA 

Administrator Lisa Jackson in October 

2009, the Plan was a collaborative effort 

by EPA and state environmental 

agencies to explore opportunities to 

improve water quality by emphasizing 

and adopting new approaches that will 

improve how the NPDES permitting and 

enforcement program is administered. 

The goals of the Plan include improving 

transparency of the information on 

compliance and enforcement activities 

in each state, connecting this 

information to local water quality, and 

providing the public with real-time, 

easy access to this information. The 

final NPDES Electronic Reporting Rule 

will make achievement of these goals 

possible by requiring electronic 

reporting of facility and operational 

data, as well as discharge monitoring, 

compliance, and enforcement data. 

In addition to substituting electronic 

reporting for paper-based reports, the 

final rule requires authorized NPDES 

programs to share the minimum set of 

NPDES program data (appendix A to 40 

CFR part 127) with EPA for all facilities 

including nonmajor facilities. 

Historically, EPA and authorized 

NPDES programs have focused on major 

facilities as a way of prioritizing 

resources for permitting, enforcement 

and data sharing. Over time, there has 

been a growing recognition that these 

nonmajor sources significantly impact 

water quality as well. Storm water 

discharges, concentrated animal feeding 

operations, mines, and raw sanitary 

sewage overflows could all be 

significant contributors to water quality 

impairment; however, they have not 

been treated as NPDES major facilities. 

The final rule is intended to improve 

data quality collected from major and 

nonmajor facilities, thereby providing 

the states, tribes, territories, and EPA 

with more complete and comparable 

data on all NPDES permittees. These 

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data will improve the ability of existing 

state and federal programs to target the 

most serious water quality and 

compliance problems, thus supporting 

EPA’s goal of protecting the nation’s 

waters. A broader and more in-depth 

discussion of the purpose and need for 

this rulemaking is provided in Section 

III of the proposed rule (30 July 2013; 

78 FR 46013). 

2. Summary of the Key Provisions 

This final rule requires NPDES 

regulated entities to electronically 

submit NPDES compliance monitoring 

reports and notices [e.g., Discharge 

Monitoring Reports (DMRs), Notices of 

Intent to discharge in compliance with 

a general permit, other general permit 

waivers, certifications, and notices of 

termination of coverage, and program 

reports] to their authorized NPDES 

program or to EPA through the National 

Environmental Information Exchange 

Network. Importantly, while the final 

rule changes the mode of transmission 

of these data (i.e., electronic rather than 

paper-based reporting), it does not 

change the information required from 

NPDES-permitted facilities under 

existing regulations and practices. 

States, tribes, and territories that are 

authorized to implement the NPDES 

program are the sources of certain key 

information regarding the regulated 

facilities. For example, states have 

information from NPDES permit 

applications, which includes 

information concerning facility location, 

outfalls, effluent limits, and permit 

conditions, as well as information from 

their compliance monitoring activities, 

violation determinations, and 

enforcement actions. Under this final 

regulation, NPDES permitting 

authorities are required to share 

important components of this 

information electronically with EPA. 

The list of data elements that must be 

electronically collected, managed, and 

shared is provided in this final rule 

(appendix A to 40 CFR part 127). By 

‘‘NPDES program,’’ this rule refers not 

only to the discharge permit program, 

but also the pretreatment program and 

the biosolids program, both of which are 

implemented in some ways without 

NPDES permits. 

Separate from this rulemaking, EPA 

intends to make this more complete set 

of data available electronically to the 

public, to promote transparency and 

accountability by providing 

communities and citizens with easily 

accessible information on facility and 

government performance. This can serve 

to elevate the importance of compliance 

information and environmental 

performance within regulated entities, 

providing opportunity for them to 

quickly address any noncompliance. 

The ease of reviewing and assessing 

electronically submitted data will help 

provide greater clarity on who is and 

who is not in compliance. Currently, 

some noncompliance information is not 

easily reviewable by the authorized 

NPDES programs or accessible to EPA 

and these noncompliance events are 

sometimes not resolved in a timely 

manner. The result of this uneven 

response to noncompliance by 

regulators means that some facilities in 

noncompliance will not take immediate 

action, which gives them a financial 

edge over other facilities in states where 

there is a timelier response to 

noncompliance. This rule opens the 

opportunity for two-way 

communication between authorized 

NPDES programs or EPA and regulated 

facilities to immediately address data 

quality issues and to provide 

compliance assistance or take other 

action when potential problems are 

identified. Complete and accurate data 

also will allow comparison of 

performance across authorized NPDES 

programs as well as EPA’s performance. 

Key provisions of this final rule are 

identified in the implementation 

schedule in Section VII of the preamble. 

This includes the schedule of 

milestones for NPDES program data 

submission from states, tribes, and 

territories regarding their 

implementation activities, programs and 

permits as well as electronic NPDES 

program data submissions from 

regulated entities. 

3. Costs and Benefits 

To fully implement this final 

regulation, there will be initial 

investment costs associated with needed 

changes to information technology and 

infrastructure. For example, EPA has 

developed a data system called the 

[Integrated Compliance Information 

System for the National Pollutant 

Discharge Elimination System (ICIS– 

NPDES) and two NPDES electronic 

reporting systems to collect NPDES 

program data (NetDMR and NPDES 

eReporting Tool (NeT)]. While all 

authorized NPDES programs are 

welcome to use EPA’s data systems, 

authorized NPDES programs also have 

the flexibility to develop their own data 

systems that meet the regulatory 

requirements of 40 CFR part 3 

(including, in all cases, subpart D), 40 

CFR 122.22, and 40 CFR part 127. EPA 

will continue to closely work with 

authorized NPDES programs to make 

EPA’s systems available and assist the 

development of their data systems in a 

cost-effective manner. 

The initial cost of implementing the 

final rule is $77.9 million in 

undiscounted dollars (see Table 4–11: 

Total Initial Implementation Costs of the 

Rule, DCN 0197). While most of these 

costs are incurred within the first year 

after the effective date of the rule, this 

estimate includes certain recurring 

activities that should cease once full 

implementation is achieved. Five years 

after rule promulgation, assuming all 

regulated facilities have converted to 

electronic reporting (other than 1 

percent that are assumed to receive 

waivers from electronic reporting), the 

cost is estimated to be $20.3 million per 

year in undiscounted dollars (see Table 

4–10: Annual Cost of Data Entry and 

Operations for the Updated System after 

Implementation, DCN 0197). However, 

one year after rule promulgation, annual 

savings greatly outweigh annual costs, 

by approximately $23.9 million per year 

[calculated by subtracting the projected 

costs in year one from the projected 

savings; see Table 4–16: Schedule of 

Savings and Costs (3% Discount Rate), 

DCN 0197]. Cumulative savings over a 

ten-year period (using a 3 percent 

discount rate) are $406 million while 

cumulative costs are $250 million. As a 

result the overall economic effect of this 

rule is a net cumulative savings of $156 

million over the ten years of the 

projection. 

The final rule will save money for 

states, tribes, and territories authorized 

to administer the NPDES program as 

well as EPA and most NPDES 

permittees, while resulting in a more 

complete, more accurate, and 

nationally-consistent set of data about 

the NPDES program. With full 

implementation (expected to be five 

years after the effective date of the final 

rule), the anticipated annual net savings 

are expected to be $22.6 million for 

NPDES programs, $0.5 million for 

regulated entities, and $1.2 million for 

EPA, assuming a 3% discount rate 

[calculated by subtracting the projected 

costs in year five from the projected 

savings in year five; see Table 4–16: 

Schedule of Savings and Costs (3% 

Discount Rate), DCN 0197]. The 

economic analysis supporting this rule 

provides a more detailed description of 

the costs and savings (see DCN 0197). 

The electronic submittal of data will 

help support EPA’s goal of protecting 

and restoring water quality and will 

result in significant cost savings for the 

authorized NPDES programs, as well as 

savings for the permittees and EPA, 

when the rule is fully implemented. The 

final rule will also reduce the reporting 

burden currently borne by the 

authorized NPDES programs, improve 

overall facility compliance, allow better 

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allocation and use of limited program 

resources, and enhance transparency 

and public accountability by allowing 

EPA to provide the public with timely 

information on potential sources of 

water pollution. 

The final rule will also lighten the 

reporting burden currently placed on 

the authorized NPDES programs. Upon 

successful implementation, the final 

rule would provide authorized NPDES 

programs with regulatory relief from 

reporting associated with the noncompliance reporting [see 40 CFR 

123.45—(a) Quarterly Non-Compliance 

Report (QNCR), (b) Semi-Annual 

Statistical Summary Report, and (c) 

Annual Non-Compliance Report 

(ANCR)] and the biosolids report 

submitted to EPA annually by 

authorized NPDES programs with the 

Federal biosolids program (40 CFR 

501.21). 

4. Compliance Dates for Final Rule 

The implementation schedule for the 

final rule is divided in two phases. Prior 

to the deadline for each phase, EPA will 

work with authorized NPDES programs 

to collect the necessary facility, permit, 

inspection, and enforcement action 

information that supports electronic 

reporting. For example, EPA will work 

with authorized NPDES programs which 

opt to use EPA’s national NPDES data 

system (i.e., ICIS–NPDES) to ensure that 

the necessary facility and permit data 

are entered no later than nine months 

after the effective date of the final rule 

to allow for the electronic reporting of 

DMR data and Sewage Sludge/Biosolids 

Annual Program Report data, which are 

scheduled for the first phase. Likewise, 

EPA will also work with authorized 

NPDES programs to collect the 

necessary data to support electronic 

reporting for the second phase. 

Regulated entities must report 

electronically prior to this compliance 

schedule if required to do so in their 

permit or any other enforcement 

instrument issued by the relevant 

NPDES program. This rule reinforces 

existing electronic reporting efforts by 

authorized programs and regulated 

entities. The rule also grandfathers any 

existing requirements to report 

electronically. 

The key compliance dates are set out 

below and set out in further details in 

Section VII and in the final rule (see 40 

CFR 127.16). 

• Phase 1 Data: Authorized NPDES 

programs must electronically transmit to 

EPA basic facility and permit 

information (see list of data elements in 

‘‘ICIS Addendum to the Appendix of the 

1985 Permit Compliance System Policy 

Statement,’’ 28 December 2007, DCN 

0007, also known as Water Enforcement 

National Database or ‘‘WENDB’’) for all 

permits as well as other data necessary 

for implementation of Phase 1 data 

collection within nine months after the 

effective date of the final rule. One year 

after the effective date of the final rule, 

authorized NPDES programs must start 

electronically transmitting to EPA their 

state performance data (subject to 

applicable waivers), which includes 

information generated from compliance 

monitoring (e.g., inspections), violation 

determinations, and enforcement 

actions. Additionally, one year after the 

effective date of the final rule, NPDES 

regulated entities that are required to 

submit DMRs (including majors and 

nonmajors, individually permitted 

facilities and facilities covered by 

general permits) must do so 

electronically. EPA and authorized 

NPDES programs will begin 

electronically receiving these DMRs 

from all DMR filers and start sharing 

these data with each other. One year 

after the effective date of the final rule, 

all NPDES regulated entities in states 

where EPA is the authorized NPDES 

biosolids program (currently 42 of 50 

states and all other tribal lands and 

territories) must electronically submit 

their Sewage Sludge/Biosolids Annual 

Program Report to EPA. 

• Phase 2 Data: Authorized NPDES 

programs have five years to begin 

electronically collecting, managing, and 

sharing the remaining set of information 

in appendix A in 40 CFR part 127. This 

information includes: General permit 

reports [e.g. Notice of Intent to be 

covered (NOI); Notice of Termination 

(NOT); No Exposure Certification 

(NOE); Low Erosivity Waiver and Other 

Waivers from Stormwater Controls 

(LEW)]; Sewage Sludge/Biosolids 

Annual Program Report (where the state 

is the authorized NPDES biosolids 

program); and all other remaining 

NPDES program reports (e.g., CAFO 

Annual Report, Pretreatment Program 

Annual Report). Authorized NPDES 

programs will also share with EPA all 

data necessary for implementation of 

Phase 2 data collection three months 

before the Phase 2 deadline as defined 

in the data element analysis for the final 

rule (see DCN 0200). Additionally, one 

year after the effective date of the final 

rule, authorized NPDES programs will 

submit an implementation plan (IP) for 

meeting the Phase 2 data requirements 

for EPA to review. EPA will inform the 

state if its IP is inadequate. 

• NPDES Noncompliance Report 

(NNCR) and Other State Reporting: EPA 

will replace a number of currently 

required state reports (e.g., QNCR and 

ANCR) with the new NNCR when EPA 

has a timely, complete, more accurate, 

and nationally-consistent set of data 

about the NPDES program. Full 

implementation of the NNCR and phase 

out of certain state reports will only be 

possible one full year after full 

implementation of Phase 2 data 

collection (i.e., six years after the 

effective date of this rule). A complete 

set of Phase 1 and 2 data are necessary 

to develop and produce the NNCR. 

As with any new regulation, some 

authorized NPDES programs may need 

to update their regulations or statutes to 

make clear that electronic reporting is 

required for the reports listed in Table 

1 of appendix A and that these 

electronic submissions must be 

compliant with 40 CFR part 127 

(including appendix A) and 40 CFR part 

3 (including, in all cases, subpart D) 

[Cross-Media Electronic Reporting 

Regulation (CROMERR)—authentication 

and encryption standards]. Existing EPA 

regulations at 40 CFR 123.62(e) require 

that any updates to the authorized 

NPDES program take place within one 

year of the effective date of the final rule 

(if no state statute change is required) 

and within two years of the effective 

date of the final rule (if a state statute 

change is required). Accordingly, all 

authorized NPDES programs should 

complete any necessary updates to their 

state regulations within one year and 

statutes within two years of the effective 

date of the final rule. 

B. Does this action apply to me? 

Entities potentially affected by this 

action include all NPDES-permitted 

facilities, whether covered by an 

individual permit or general permit, 

industrial users located in cities without 

approved local pretreatment programs, 

and governmental entities that have 

received NPDES program authorization 

or are implementing portions of the 

NPDES program in a cooperative 

agreement with EPA. These entities 

include: 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64067 

Category Examples of regulated entities 

NPDES-permitted facilities .......................................... Publicly-owned treatment works (POTW) facilities, treatment works treating domestic 

sewage (TWTDS), municipalities, counties, stormwater management districts, state-operated facilities, Federally-operated facilities, industrial facilities, construction sites, and 

concentrated animal feeding operations (CAFOs). 

Facilities seeking coverage under NPDES general 

permits.

Stormwater management districts, construction sites, CAFOs, POTWs, TWTDS, municipalities, counties, stormwater management districts, and state-operated facilities. 

Industrial users located in cities without approved 

local pretreatment programs.

Industrial facilities discharging to POTWs and for which the designated pretreatment 

Control Authority is EPA or the authorized state, tribe, or territory rather than an approved local pretreatment program. 

State and territorial government .................................. States and territories that have received NPDES program authorization from EPA, that 

are implementing portions of the NPDES program in a cooperative agreement with 

EPA, or that operate NPDES-permitted facilities. 

Tribal government ........................................................ Tribes that have received NPDES program authorization from EPA, that are implementing portions of the NPDES program in a cooperative agreement with EPA, or that 

operate NPDES-permitted facilities. 

Federal government ..................................................... Federal facilities with a NPDES permit and EPA Regional Offices acting for those states, 

tribes, and territories that do not have NPDES program authorization or that do not 

have program authorization for a particular NPDES subprogram (e.g., biosolids or 

pretreatment). 

This table is not intended to be an 

exhaustive list, but rather provides some 

examples of the types of entities 

regulated by this action. Other types of 

entities not listed in this table may also 

be regulated. 

II. Legal Authority 

Pursuant to the Clean Water Act 

(CWA), 33 U.S.C. 1251 et seq., the U.S. 

Environmental Protection Agency (EPA) 

is promulgating the National Pollutant 

Discharge Elimination System (NPDES) 

Electronic Reporting Rule, which adds a 

new part to title 40 (40 CFR part 127) 

as well as making changes to existing 

regulations. The U.S. Environmental 

Protection Agency is promulgating the 

NPDES Electronic Reporting Rule under 

authority of the CWA sections 101(f), 

304(i), 308, 402, and 501. EPA notes that 

the Congressional Declaration of Goals 

and Policy of the CWA specifies in 

section 101(f) that ‘‘It is the national 

policy that to the maximum extent 

possible the procedures utilized for 

implementing this chapter shall 

encourage the drastic minimization of 

paperwork and interagency decision 

procedures, and the best use of available 

manpower and funds, so as to prevent 

needless duplication and unnecessary 

delays at all levels of government.’’ 

Harnessing information technology 

that is now a common part of daily life 

is an important step toward reaching the 

goals of the CWA. EPA is promulgating 

this rule under the authority of CWA 

section 304(i) that authorizes EPA to 

establish minimum procedural and 

other elements of state programs under 

section 402, including reporting 

requirements and procedures to make 

information available to the public. In 

addition, EPA is promulgating this rule 

under section 308 of the CWA. Section 

308 of the CWA authorizes EPA to 

require access to information necessary 

to carry out the objectives of the Act, 

including sections 301, 305, 306, 307, 

311, 402, 404, 405, and 504. Section 402 

of the CWA establishes the NPDES 

permit program for the control of the 

discharge of pollutants into the nation’s 

waters. EPA is promulgating this rule 

under CWA sections 402(b) and (c), 

which require each authorized state, 

tribe, or territory to ensure that permits 

meet certain substantive requirements, 

and provide EPA information from 

point sources, industrial users, and 

authorized programs in order to ensure 

proper oversight. Finally, EPA is 

promulgating this rule under the 

authority of section 501, which 

authorizes EPA to prescribe such 

regulations as are necessary to carry out 

provisions of the Act. 

Under section 509(b)(1) of the CWA, 

judicial review of this regulation can be 

had only by filing a petition for review 

in the U.S. Court of Appeals within 120 

days after the regulation is considered 

issued for purposes of judicial review. 

Under section 509(b)(2), the 

requirements in this regulation may not 

be challenged later in civil or criminal 

proceedings brought by EPA to enforce 

these requirements. 

III. Legislative and Regulatory 

Background 

A. The Clean Water Act 

The 1948 Federal Water Pollution 

Control Act and subsequent 

amendments are now commonly 

referred to as the Clean Water Act 

(CWA). The CWA establishes a 

comprehensive program for protecting 

and restoring our nation’s waters. The 

CWA established the NPDES permit 

program to authorize and control the 

discharges of pollutants to waters of the 

United States [CWA section 402]. This 

final rule, which is intended to reduce 

resource burdens associated with the 

paper-based system and increase the 

timeliness, accuracy, completeness, and 

usefulness of the information received 

by EPA, the states, tribes, territories, and 

the public, echoes the goals of CWA 

section 101(f). 

Implementation of information 

technology that is now a common part 

of daily life is an important step toward 

reaching the goals of the CWA. EPA is 

promulgating this rule under the 

authority of CWA section 304(i) that 

authorizes EPA to establish minimum 

procedural and other elements of state 

programs under section 402, including 

reporting requirements and procedures 

to make information available to the 

public. In addition, EPA is promulgating 

this rule under the authority of section 

308 of the CWA. Section 308 of the 

CWA authorizes EPA to require 

information to carry out the objectives 

of the Act, including sections 301, 305, 

306, 307, 311, 402, 404, 405, and 504. 

Section 402 of the CWA establishes the 

NPDES permit program for the control 

of the discharge of pollutants into the 

nation’s waters. EPA is promulgating 

this rule under CWA sections 402(b) 

and (c), which require each authorized 

state, tribe, or territory to ensure that 

permits meet certain substantive 

requirements, and provide EPA 

information from point sources, 

industrial users, and the authorized 

program in order to ensure proper 

oversight. Finally, EPA is promulgating 

this rule under the authority of section 

501 of the Act, authorizing EPA to 

prescribe such regulations as are 

necessary to carry out provisions of the 

Act. 

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64068 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

1The link provides access to the 2004 Water 

Quality Report to Congress, which was the last 

hard-copy version of this report. Since 2004 these 

data are made available directly via the ATTAINS 

database (link provided at above site). The 

ATTAINS database provides state information 

showing the water quality impairments and the 

likely causes of impairments. In particular, ‘‘UrbanRelated Runoff/Stormwater’’ ranks high among the 

list of impairment causes. See: http://

ofmpub.epa.gov/waters10/attains_nation_

cy.control. 

B. National Pollutant Discharge 

Elimination System 

As authorized by the CWA, the 

NPDES permit program protects the 

nation’s waters by controlling the 

discharge of pollutants into waters of 

the United States. Such discharges are 

illegal unless authorized by an NPDES 

permit. The NPDES permit program 

requires all point source discharges of 

pollutants (other than dredged or fill 

material regulated under Section 404 of 

the CWA) to waters of the United States 

to have a permit, the term of which may 

not exceed five years. The term 

‘‘NPDES-regulated facilities,’’ as used in 

this rule, refers broadly to entities 

regulated under the Clean Water Act, 

including permittees under CWA 

section 402 along with the biosolids 

program, indirect dischargers, and nondischarging entities with permits. 

NPDES permits may be issued by EPA 

or by a state, tribe, or territory 

authorized by EPA to implement the 

NPDES program. As of May 1, 2015, 

EPA has authorized 46 states and the 

Virgin Islands to implement the base 

NPDES program as well as the general 

permits program; as of that same date, 

no tribe was currently authorized to 

implement the NPDES program. There 

are several subprograms of the NPDES 

program that states, tribes, and 

territories may also receive 

authorization from EPA to administer, 

including the pretreatment and the 

biosolids programs. As of May 1, 2015, 

36 states are authorized to implement 

the pretreatment program and eight 

states are authorized to implement the 

biosolids program as part of the NPDES 

program. 

Authorization to discharge may be 

provided under an individual NPDES 

permit, which is developed after a 

process initiated by the facility’s 

submission of a permit application (40 

CFR 122.21), or under a general NPDES 

permit (for example, most oil and gas 

extraction facilities and most 

construction sites operate under NPDES 

general permits). See 40 CFR 

122.28(a)(2). Authorization to discharge 

under a general NPDES permit typically 

occurs following the submission of an 

NOI by the facility seeking authorization 

to discharge under the permit [40 CFR 

122.28(b)(2)] and approval of that NOI 

by the permitting authority. Submission 

of an NOI is not required for specified 

types of discharges under certain 

circumstances [40 CFR 122.28(b)(2)(v)]. 

Most NPDES-permitted sources are 

regulated under general permits. 

EPA has developed criteria to 

determine which sources should be 

considered ‘‘major’’ facilities (see DCN 

0195). The distinction was made 

initially to assist EPA, states, tribes, and 

territories in setting priorities for 

permitting, compliance, and 

enforcement activities. Historically, EPA 

has placed greater priority on major 

facilities and has required NPDESauthorized states, tribes, and territories 

to provide more information about these 

dischargers. EPA’s previous regulations 

establish annual, semi-annual, and 

quarterly reporting requirements, which 

mostly focused on major facilities. 

These previous reporting requirements 

provided violation information and 

facilitated EPA’s assessment of the 

effectiveness of authorized programs 

and EPA regional program activities 

(e.g., permitting, compliance 

monitoring, and enforcement). This 

information has guided EPA in the 

management and oversight of program 

activities. More background information 

regarding the NPDES program is in the 

docket supporting this rulemaking (see 

DCN 0005). 

C. Evolution of the NPDES Program and 

Data Sharing 

In order to support development of 

appropriate permit limits and 

conditions, issuance of effective 

permits, compliance monitoring, and 

appropriate enforcement actions, EPA 

has developed requirements along with 

policies, guidance, and expectations to 

track, measure, evaluate, and report on 

these efforts on a nationwide basis. Over 

the past 30 years, these efforts to 

establish significant pollutant controls 

focused primarily on major facilities 

and resulted in important pollutant 

discharge reductions from traditional 

major sources. 

Although major municipal and 

industrial point sources continue to be 

significant sources of pollution, 

permitting experience with more diffuse 

sources shows that these point sources 

also contribute significant amounts of 

pollutants to our nation’s waters. About 

40,000 nonmajor facilities have 

individual permits which have 

requirements similar to the permits for 

major facilities (e.g., requirements to 

submit DMRs) (source: ICIS–NPDES). As 

the understanding of water quality 

issues has evolved, the universe of 

regulated nonmajor sources has also 

expanded. In order to efficiently manage 

the growing universe of regulated 

facilities, sources that are sufficiently 

similar are often regulated under general 

permits rather than individual permits. 

In many cases, nonmajor facilities use 

pollutant control measures based on 

best management practices in 

operational activities rather than on 

implementation of pollutant control 

technologies, which are measured with 

numeric effluent limits on pollutant 

discharges and reported on DMRs. 

Several hundred thousand nonmajor 

facilities are covered by NPDES general 

permits; therefore, the number of 

nonmajor dischargers covered by 

general permits is very large compared 

to the number of major or nonmajor 

dischargers covered by individual 

permits. The universe of nonmajor 

dischargers also includes some large 

volume dischargers (e.g., MS4s) that had 

not previously been regulated with the 

same types of individual permits used 

to regulate discharges from major 

facilities. 

The most recent state water quality 

assessment reports submitted under 

CWA section 305(b) and compiled by 

EPA in the National Water Quality 

Inventory Reports indicate the growing 

significance and link between nonmajor 

sources and impairments in water 

quality of U.S. waters, particularly from 

precipitation-induced or ‘‘wet weather’’ 

point sources of pollutants.1 These 

sources include discharges of 

stormwater associated with 

construction, concentrated animal 

feeding operations (CAFOs), overflows 

from combined sewer systems (CSSs) 

and sanitary sewer systems (SSSs), and 

urban stormwater pollution from 

Municipal Separate Storm Sewer 

Systems (MS4s). Stormwater discharges 

include a variety of pollutants, such as 

sediment, oil and grease, chemicals, 

nutrients, metals, and pathogens. 

Discharges from CAFOs often include 

bacteria, nutrients, organic matter, 

pathogens, and trace metals. Overflows 

from combined and separate sanitary 

sewer systems pose a significant threat 

to public health and the environment 

due to high concentrations of bacteria 

from fecal contamination, as well as 

disease-causing pathogens. Common 

pollutants discharged from MS4s 

include oil and grease from roadways, 

pesticides from lawns, sediment from 

construction sites, and carelessly 

discarded trash, such as cigarette butts, 

paper wrappers, and plastic bottles. The 

pollution controls for wet-weather 

sources are often best management 

practices (BMPs) rather than traditional 

end-of-pipe controls. These wet-weather 

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2 2008 ANCR, available at http://www.epaecho.gov/echo/ancr/us/docs/ancr_report_2008.pdf. 3See http://www2.epa.gov/compliance/nextgeneration-compliance. 

sources are high priorities for EPA and 

authorized NPDES programs and have 

been for almost over two decades. 

In the past, states, tribes, and 

territories generally did not consistently 

share information with EPA on most 

wet-weather sources. Therefore, EPA 

and the public do not have complete 

information on these pollution sources. 

Electronic reporting from all NPDES 

permittees will efficiently provide these 

data and will assist EPA and authorized 

NPDES programs in focusing their 

limited resources on the most 

significant water pollution sources and 

violations, whether from major or 

nonmajor facilities. 

Transitioning to electronic reporting 

and data sharing will bring the NPDES 

program into the 21st century. Tracking 

data electronically is less expensive, 

more efficient, more accurate, and better 

able to support program management 

decisions than paper tracking (see July 

30, 2013; 78 FR 46015–17, DCN 0015). 

In particular, Congress and the public 

expect environmental program 

managers at every level of government— 

local, state, tribal, territorial, and 

federal—to design and implement 

programs that deliver environmental 

and public health results. To target the 

most important pollution problems, 

better ensure environmental protection 

and public health, and enable more 

integrated program assessment and 

planning at the national level, the data 

that are electronically collected, 

managed, and shared between 

authorized NPDES programs and EPA 

should have the following 

characteristics: 

I. The data should be current. Recent 

data are more likely to be representative 

of current conditions. Although 

historical data may be useful in 

identifying trends and patterns, 

outdated data are not as reliable for 

drawing conclusions as to the current 

level of discharge, the compliance status 

at permitted facilities, or for making 

plans for improvements. 

II. The data should generally be 

comparable in format, reporting units, 

frequency, etc. In order to aggregate and 

compare data across the states, tribes, 

and territories for national program 

planning and reporting purposes, it is 

important that the data from the 

individual states, tribes, and territories 

be reported in a similar format (e.g., 

reporting units are the same and the 

metrics being measured are defined 

identically) and with the same 

minimum frequency. For example, for 

EPA to assess the volume of waste 

discharged by POTWs nationally, those 

providing the data would need to 

consistently provide data to EPA, share 

the same definition of POTWs, the same 

definition of volume (per day, per week, 

per month) and express the measure in 

the same units (gallons, million gallons, 

cubic feet, liters, etc.). However, 

authorized NPDES programs can 

certainly institute more stringent 

reporting requirements than EPA (if 

shared data remain nationally 

consistent). 

III. The data should be accurate and 

complete. Incomplete, inaccurate data 

can lead to wrong conclusions. For 

example, the significant noncompliance 

rate for major facilities is a key indicator 

of the effectiveness of the NPDES 

compliance and enforcement program. 

This rate is derived in large part from 

effluent data self-reported in DMRs to 

EPA, the states, tribes, and territories by 

major facilities. These data are then 

entered into or provided to ICIS–NPDES 

by the states, tribes, territories, or EPA. 

Incomplete compliance data in ICIS– 

NPDES prevent EPA from adequately 

assessing industry, state, and national 

noncompliance rates and identifying 

any potential corrective actions. 

Consequently, program planning and 

authorized program evaluation resulting 

from such incomplete data can be 

unreliable. 

Similarly, incomplete data may result 

in inaccurate conclusions as to 

noncompliance rates for nonmajor 

permittees. EPA found through the 

Annual Noncompliance Report (ANCR) 

(see DCN 0016) 2 for NPDES Nonmajor 

Permittees that the reported 

noncompliance rate for serious 

violations is much higher for those 

authorized NPDES programs with 

detailed compliance data in EPA’s 

national data systems than it is for 

authorized NPDES programs that only 

provide summary data. These findings 

suggest that instances of noncompliance 

may be higher than reported by states, 

tribes, and territories that do not 

routinely provide facility-specific 

compliance data to EPA’s national data 

systems. The final rule will ensure that 

DMR information from facilities and 

ANCR data from authorized NPDES 

programs would be received 

electronically, allowing the data system 

to identify violations and thereby 

reducing the burden on states, tribes, 

territories, and EPA to independently 

identify effluent violations. 

IV. The data should be nationally 

consistent. EPA needs nationally 

consistent data to make program 

evaluation and subsequent planning 

transparent and replicable. The basis for 

EPA’s planning and conclusions about 

the status of program implementation 

needs to be readily available to those 

affected, including the regulated 

community, the general public, 

Congress, federal, state, tribal, and 

territorial agencies. For example, the 

data that EPA needs to evaluate the 

performance of an authorized program 

should be readily available to EPA (and 

readily available from EPA to the state, 

tribe, or territory) and the state, tribe, or 

territory should be able to easily 

duplicate EPA’s analysis. 

These factors demonstrate the need 

for a shared definition and central 

management of the information 

necessary to manage the NPDES 

program, ready access to that 

information by states, tribes, territories, 

and EPA, and assurance that the data 

across the authorized NPDES programs 

are complete, more accurate, and timely 

reported. The final rule provides 

parameters for the shared data, ensures 

the accessibility of that information, and 

provides the basis for ensuring that the 

data are nationally consistent, complete, 

more accurate, and timely. 

D. EPA’s Next Generation Compliance 

Strategy 

EPA’s Next Generation Compliance is 

an integrated strategy to improve 

regulations and permits with new 

monitoring and information technology 

and expanded transparency.3 It is 

designed to motivate the regulated 

community to increase compliance, 

inform the public about performance, 

and help ensure the public has access to 

information about their communities 

that allows them to more fully engage in 

environmental protection efforts. 

In addition to converting reporting 

from a paper to electronic format, the 

electronic system guides the user 

through the reporting process with 

integrated compliance assistance and 

data quality checks. From a compliance 

perspective, electronic reporting will 

allow regulated entities, governmental 

agencies, and the public to more quickly 

identify violations, and then more 

quickly address them. 

Electronic reporting is a key 

component of the Next Generation 

Compliance Strategy (see DCN 0192). 

This strategy and rulemaking record 

shows that the shift from paper 

reporting toward electronic reporting is 

easier, more efficient, and costs less for 

the facility and for regulatory agencies. 

Electronic systems are used in the 

modern era for almost every kind of 

transaction. For the user, these systems 

offer speed, convenience, expanded 

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64070 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

4Formerly known for 50 years as the Association 

of State and Interstate Water Pollution Control 

Agencies (ASIWPCA). 

information choices and filing 

capabilities. For government, they offer 

the ability to increase transparency and 

an opportunity to improve the ability to 

spot pollution and compliance issues 

and respond quickly to emerging 

problems. Under EPA policy, electronic 

reporting is now the default assumption 

for new regulations (see DCN 0193). 

IV. Rulemaking History 

A. Proposed Rule 

Since 2002, EPA and the authorized 

NPDES programs have worked together 

to update the information and data that 

states, tribes, territories, and EPA need 

to successfully implement, manage, and 

oversee the NPDES program. Various 

iterations of critical data elements were 

discussed by the state and EPA 

members of the Permit Compliance 

System (PCS) Steering Committee, the 

PCS Modernization Executive Council, 

and the Expanded PCS Steering 

Committee, which added 

representatives from the Environmental 

Council of the States (ECOS) and the 

Association of Clean Water 

Administrators (ACWA).4 Those efforts 

led to the April 2007 issuance by EPA 

of a draft ICIS–NPDES Policy Statement 

that included the list of NPDES data 

elements that states, tribes, and 

territories would report to EPA (see 

DCN 0056). 

After receiving numerous comments 

on the draft ICIS–NPDES Policy 

Statement from the states, EPA began to 

develop a federal regulation that would 

require electronic reporting of specific 

NPDES information from the regulated 

permittees, states, tribes, and territories 

(see DCN 0215 and 0216). In 2010, EPA 

initiated an effort to carefully review the 

data needs and uses, identify the types 

of information and specific data 

elements that would allow EPA to meet 

those needs and uses, and evaluate 

whether some information should be 

sought directly from NPDES-regulated 

facilities or from states, tribes, and 

territories. This was done with full 

acknowledgement that for certain 

activities (such as permit issuance, 

inspections, compliance determinations, 

and issuance of enforcement actions), 

the states, tribes, and territories are the 

unique source of the identified NPDES 

information. During the summer of 

2010, EPA conducted a series of 

concurrent technical analyses of various 

data types and facility types, which 

examined the feasibility of electronic 

reporting, various regulatory options, 

the existing regulatory data and 

reporting requirements, key 

considerations, and preliminary 

information regarding costs and benefits 

(see DCN 0018, 0019, 0020, 0021, 0022). 

After significant deliberations and 

consultations with states, EPA 

published the proposed rule on 30 July 

2013 (78 FR 46006) and opened a 135 

day public comment period. 

EPA received 170 public comments 

on the proposed rule from a variety of 

stakeholder groups. The comments were 

generally supportive of electronic 

reporting as modern and efficient, but 

raised issues regarding aspects of the 

proposed implementation and operation 

of the rule. Table 1 provides an 

overview of the public comments EPA 

received during the proposed rule 

comment period. The largest number of 

public comments (by pages) came from 

state government agencies with 

industrial stakeholders contributing 

most of the remaining comments. Many 

of the industrial comments came from 

the agricultural sector. 

TABLE 1—NUMBER OF PROPOSAL PUBLIC COMMENTS

Commenter type Number of 

submissions 

Number of 

comment 

pages 

Anonymous or Individual Person ............................................................................................................................. 32 44 

Environmental Advocacy Organization .................................................................................................................... 3 22 

Government (Local) ................................................................................................................................................. 28 114 

Government (State) ................................................................................................................................................. 39 308 

Government (Federal) ............................................................................................................................................. 2 5 

Industry (Misc.) ........................................................................................................................................................ 39 188 

Industry (Agriculture) ............................................................................................................................................... 25 163 

Industry (Software Vendors) .................................................................................................................................... 2 6 

Total .................................................................................................................................................................. 170 850 

EPA considered all of these comment 

submissions and identified the key 

issues raised by commenters. EPA has 

responded to these comments in the 

comment response document 

supporting this rulemaking (see DCN 

0218). 

B. Supplemental Notice of Proposed 

Rulemaking (SNPR) 

On 1 December 2014, EPA published 

a supplemental notice to the 2013 

proposed NPDES Electronic Reporting 

Rule and opened a 60-day public 

comment period (79 FR 71066). EPA 

used this document to identify many of 

the issues raised by commenters during 

the public comment period for the 

proposed rule, clarify 

misunderstandings about the proposal, 

and discuss possibilities for how EPA 

might modify the rule to address issues 

raised by stakeholders. 

EPA received 58 public comments on 

the supplemental notice to the proposed 

rule from a variety of stakeholder 

groups. The comments were again 

generally supportive of electronic 

reporting as modern and efficient and 

provided meaningful comments on 

alternative means for implementing the 

final rule. Table 2 provides an overview 

of the public comments EPA received 

during the SNPR comment period. As 

with the proposed rule, the largest 

number of public comments (by pages) 

came from state government agencies. 

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TABLE 2—NUMBER OF SUPPLEMENTAL NOTICE OF PROPOSED RULEMAKING PUBLIC COMMENTS

Commenter type Number of 

submissions 

Number of 

comment 

pages 

Anonymous or Individual Person ............................................................................................................................. 1 1 

Environmental Advocacy Organization .................................................................................................................... 2 9 

Government (Local) ................................................................................................................................................. 4 12 

Government (State) ................................................................................................................................................. 28 179 

Government (Federal) ............................................................................................................................................. 1 6 

Industry (Misc.) ........................................................................................................................................................ 17 75 

Industry (Agriculture) ............................................................................................................................................... 4 19 

Industry (Software Vendors) .................................................................................................................................... 1 4 

Total .................................................................................................................................................................. 58 305 

EPA considered all of these comment 

submissions and has responded to these 

comments in the comment response 

document supporting this rulemaking 

(see DCN 0218). 

C. Outreach 

Section VI of the proposed rule details 

EPA’s extensive outreach efforts prior to 

the proposed rule. EPA continued this 

outreach during the public comment 

period on the proposed rule (DCN 

0111). In particular, EPA held over 30 

webinars and meetings with over 1,200 

people to discuss the proposed rule. In 

addition to two public comment 

periods, EPA has conducted additional 

stakeholder meetings to further discuss 

and refine particular aspects of the rule 

prior to promulgation. 

Many states expressed concerns with 

the proposed rule. EPA held 

teleconferences with authorized NPDES 

programs to obtain their individual 

views on various aspects of the 

proposed rule. EPA met with over 

twenty five states, ECOS, ACWA, and 

New England Interstate Water Pollution 

Control Commission to take into 

account their individual comments and 

concerns about the rule (see DCN 0128 

to 0142, 0181, 0219 to 0229). 

Additionally, EPA separately contacted 

each authorized NPDES program to 

individually assess its readiness for 

these new electronic reporting 

requirements. This extensive outreach 

helped inform the implementation 

process of the final rule and the 

additional flexibilities that authorized 

states, tribes, and territories need for a 

measured and orderly conversion from 

paper to electronic reporting. As noted 

elsewhere in this preamble, EPA has 

extended the time for full 

implementation of this final rule from 

two years to five years. EPA has also 

provided authorized NPDES programs 

with more flexibility in how they 

administer electronic reporting waivers. 

EPA will continue its outreach to 

NPDES regulated entities and 

authorized NPDES programs during the 

implementation of this final rule. 

V. Summary of Decisions in the Final 

Rule 

This section identifies the regulatory 

changes made by this final rule and the 

significant decisions made by EPA in 

response to public comments. EPA has 

responded to all public comments in the 

comment response document 

supporting this rulemaking (see DCN 

0218). 

A. Overview of Existing Regulations 

Modified by the Final Rule 

EPA is amending the following 

NPDES regulations to require electronic 

reporting by NPDES-regulated facilities, 

to require electronic reporting of NPDES 

information by the states, tribes, and 

territories to EPA, and to eliminate some 

existing reporting requirements, 

particularly those for states, tribes, and 

territories. In addition to the creation of 

a new 40 CFR part 127, the final rule 

adds or modifies the following existing 

regulations: 

• 40 CFR 122.22. Signatories to 

permit applications and reports; 

• 40 CFR 122.26(b)(15), (c)(1)(ii), and 

(g)(1)(iii). Stormwater discharges 

(applicable to State NPDES programs, 

see 40 CFR 123.25); 

• 40 CFR 122.28(b)(2). General 

Permits (applicable to State NPDES 

programs, see 40 CFR 123.25); 

• 40 CFR 122.34(g)(3). Reporting [as 

related to small Municipal Separate 

Storm Sewer Systems (MS4s)]; 

• 40 CFR 122.41(l)(4)(i). Monitoring 

reports [Discharge Monitoring Reports]; 

• 40 CFR 122.41(l)(6). Twenty-four 

hour reporting [Noncompliance which 

may endanger health or the 

environment]; 

• 40 CFR 122.41(l)(7). Other 

noncompliance; 

• 40 CFR 122.41(l)(9). Identification 

of the Initial Recipient for the Electronic 

Reporting of NPDES Program Data [a 

new standard condition added by this 

final rule]; 

• 40 CFR 122.41(m)(3). Notice [as 

related to Bypass sewer overflows]; 

• 40 CFR 122.42(c). Municipal 

separate storm sewer systems [as related 

to medium or large MS4s]; 

• 40 CFR 122.42(e)(4). Annual 

reporting requirements for CAFOs; 

• 40 CFR 122.43. Establishing permit 

conditions (applicable to State NPDES 

programs, see 40 CFR 123.25); 

• 40 CFR 122.44(i). Monitoring 

requirements; 

• 40 CFR 122.48(c). Requirements for 

recording and reporting of monitoring 

results (applicable to State NPDES 

programs, see 40 CFR 123.25); 

• 40 CFR 122.63(f). Minor 

modifications of permits [a new option 

that explicitly states that NPDES 

programs may use the minor 

modification process to incorporate 

electronic reporting into NPDES 

permits]; 

• 40 CFR 122.64(c). Termination of 

permits (applicable to State NPDES 

programs, see 40 CFR 123.25); 

• 40 CFR 123.22. Program 

description; 

• 40 CFR 123.24(b)(3). Memorandum 

of Agreement with the Regional 

Administrator; 

• 40 CFR 123.25(a). Requirements for 

permitting; 

• 40 CFR 123.26. Requirements for 

compliance evaluation programs; 

• 40 CFR 123.41(a). Sharing of 

information; 

• 40 CFR 123.43(d). State data 

transmission of information from states 

to EPA; 

• 40 CFR 123.45. Noncompliance and 

program reporting by the Director; [this 

replaces several state reports of 

noncompliance with the NNCR]; 

• 40 CFR 403.10(f). State Pretreatment 

Program requirements; 

• 40 CFR 403.12(e). Periodic reports 

on continued compliance [Pretreatment 

program reports for Categorical 

Industrial Users]; 

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5EPA seeks to ensure that electronic reporting 

has at least the same level of legal defensibility and 

dependability as information that EPA would 

obtain through hard-copy paper submission. The 

Cross-Media Electronic Reporting Regulation 

(CROMERR), promulgated October 13, 2005, 

provides the legal framework for electronic 

reporting requirements established under all EPA 

environmental regulations (40 CFR part 3). See the 

proposed rule for more background detail on 

CROMERR (30 July 2013; 78 FR 46035). 

• 40 CFR 403.12(h). Reporting 

requirements for Industrial Users not 

subject to categorical Pretreatment 

Standards [Pretreatment program 

reports for Significant Industrial Users 

not subject to EPA categorical 

pretreatment standards]; 

• 40 CFR 403.12(i). Annual POTW 

reports [Pretreatment program report]; 

• 40 CFR 501.21. Program Reporting 

to EPA (State Sludge Management 

Program) [the final rule eliminates the 

state annual biosolids report to EPA]; 

• 40 CFR 503.18. Reporting [Sewage 

Sludge/Biosolids Annual Program 

Report for land application]; 

• 40 CFR 503.28. Reporting [Sewage 

Sludge/Biosolids Annual Program 

Report for surface disposal]; and 

• 40 CFR 503.48. Reporting [Sewage 

Sludge/Biosolids Annual Program 

Report for incineration]. 

EPA has grouped the existing NPDES 

reporting requirements into ‘‘NPDES 

Data Groups,’’ which are defined and 

listed in 40 CFR 127.2(c) and in Table 

1 to appendix A of 40 CFR part 127. As 

defined in 40 CFR 127.2(c), the term 

‘‘NPDES data group’’ means the group of 

related data elements identified in Table 

1 in appendix A to 40 CFR part 127. 

These NPDES data groups have similar 

regulatory reporting requirements and 

have similar data sources. The final rule 

uses the NPDES Data Groups to identify 

the minimum set of data elements for 

each type of NPDES reporting (e.g., 

DMRs, NOIs, program reports) and to 

help permittees and regulated entities 

identify the initial recipient, as defined 

below in Section B.1, of electronic 

NPDES data submissions. 

B. Implementation 

1. Initial Recipient Status 

Under the final rule, NPDES-regulated 

entities are required to submit NPDES 

program data to the designated initial 

recipient, as defined in 40 CFR 127.2(b). 

For this rule, the term ‘‘initial recipient’’ 

means the governmental entity, either 

the state or EPA, who first receives the 

NPDES program data listed in appendix 

A to 40 CFR part 127. The initial 

recipient designation is made separately 

for each state and by each NPDES data 

group, which is defined in 40 CFR 

127.2(c). EPA is using the initial 

recipient term to help NPDES regulated 

entities properly identify the recipient 

for their electronic NPDES program data 

submissions. The initial recipient 

provision will also help ensure that 

authorized NPDES programs and EPA 

are properly sharing these NPDES 

program data with each other. EPA is 

required by the rule to maintain the 

initial recipient list for each state and by 

each NPDES data group and publish this 

list on its Web site and in the Federal 

Register. Identification of the initial 

recipient for each NPDES data group is 

included as a new NPDES permit 

standard condition as is the URL to the 

above Web site [see 40 CFR 

122.41(l)(9)]. EPA will work with 

authorized NPDES programs that would 

like more flexibility with the initial 

recipient designation (e.g., a state may 

want to be designated for NOIs for 

CAFOs but not MS4s). 

As necessary, the initial recipient 

designation can switch back and forth 

between the authorized state, tribe, or 

territory NPDES programs and EPA. 

EPA’s goal is to help all authorized 

NPDES programs be the initial recipient 

for any data group (e.g., DMRs) for 

which they would like to first receive 

the data. 

• As of the effective date of the final 

rule, the Initial Recipient determination 

is an ‘opt-out’ process for authorized 

state, tribe, or territory NPDES 

programs. Per § 127.27(a), an authorized 

NPDES program must notify EPA within 

120 days of the effective date of the final 

rule if it wishes EPA to be the Initial 

Recipient for a particular NPDES data 

group. If EPA receives no such 

notification, EPA will designate the 

authorized state, tribe, or territorial 

NPDES program as the Initial Recipient 

for all NPDES data groups. 

• An authorized NPDES program can 

initially elect for EPA to be the initial 

recipient and then, at a later date, seek 

EPA approval to change the initial 

recipient status for one or all of the 

NPDES data groups from EPA to the 

authorized state, tribe, or territory. To 

make this switch, the authorized state, 

tribe, or territory must send a request to 

EPA. This request shall identify the 

specific NPDES data groups for which 

the state, tribe, or territory would like to 

be the initial recipient of electronic 

NPDES information, include a 

description of how its data system will 

be compliant with 40 CFR part 3 

(including, in all cases, subpart D) and 

40 CFR part 127, and the date or dates 

when the state, tribe, or territory will be 

ready to start receiving this information. 

Section 127.27 outlines the process for 

requesting the designation of initial 

recipient. After EPA approval of the 

request, EPA will update the initial 

recipient list and will publish the 

revised initial recipient listing on its 

Web site and in the Federal Register. 

• An authorized NPDES program can 

initially elect to be the Initial Recipient 

for one or all of the NPDES data groups 

and then at a later date request that EPA 

become the initial recipient for one or 

all of the NPDES data groups. To make 

this switch the authorized state, tribe, or 

territory will send a request to EPA. 

After coordination with the state, EPA 

will update the initial recipient list and 

will publish the revised initial recipient 

listing on its Web site and in the 

Federal Register [see § 127.27(a)]. 

• There is also a process in 

§ 127.27(d) for ensuring that authorized 

NPDES programs share the minimum 

set of NPDES program data with EPA 

(see Appendix A to 40 CFR part 127). 

This process will switch the initial 

recipient status from the authorized 

state, tribe, or territory to EPA if the 

authorized NPDES program is not 

sharing the minimum set of NPDES 

program data with EPA. As noted in the 

proposed § 127.27(d)(4), EPA will work 

with the Director of the authorized 

NPDES program to remediate all issues 

identified by EPA that prevent the 

authorized NPDES program from being 

the initial recipient. When all issues 

identified by EPA are determined by 

EPA to be satisfactorily resolved, EPA is 

required to update the initial recipient 

listing in § 127.27(c) in order to list the 

authorized state, tribe, or territory as the 

initial recipient. 

An authorized NPDES program will 

continue to retain its responsibilities to 

facilitate electronic reporting even if it 

elects for EPA be the Initial Recipient 

for a particular NPDES data group. For 

example, an authorized NPDES program 

will still be expected to continue to 

provide support to NPDES regulated 

entities to facilitate electronic reporting 

(e.g., provide registration support, 

electronic reporting system training and 

user support) even when the authorized 

NPDES programs elects for EPA to be 

the initial recipient. EPA will assist 

authorized NPDES programs by 

providing training and support to 

authorized NPDES programs so that 

they can fully understand and use EPA’s 

electronic reporting systems and thereby 

provide effective support to NPDES 

regulated entities. 

It is important to note the interaction 

between the CROMERR requirements 

and the Initial Recipient requirements 

in the final rule.5 For example, if the 

initial recipient status for a particular 

state for a particular data group switches 

from the state to EPA, then the NPDESregulated entities in that data group in 

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that state would need to ensure they 

register with the appropriate 

CROMERR-compliant system. In this 

example, NPDES-regulated entities will 

switch from using the state electronic 

reporting systems to EPA’s electronic 

reporting systems (e.g., NetDMR, NeT). 

This means that these regulated entities 

will need to register and obtain the 

necessary signing credentials for EPA’s 

electronic reporting systems. Similarly, 

if the initial recipient status for a 

particular state for a particular data 

group switches from EPA to the state, 

then those NPDES-regulated entities in 

that data group in that state would 

switch from using an EPA electronic 

reporting system to a state electronic 

reporting system. Under this scenario, 

regulated entities will need to register 

and obtain the necessary signing 

credentials for the authorized NPDES 

program’s electronic reporting systems. 

However, if a state is using EPA’s 

electronic reporting systems, the 

regulated entities would not need to 

register again. 

2. Implementation Plan Schedule 

EPA initially proposed two phases for 

the implementation of electronic 

reporting with the first phase starting 

one year after the effective date of the 

final rule and a second phase starting 

two years after the effective date of the 

final rule. EPA proposed full 

implementation of electronic reporting 

within two years after the effective date 

of the final rule. Many authorized 

NPDES programs indicated that they 

would likely not be able to implement 

electronic reporting for all data within 

two years of the effective date of the 

final rule. One commenter suggested 

that EPA consider working with 

authorized NPDES programs to develop 

individual state plans with a schedule 

for implementation based on state 

readiness and resources to implement 

electronic reporting. Other commenters 

suggested extending the IP beyond two 

years. After significant consultation 

with authorized NPDES programs EPA 

is adopting the implementation 

schedule described in Section VII.A. 

EPA is providing additional time (five 

years from the effective date of the final 

rule) for authorized NPDES programs to 

switch their processing of Phase 2 

NPDES program data (e.g., general 

permit reports, program reports) from 

paper to electronic format in this final 

rule. This additional implementation 

time for Phase 2 data collection, 

management, and sharing will help 

authorized NPDES programs build or 

adopt electronic reporting systems for 

Phase 2 data as well as register and train 

NPDES regulated entities. EPA is 

keeping the proposed one-year schedule 

for the DMR data flow to be switched 

from paper to electronic format since 

nearly all authorized NPDES programs 

and many tens of thousands of NPDES 

permittees are already using NetDMR 

and other electronic Discharge 

Monitoring Report (eDMR) systems. The 

proposed rule also had the Federal 

general permit reports (NOIs, NOTs, 

LEWs, NOEs) included in Phase 1 

implementation. These permits are now 

included in Phase 2 of the final rule so 

that the implementation is consistent for 

all general permits. EPA will 

incorporate the requirements of this 

final rule into re-issued general permits 

so that EPA can expedite electronic 

reporting as soon as possible. 

In accordance with the final rule [40 

CFR 127.26(h)], authorized NPDES 

programs will also need to submit an IP 

to EPA for EPA’s review. The content of 

these plans must provide enough detail 

(e.g., key tasks and end dates) to ensure 

successful implementation of electronic 

reporting for Phase 2 data. These plans 

must include key tasks and the related 

end dates necessary for implementing 

this final rule, such as: (1) Describing 

key tasks for electronically collecting all 

Phase 2 data from NPDES-regulated 

facilities (e.g., developing and deploying 

electronic reporting systems and 

applications); (2) describing key tasks 

for updating state NPDES data systems 

to manage and share Phase 2 data with 

EPA’s ICIS–NPDES (e.g., adding new 

data elements to state NPDES data 

systems, updating the state’s electronic 

data transmission capabilities, which 

includes incorporating new data 

schemas and Environmental 

Information Exchange Network node 

plug-ins); (3) CROMERR compliance 

status for electronic reporting systems 

(e.g., approval dates or anticipated 

approval end dates for each NPDES data 

group); (4) schedule end dates for 

updating state statutes, regulations, and 

NPDES permits; (5) summary of 

outreach and training necessary to alert 

and educate NPDES regulated entities 

on how to utilize electronic reporting 

systems; (6) alternative options for 

converting to electronic reporting (e.g., 

utilization of EPA services and systems 

like NetDMR or NeT) if the state 

continually misses its own scheduled 

milestones end dates; and (7) temporary 

and permanent waiver approval 

processes. EPA will provide authorized 

NPDES programs with additional 

guidance on the content of these plans 

after promulgation of the final rule. EPA 

will inform the state if its 

implementation plan is inadequate. 

These plans should be sent to EPA 

within one year of the effective date of 

the final rule. EPA will review each IP 

and work with the corresponding 

authorized NPDES program to identify 

potential weaknesses and suggest 

potential revisions. EPA will finish its 

review of all IPs and inform the 

authorized NPDES program if its 

implementation plan is inadequate no 

later than six months after receipt. EPA 

plans to post these IPs on its Web site 

to provide the public with greater 

transparency on the milestones and 

tasks each state will be taking to move 

towards electronic reporting. 

3. Ensuring Compliance With the 

Implementation Schedule 

As noted in Section V.B.2, EPA is 

phasing in the electronic reporting 

requirements of this final rule over five 

years. In accordance with the schedule, 

and as a means to ‘‘fill in the gaps’’ 

where NPDES-regulated entities are not 

yet reporting electronically, EPA will 

use its authority, as appropriate, to issue 

targeted individual notices requiring 

NPDES-regulated entities to 

electronically report their NPDES 

program data (appendix A to 40 CFR 

part 127). EPA initially proposed to 

have these data come directly to EPA. 

Authorized NPDES programs suggested 

that instead EPA should require NPDES 

regulated entities to use state, tribe, or 

territorial electronic reporting systems 

that are in compliance with the final 

rule, as this would be more efficient. In 

this final rule, EPA is adopting the 

approach recommended by authorized 

NPDES programs and will use its 

existing authority under the CWA along 

with current technology and an 

Information Collection Request (ICR) to 

require NPDES-regulated entities to 

report electronically. EPA is using its 

authority under CWA sections 101, 

304(i), 308, 402(b), and 501 to require 

NPDES-regulated entities to 

electronically report NPDES program 

data. Section 308 of the CWA authorizes 

EPA to require access to information 

necessary to carry out the objectives of 

the Act, including Section 402, which 

establishes the NPDES program. EPA 

provided examples in the SNPR 

regarding when it would use this 

authority to send notices to NPDES 

regulated entities to start electronic 

reporting (1 December 2014; 79 FR 

71070). 

EPA also notes that authorized 

NPDES programs can use their 

enforcement discretion to refrain from 

enforcing conditions in the permit or 

other control mechanisms that explicitly 

require paper reporting as long as the 

regulated entity successfully reports its 

data electronically using the appropriate 

CROMERR-approved electronic 

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reporting system. This would enable 

EPA and authorized states, tribes, and 

territories to realize the benefits of 

electronic reporting without requiring 

double reporting from regulated entities 

and coordinating two separate 

submissions. The following are the main 

methods by which electronic reporting 

requirements will most likely be 

implemented by authorized NPDES 

programs and NPDES regulated entities 

under the final rule. As shown in Table 

3, authorized programs have several 

mechanisms to minimize the potential 

for dual reporting (paper and electronic 

submissions of the same data). 

Method Description 

Potential for 

dual reporting 

(paper and 

electronic) 

Electronic Reporting Allowable in Existing NPDES Permit .......................................... Existing reporting requirements in some 

NPDES permits may already allow for 

permittees to switch to electronic reporting (e.g., no explicit requirement to 

report DMRs on paper forms to the 

state).

No. 

NPDES Permit Issuance ............................................................................................... NPDES permit issuances are staggered. 

This means that some NPDES permits 

will be incorporating electronic reporting 

requirements before the implementation 

schedule deadlines.

No. 

Enforcement Discretion ................................................................................................. Authorized NPDES programs can issue 

an enforcement letter that allows 

NPDES permittees to forgo filing paper 

forms as long as they use the approved 

electronic reporting systems.

No. 

Minor Modification ......................................................................................................... With the consent of the permittee, the 

NPDES permitting authority can incorporate electronic reporting requirements 

through a minor modification. This is 

usually done permit-by-permit but there 

are no restrictions on a state that would 

like to take one action to change multiple permits at once. These minor 

modifications are very specific updates 

and do not require public notice. The 

NPDES regulated entity can use these 

minor modifications to eliminate the potential for dual reporting (paper and 

electronic).

No. 

Dual Reporting .............................................................................................................. The state can also require electronic reporting in addition to paper reporting, 

which is required by existing permit language. The dual reporting would last 

only until the permit expires and the 

next permit is issued with electronic reporting requirements. This is EPA’s 

least preferred option to phase in electronic reporting.

Yes. 

Under the implementation schedule 

for this final rule, EPA will assess the 

electronic reporting participation rate of 

NPDES regulated entities in each state 

and by each data group to determine 

when it would be appropriate to send 

individual notices. For example, EPA 

may send individual notices to compel 

electronic reporting when the 

authorized state, tribe, or territory has 

less than 90-percent participation rate 

for one or more data groups (e.g., MS4 

program reports), calculated after the 

required time for electronic reporting of 

the particular data group. EPA will 

separately calculate the participation 

rate for each state and for each data 

group no later than six months after the 

deadline for conversion from paper to 

electronic submissions (e.g., 18 months 

after the effective date of the final rule 

for DMRs). As appropriate, EPA will 

then send notice to the NPDES regulated 

entities that are not utilizing electronic 

reporting (e.g., 21 months after the 

effective date of the final rule for 

DMRs). This notice will direct NPDES 

regulated entities to use their authorized 

NPDES program’s electronic reporting 

system. Failure to comply with this 

notice will result in noncompliance 

with the CWA and may result in 

penalties. EPA will repeat its review of 

the participation rate for each state and 

for each data group on an annual basis 

as needed and send out notices as 

appropriate. EPA will coordinate the 

distribution of these notices with the 

authorized NPDES program. 

EPA anticipates that it may use 

individual notices to compel electronic 

reporting will likely be minimal as 

electronic reporting, over the long term, 

reduces burden for the reporter. It is 

also important to note that many 

facilities have already made the switch 

to electronic reporting (e.g., most DMR 

filers in Ohio are using Ohio’s e-DMR 

system). 

EPA solicited comment on this 90- 

percent participation rate metric. 

Commenters noted difficulties in 

outreach and training for the large 

number of NPDES-regulated entities that 

will need to switch from paper to 

electronic reporting. As described 

above, EPA is providing more time for 

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6See: https://netdmr.zendesk.com/entries/

45318090-For-New-Users-Who-Can-Report-. 

authorized NPDES programs to switch 

their processing of Phase 2 NPDES 

program data (e.g., general permit 

reports, program reports) from paper to 

electronic. This additional three years 

will help authorized NPDES programs 

build or adopt electronic reporting 

systems for Phase 2 data as well as 

register and train NPDES regulated 

entities. EPA is keeping the proposed 

one-year schedule for the DMR data 

flow since DMR electronic reporting 

tools are already deployed in 42 states, 

with an additional six states actively 

developing similar systems. This 

existing electronic reporting capacity 

has allowed tens of thousands of NPDES 

regulated entities to electronically 

report their DMRs over a number of 

years.6 EPA is also retaining the 90 

percent participation rate as this single 

simple measure will be an effective 

system to track progress and prompt 

NPDES regulated entities and 

authorized NPDES programs to switch 

from paper to electronic reporting 

within a reasonable time period. While 

the 90-percent figure is not codified in 

the final regulation [see 40 CFR 

127.26(i)], EPA is including the 90- 

percent figure in this preamble to the 

final rule and the accompanying ICR as 

a goal to promote electronic reporting 

and as a reasonable estimate of the 

number of entities that EPA may 

directly contact. EPA will work with 

states if there is a significant delay in 

the adoption of electronic reporting and 

re-assess the 90-percent participant rate 

goal as part of its ICR renewal (ICRs are 

typically approved by OMB for three 

years) or as appropriate. 

Another state commenter also 

suggested that EPA calculate for each 

authorized NPDES program one DMR 

electronic submission participant rate 

for individually permitted facilities and 

another DMR electronic submission 

participant rate for facilities covered 

under general permits. The commenter 

suggested that there are important 

differences between individually 

permitted facilities, which tend to be 

the larger facilities with a continuous 

discharge like POTWs, and facilities 

covered under general permits, which 

tend to be more numerous. Some 

authorized NPDES programs also use 

different agencies to manage specific 

industrial sectors (e.g., oil and gas 

facilities, mines, CAFOs) and these 

industrial sectors are often covered by 

general permits. EPA agrees with the 

commenters that there are important 

differences between individually 

permitted facilities and facilities 

covered by general permits. Having one 

DMR electronic submission participant 

rate for individually permitted facilities 

and another DMR electronic submission 

participant rate for facilities covered 

under general permits will allow EPA to 

more accurately target only those 

facilities and sectors with the poorest 

electronic reporting participation rates. 

In this final rule, EPA is adopting the 

approach recommended by some 

authorized NPDES programs and will 

use one DMR electronic submission 

participant rate for individually 

permitted facilities and another DMR 

electronic submission participant rate 

for facilities covered under general 

permits. 

EPA will also work with states to 

evaluate how best to assess electronic 

reporting participation for general 

permit reports (e.g., NOIs) for different 

sectors (e.g., oil and gas facilities, mines, 

CAFOs). The authorized NPDES 

program will document how to assess 

electronic reporting participation rates 

for general permit reports in their IP. 

Another important consideration is 

that NPDES-regulated entities with 

temporary waivers are excluded from 

the participation calculations. For 

example, if state X has 1,020 

individually permitted facilities that are 

required to submit DMRs and 20 of 

these facilities are granted temporary 

waivers from electronic reporting, then 

as a group at least 900 of the 1,000 

individually-permitted facilities without 

waivers [= 0.9 × (1,020 ¥ 20)] need to 

electronically submit DMRs to state X in 

order to meet the 90-percent 

participation rate. Examples of how EPA 

will use individual notices to ‘‘fill in the 

gaps’’ where NPDES-regulated entities 

are not yet fully electronically reporting 

their NPDES program data are provided 

in the supplemental notice to the 

proposed rule (1 December 2014; 79 FR 

71070) and more examples are in the 

docket (see DCN 0106). 

4. Hybrid Approach for Construction 

Stormwater NOIs 

As an alternative to use of a 

CROMERR-compliant electronic 

reporting system, one commenter 

suggested that EPA allow the initial 

recipient the option of using data 

capture technology [e.g., two 

dimensional barcodes such as Quick 

Response (QR) codes, optical character 

recognition] (see DCN 0178). In 

particular, authorized NPDES programs 

have noted their difficulty in getting 

construction operators to apply for and 

maintain electronic signatures for use 

with CROMERR-compliant electronic 

reporting systems for stormwater related 

discharges. Authorized NPDES 

programs suggested that EPA provide 

some flexibility in the final rule that 

would allow construction operators the 

ability to electronically submit data 

from construction stormwater general 

permit reports [e.g., Notice of Intent 

(NOI) to discharge; Notice of 

Termination (NOT); and Low Erosivity 

Waiver and Other Waivers from 

Stormwater Controls (LEW)] but without 

an electronic signature. EPA solicited 

comment on this approach in the 

supplemental notice to the proposed 

rule (1 December 2014; 79 FR 71076). 

Several comments expressed support for 

EPA to include this option in the final 

rule as a means to provide authorized 

NPDES programs with more options in 

implementing the final rule. In this final 

rule, EPA is providing the option for the 

initial recipient to use data capture 

technology for construction stormwater 

general permit reports (i.e., NOIs, NOTs, 

NOEs, LEWs). The following discussion 

provides more detail on this optional 

method for authorized NPDES programs 

to comply with this final rule for 

construction stormwater general permit 

reports. 

The final rule provides the initial 

recipient the option of allowing data 

capture technologies for construction 

stormwater general permit reports. This 

is defined in the final rule as the 

‘‘Hybrid Approach.’’ For example, 

under the Hybrid Approach, the initial 

recipient may allow construction 

operators to complete an online 

construction stormwater general permit 

report, which simultaneously produces 

a paper copy of the report and 

electronically transmits a copy of the 

data from the report to the initial 

recipient. The construction operator 

will sign and date the paper copy of the 

construction stormwater general permit 

report with a handwritten signature and 

this paper document will be the ‘‘copy 

of record.’’ The paper document will be 

managed in accordance with 40 CFR 

122.28. It is important to note that EPA 

general permit regulations (40 CFR 

122.28) do not require all general permit 

covered facilities to submit NOIs for all 

general permits as some general permits 

provide for automatic coverage. The 

final rule does not change EPA’s general 

permit regulations with respect to the 

discretion of the authorized NPDES 

program in deciding when a notice of 

intent requirement would be 

inappropriate [see 40 CFR 

122.28(b)(2)(v)]. Under the Hybrid 

Approach, the paper copy of the 

construction stormwater general permit 

report with a handwritten signature 

must be submitted to the authorized 

NPDES program. 

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Under the Hybrid Approach, the 

initial recipient must have the ability to 

definitively and uniquely link the 

signed and dated paper document with 

the electronic submission from the 

NPDES regulated entity. This could be 

done through use of a unique code or 

mark on the signed and dated paper 

document that is also embedded in the 

electronic submission. See Figure 1. 

Under the Hybrid Approach, the 

initial recipient can also use automated 

data capture technology (e.g., Optical 

Character Recognition) to allow a 

NPDES-regulated entity to submit 

NPDES program data on paper with a 

handwritten signature and date in a 

structured format that allows for easy 

data importation into the authorized 

program’s NPDES data system. It is 

likely in this example that the initial 

recipient will also be the authorized 

state, tribe, or territory since the paper 

form will be sent by the construction 

operator to the authorized NPDES 

program. 

EPA notes that using the Hybrid 

Approach will require the procurement 

and management of the necessary data 

capture technology, maintenance of the 

signed and dated paper submission, and 

the training of potential users; however, 

some authorized NPDES programs have 

suggested the Hybrid Approach may be 

less burdensome than requiring all 

construction operators to register and 

submit using standard CROMERRcompliant identity-proofing and 

electronic reporting services. 

Finally, EPA notes that it is limiting 

this approach to the construction sector 

due to the large and transient number of 

permittees that are reporting each year 

for new locations (approximately 

200,000 new construction sites each 

year). Use of the Hybrid Approach 

eliminates the need for construction 

operators to obtain and maintain a 

digital signature and the need for 

authorized NPDES programs to oversee 

and troubleshoot the process for these 

construction operators to obtain these 

digital signatures. 

EPA encourages state, local, or 

municipal government that make the 

Hybrid Approach available to regulated 

entities in the construction sector to also 

make CROMERR-complaint, fullyelectronic reporting available as well, 

reducing to the degree possible any 

reliance on paper. 

C. Waivers 

In the preamble to the proposed rule, 

EPA introduced the concept of 

temporary waivers from electronic 

reporting of NPDES program data. EPA 

proposed to limit the availability of 

these temporary waivers to regulated 

facilities in areas that lacked sufficient 

broadband availability. Under the 

proposal, temporary waivers would be 

available for one year at a time. 

Authorized NPDES programs would be 

required to enter the hard-copy NPDES 

program data submitted by facilities 

with waivers into the state or federal 

NPDES data system and share it with 

EPA. EPA requested comment on the 

need for such temporary waivers, 

possible options for such waivers, and 

on the possibility of permanent waivers 

for religious reasons. 

1. Temporary Waivers 

During the two public comment 

periods, EPA received several comments 

on temporary waivers. The majority of 

the comments on this topic supported 

the overall concept of temporary 

waivers from NPDES electronic 

reporting. Commenters expressed 

support for waivers that would have a 

longer duration than the one-year 

renewable timeframe identified in the 

proposed rule. Several commenters 

suggested that waivers should also be 


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7Authorized NPDES programs may grant 

electronic reporting waivers to NPDES-regulated 

facilities. In these cases, states perform the data 

entry from the paper submissions. 

made available for certain 

circumstances beyond broadband 

availability issues, such as undue 

burden or cost to the authorized NPDES 

program. For example, it may be more 

efficient for the state to manually enter 

data into an electronic system, than to 

train a NPDES regulated entity when 

there are numerically few of a certain 

category of permittees or when the 

sector is known to have limited 

computer skills even if the entity 

potentially has access to broadband 

internet. 

In the final rule, EPA is providing 

authorized NPDES programs with more 

flexibility in how they may grant 

temporary waivers. Per § 127.15 of the 

final rule, each authorized NPDES 

program will describe in its IP how it 

will implement the NPDES Electronic 

Reporting Rule waiver provision. 

Authorized NPDES programs will 

review and update, as necessary, their 

implementation of the NPDES 

Electronic Reporting Rule waiver 

provision once every five years and 

submit any changes to EPA for review. 

EPA will inform the state if its waiver 

process description is inadequate. The 

duration of a temporary waiver may not 

exceed five years, which is the normal 

period for an NPDES permit term. EPA 

also notes that these waivers are not 

transferrable. 

Additionally, authorized NPDES 

programs may issue episodic waivers to 

address large-scale national disasters 

(e.g., hurricanes) or prolonged electronic 

reporting system outages (i.e., outages 

longer than 96 hours). The authorized 

NPDES program will describe in the IP 

how it plans to issue episodic waivers 

in these extreme situations as part of its 

implementation of the NPDES 

Electronic Reporting Rule waiver 

provision. 

2. Permanent Waivers 

Commenters suggested that EPA 

should make permanent waivers for 

NPDES-regulated entities owned or 

operated by members of religious 

communities (e.g., Amish, Mennonite, 

and Hutterite). EPA agrees that it would 

be appropriate for the final rule to 

accommodate the religious practices of 

individuals that choose not to use 

certain technologies (e.g., computers, 

electricity) in accordance with their 

religion. In the final rule, authorized 

NPDES programs may issue permanent 

waivers to facilities owned or operated 

by members of religious communities 

that choose not to use certain 

technologies. Authorized NPDES 

programs will document their 

procedures for issuing permanent 

waivers as part of their implementation 

of the NPDES Electronic Reporting Rule 

waiver provision, which is described 

above. EPA notes that a NPDES 

regulated entity will need to re-apply for 

a permanent waiver upon any change in 

facility ownership and that these 

waivers are not transferrable. 

D. Summary of Changes to Appendix A 

Appendix A to the final rule (40 CFR 

part 127) is the minimum set of NPDES 

program data that must be electronically 

collected, managed, and shared between 

NPDES-regulated facilities, authorized 

NPDES programs, and EPA.7 Authorized 

programs that are the ‘‘initial recipient’’ 

of these data must electronically transfer 

these data to EPA on a regular schedule 

(within 40 days of completed action). 

EPA worked extensively with NPDES 

program experts from across the Agency 

and with authorized NPDES programs to 

develop and refine Appendix A. The 

purpose of Appendix A is to ensure that 

there is consistent and complete 

reporting nationwide, and to expedite 

the collection and processing of the 

data, thereby reducing burden and 

making the data more timely, accurate, 

complete, useful, and transparent for 

everyone. EPA recognizes that there 

may be certain instances where 

appendix A data do not apply directly 

to particular permitted activities as 

written and will work with states to 

accommodate any necessary differences. 

For instance, there may not be a fixed 

address for the application of pesticides, 

so, in this instance, the NOI may not 

include facility physical address, 

latitude, and longitude information as 

described in Appendix A, but would 

likely contain equivalent information as 

required by the permit. 

When reviewing the list of Appendix 

A data elements, it is important to note 

the following concepts: 

• Frequency: Reporting frequency 

varies based on the type of data (e.g., 

permit issuance would likely be every 

five years; DMR data may be monthly). 

• Applicability: Many of the data 

elements are only applicable to certain 

NPDES sectors (e.g., CAFO data 

elements do not apply to POTWs). 

• Efficiency: Many of the data 

elements use codes or unique 

descriptions to facilitate easier data 

entry. 

These concepts highlight the fact that 

there is a direct relationship between 

the amount of data that will be reported, 

collected, and managed and the overall 

burden of the rulemaking. The amount 

of data generated by each data element 

is directly tied to how frequently the 

data element is reported, the number of 

regulated entities that are covered by the 

data element (i.e., applicability), and the 

ease of reporting (i.e., efficiency). The 

amount of data generated by a data 

element directly increases with more 

frequent data reporting of the data 

element, more entities subject to the 

data element, and decreases with 

simplified data reporting (e.g., using text 

fields instead of use of codes or unique 

descriptions, which facilitate easier data 

entry). Consequently, it is important to 

focus on the amount of data that will be 

collected by this final rule and not the 

number of data elements listed in 

appendix A. EPA used the following 

process to create the initial draft of 

appendix A: 

• Identify current candidate reports 

and information from authorized 

NPDES programs and NPDES regulated 

entities that are practical to standardize 

and electronically process and have 

important value to the permitting and 

compliance and enforcement programs 

and the public. 

• Identify the required data elements 

for each candidate data flow and report 

based on the CWA or existing EPA 

regulations. 

• Minimize the number of data 

elements to create efficiencies without 

losing the utility of the data. 

During 2014 and 2015, EPA met with 

state technical experts to discuss all the 

data elements in appendix A. EPA 

summarized these discussions for the 

Docket (see DCN 0128 to 0142, 0181, 

0219 to 0229). 

In general, EPA simplified appendix 

A to help make implementation of the 

final rule easier for authorized NPDES 

programs and NPDES regulated entities. 

The data elements in appendix A 

support the electronic collection, 

management, and sharing of Phase 1 

and Phase 2 data. 

EPA also noted that authorized 

NPDES programs can require NPDES 

regulated entities to submit more data 

than what is listed in appendix A. The 

authorized NPDES program can require 

NPDES regulated entities to submit 

these ‘‘non-appendix A’’ data on paper, 

electronically, or as attachments (e.g., 

PDF files, CSV files) to electronic 

notices and reports filed in compliance 

with this final rule. Some commenters 

requested clarification on how EPA’s 

electronic reporting tools will be 

configured to separately handle 

appendix A and non-appendix A data. 

EPA’s electronic reporting tools allow 

for non-Appendix A data to be collected 

and shared with authorized NPDES 

programs. EPA will continue to work 

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64078 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

with authorized NPDES programs to 

configure these data systems such that 

the non-appendix A data are collected 

in the format needed by the authorized 

NPDES program. These implementation 

efforts will ensure that NPDES regulated 

entities only need to make one 

electronic submission with EPA’s 

electronic reporting tools and that these 

submissions may contain a mix of 

appendix A and non-appendix A data. 

EPA will work with authorized NPDES 

programs that build their own electronic 

reporting tools to ensure that their tools 

have similar capabilities. 

E. Unpermitted Facilities 

Current EPA regulations and policy 

set forth expectations for authorized 

NPDES programs to provide compliance 

monitoring data on all permitted 

facilities, both major and nonmajor 

facilities, and a limited group of 

unpermitted facilities. See 40 CFR 

123.41, DCN 0007, DCN 0037, and DCN 

0188. Under the 2014 Clean Water Act 

National Pollutant Discharge 

Elimination System Compliance 

Monitoring Strategy (‘‘2014 CMS’’), 

authorized NPDES programs can 

propose an alternative Compliance 

Monitoring Strategy (CMS) plan, which 

may include the state’s plan to conduct 

‘‘focused inspections’’ or ‘‘off-site desk 

audits’’ instead of ‘‘comprehensive 

inspections’’ for certain facilities (see 

DCN 0188). An alternative NPDES CMS 

plan is a plan that includes one or more 

compliance monitoring commitments 

that deviate from the national goals and 

flexibilities (see Part 2 of the 2014 CMS 

for detailed description of the national 

goals). As compared to the national 

goals, an alternative plan could include 

modified frequency of comprehensive 

inspections, modified compliance 

monitoring activities (e.g., offsite desk 

audit), or a combination of the two. As 

a condition for EPA approval of the 

alternative CMS plan, the state must 

commit to share with EPA’s ICIS-NPDES 

compliance monitoring data on all 

facilities (including unpermitted 

facilities) subject to a ‘‘focused 

inspection’’ or an ‘‘off-site desk audit’’ 

instead of ‘‘comprehensive inspection’’ 

(see Part 1 of the 2014 CMS). 

Additionally, EPA regulations require 

authorized NPDES programs to share 

compliance monitoring data with EPA 

on unpermitted facilities found to be in 

violation of the Clean Water Act (e.g., 

discharging without an NPDES permit) 

(see 40 CFR 123.41). 

This final rule does not change the 

existing requirements for NPDES 

programs to report information on 

certain unpermitted facilities to EPA. 

See 40 CFR 123.41(a); 123.43(d). In 

order to provide clarity, the following 

examples clarify when authorized 

NPDES programs are required to share 

NPDES program data on unpermitted 

facilities with EPA by entering these 

data in to EPA’s national NPDES data 

system (i.e., ICIS-NPDES). 

Example #1: As part of an approved 

alternative CMS plan, an authorized 

NPDES program evaluated ten 

unpermitted facilities with a focused 

inspection or an off-site desk audit. As 

a condition of EPA’s approval of the 

alternative CMS plan, the authorized 

NPDES program is required to share 

NPDES program data on these ten 

unpermitted facilities with EPA by 

entering these data in to EPA’s national 

NPDES data system (i.e., ICIS-NPDES). 

Example #2: The same authorized 

NPDES program in Example #1 

responds to a citizen complaint of an 

unpermitted facility by conducting an 

inspection of the unpermitted facility. 

This inspection is not part of the 

authorized NPDES program’s approved 

alternative CMS plan. The authorized 

NPDES program determines that this 

unpermitted facility is discharging 

pollutants to waters of the U.S. without 

an NPDES permit in violation of the 

CWA. In accordance with this rule, the 

authorized NPDES program is required 

to share NPDES program data on this 

unpermitted facility with EPA by 

entering these data in to EPA’s national 

NPDES data system (i.e., ICIS-NPDES). 

Example #3: The same authorized 

NPDES program in Example #1 

responds to a citizen complaint of 

another unpermitted facility by 

conducting an inspection of the 

unpermitted facility. This inspection is 

not part of the authorized NPDES 

program’s approved alternative CMS 

plan. The state determines that this 

unpermitted facility is not in violation 

of the CWA. The authorized NPDES 

program is not required to share NPDES 

program data on this unpermitted 

facility with EPA’s national NPDES data 

system (i.e., ICIS-NPDES). 

Example #4: An authorized NPDES 

program responds to a citizen complaint 

of an unpermitted facility by conducting 

an inspection of the unpermitted 

facility. The inspection is not conducted 

pursuant to the authorized NPDES 

program’s approved CMS plan. The 

authorized NPDES program determines 

that this unpermitted facility is 

discharging pollutants to waters of the 

U.S. without an NPDES permit in 

violation of the CWA. In accordance 

with this rule, the authorized NPDES 

program is required to share NPDES 

program data on this unpermitted 

facility with EPA by entering these data 

in to EPA’s national NPDES data system 

(i.e., ICIS-NPDES). 

Example #5: The same authorized 

NPDES program in Example #4 

responds to a citizen complaint of 

another unpermitted facility. The 

inspection is not conducted pursuant to 

the authorized NPDES program’s 

approved CMS plan. The state 

determines that this unpermitted facility 

is not in violation of the CWA. The 

authorized NPDES program is not 

required to share NPDES program data 

on this unpermitted facility with EPA’s 

national NPDES data system (i.e., ICISNPDES). 

Example #6: An authorized NPDES 

program inspects a facility with both an 

NPDES permit and state groundwater 

protection permit. During a compliance 

monitoring activity the inspector does 

not evaluate compliance with the 

NPDES permit but does determine that 

the facility is in violation of several state 

groundwater permit requirements (i.e., 

these violations are not violations of the 

CWA). The authorized NPDES program 

is not required to share NPDES program 

data from this compliance monitoring 

activity on this facility with EPA’s 

national NPDES data system (i.e., ICISNPDES) because it was not an NPDES 

program inspection. 

Example #7: An authorized NPDES 

program performs a comprehensive 

inspection of an unpermitted facility to 

determine if it is discharging without an 

NPDES permit. The inspection is 

conducted pursuant to the authorized 

NPDES program’s approved CMS plan. 

During the comprehensive inspection 

the authorized NPDES program 

determines that the unpermitted facility 

is violating two state permit 

requirements; however, the authorized 

NPDES program also determines that 

the unpermitted facility is not violating 

the CWA. The authorized NPDES 

program is not required to share NPDES 

program data on this unpermitted 

facility with EPA’s national NPDES data 

system (i.e., ICIS-NPDES). 

In summary, the final rule does not 

require authorized NPDES programs to 

share NPDES program data on 

unpermitted facilities with EPA’s 

national NPDES data system (i.e., ICISNPDES) with the following exceptions: 

a. The approved alternative CMS plan 

includes compliance monitoring of 

unpermitted facilities through use of a 

‘‘focused inspection’’ or an ‘‘off-site 

desk audit’’ instead of a 

‘‘comprehensive inspection.’’ 

b. Unpermitted facilities were subject 

to compliance monitoring and found to 

be in violation of the CWA (e.g., 

discharging pollutants to waters of the 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64079 

8 Individual PPAs can range from general 

statement about how the state and EPA will work 

together as partners (perhaps identifying joint 

priorities that will be addressed) to comprehensive, 

multi-program documents that detail each party’s 

roles and responsibilities. Some PPAs meet relevant 

statutory and regulatory requirements and also 

serve as the work plans for Performance Partnership 

Grants (PPGs) or other EPA grants. In a few cases, 

the PPA contains a more general discussion of the 

working relationship between EPA and the state 

rather than a discussion of priorities and programs. 

U.S.) and thus required to have an 

NPDES permit. 

c. Unpermitted facilities were subject 

to a formal enforcement action, an 

administrative penalty order, or an 

informal enforcement action (if such 

informal action addressed significant 

noncompliance). 

d. Authorized NPDES programs must 

share with EPA NPDES program data on 

industrial users regulated by the Federal 

pretreatment program (40 CFR part 403). 

e. Authorized NPDES programs must 

share with EPA NPDES program data on 

entities regulated by the Federal 

biosolids program (40 CFR part 503). 

Basic facility data on these 

unpermitted facilities and the related 

compliance monitoring data must be 

shared with EPA’s national NPDES data 

system (i.e., ICIS-NPDES). For the first 

three types of exceptions identified 

above, EPA Regions, authorized states, 

tribes, and territories would be required 

to electronically provide the following 

information to EPA’s national NPDES 

data system: basic facility information; 

compliance monitoring related 

information; and, if applicable, 

violations, and information regarding 

enforcement actions. 

Facilities included in the fourth group 

would be operating under a control 

mechanism, which may or may not be 

a permit (see 40 CFR 403.8). In 

accordance with the final rule, these 

facilities will electronically submit their 

bi-annual compliance reports [40 CFR 

403.12(e) and (h)] to their Control 

Authority (when the state or EPA is the 

Control Authority). Additionally, the 

Control Authority will summarize the 

compliance and enforcement action data 

for industrial users as part of the 

Pretreatment Program Report [40 CFR 

403.12(i)]. 

Facilities included in the fifth group 

would be operating under EPA’s 

Standards for the Use or Disposal of 

Sewage Sludge (40 CFR part 503), which 

are directly applicable to ‘‘any person 

who prepares sewage sludge, applies 

sewage sludge to the land or fires 

sewage sludge in a sewage sludge 

incinerator and to the owner/operator of 

a surface disposal site’’ (see 40 CFR 

503.1). This means that the annual 

reporting requirements in 40 CFR 

503.18, 503.28, and 503.48 are 

applicable even in the absence of an 

NPDES permit. 

F. Nonmajor Facility Inspection Single 

Event Violation (SEV) Data 

Single Event Violations (SEVs) 

include one-time events as well as 

violations with longer durations. These 

are violations that are generally not 

automatically flagged by the data system 

(e.g., inspection identified violations, 

sewer overflow, spill of industrial 

waste, discharges without an NPDES 

permit). These violation determinations 

are often manually generated by the 

authorized NPDES program as opposed 

to violations that can be system created 

or generated (e.g., effluent exceedances 

of permit limits are automatically 

flagged by ICIS-NPDES). 

SEV data are generated from 

inspection reports and other compliance 

monitoring activities by authorized 

NPDES programs. Currently 

approximately ten percent of facilities 

designated as majors in ICIS-NPDES 

have a SEV in any given year. These are 

important violations that are not 

automatically identified through selfmonitoring data like DMRs, and these 

data are important for targeting, 

transparency, and state oversight. The 

availability of such compliance 

determination information from states, 

tribes, territories, and EPA is critical to 

determining the compliance status of 

NPDES regulated facilities. This 

information is needed on a facilityspecific basis to better identify potential 

problems; ensure that appropriate action 

is taken to address noncompliance; 

better quantify national or state 

noncompliance rates; and to provide a 

more complete and transparent picture 

to permitting authorities, the public, 

Congress, and other stakeholders of the 

overall implementation and 

effectiveness of the authorized NPDES 

program. There are two to three data 

elements associated with SEVs: 

• Violation Code (this uniquely 

identifies the type of violation) 

• Date Data which includes: Single 

Event Violation Date (used when 

violation occurs on one date) or Single 

Event Violation Start Date and Single 

Event Violation End Date (used when 

violation spans multiple dates) 

Prior to this final rule, EPA only 

required authorized NPDES programs to 

share with EPA SEV data on facilities 

designated as majors. In the proposed 

rule, EPA discussed requiring 

authorized NPDES programs to also 

share with EPA SEV data on facilities 

designated as nonmajors (see 30 July 

2013; 78 FR 46041). EPA received 

comments from authorized NPDES 

programs suggesting that EPA rely on 

the Performance Partnership 

Agreements (PPA) and Performance 

Partnership Grants (PPG) process to 

manage SEV data sharing expectations.8

EPA has decided not to use the PPA and 

PPG process to manage SEV data 

sharing between authorized NPDES 

programs and EPA for the following 

reasons. 

PPAs and PPGs are often voluntary 

and all authorized NPDES programs use 

these documents to govern data sharing 

between authorized NPDES programs 

and EPA. Several states with PPAs have 

not updated them since the mid to late 

1990s, and the degree of specificity of 

PPA commitments such as data entry, 

inspections, and enforcement actions 

varies widely. This highly variable, 

voluntary process is not sufficient to 

encourage and evaluate national 

consistency in meeting national 

program expectations for NPDES data 

entry and tracking, compliance 

evaluations and determinations, and 

timely and appropriate enforcement 

response. 

Additionally, an authorized NPDES 

program is only required to share with 

EPA SEV data from a construction 

stormwater inspection when the 

authorized NPDES program also issues 

a formal enforcement action against the 

inspected construction site. As noted in 

the proposal, EPA made this distinction 

based on the large number of facilities 

in this segment of the NPDES universe 

(approximately new 200,000 

construction sites each year). This 

distinction is made in appendix A to 40 

CFR part 127. 

Finally, EPA notes that data from 

some SEVs will be self-reported by the 

permitted facilities. For example, a 

sewer overflow is an SEV but the 

permittee will be collecting and 

electronically sharing these data with 

the permitting authority (i.e., it will be 

the permittee that will electronically 

report these SEV data to the authorized 

NPDES program who will then 

electronically share these data with 

EPA). There are similar examples of 

permitted facilities reporting on SEVs in 

other program reports (e.g., CAFO 

Annual Report, Biosolids Annual 

Report). EPA has included in the 

Economic Analysis and Information 

Collection Request supporting the final 

rule the cost and burden of expanding 

the requirement on authorized NPDES 

programs to share with EPA SEV data 

on nonmajors (see DCN 0197). 

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64080 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

9Economic Analysis of Federal Regulations 

Under Executive Order 12866, Office of 

Management and Budget, January 11, 1996, DCN 

0064. 10 Id. 11Note that fewer facilities are considered in the 

small entity analysis (164,093 unique facilities, 

reflecting the number of facilities in ICIS-NPDES at 

the time of this analysis) than were estimated in 

Chapter Two of the EA (393,359 unique facilities) 

due to data limitations. As a result, the estimated 

number of small entities incurring costs under the 

rule is likely underestimated. However, the 

assumption is made that facilities affected by the 

rule but not currently in ICIS-NPDES will 

experience small entity impacts similar to the 

facilities currently in ICIS-NPDES. See the 

Economic Analysis for the Final Rule for more 

details. 

VI. Economic Analysis 

A. Regulatory Requirements Addressed 

by the Economic Analysis 

Executive Order 12866 directs federal 

agencies to perform an economic 

analysis (EA) to give decision makers 

information to determine that there is a 

need for the rule and that benefits of the 

rule justify the costs of the rule. Further, 

Executive Order 12866 requires that the 

rule maximize the net benefits to 

society, be cost effective and be based 

on the best reasonably obtainable 

information.9 E.O. 12866 defines the 

threshold for economically significant 

rules as one that is expected to create 

impacts to the economy of $100 million 

or more or otherwise adversely affect 

the economy, a sector of the economy, 

productivity, competition, jobs, the 

environment, public health or safety, or 

State, local, or tribal governments or 

communities in a material way.10 The 

EA also addresses the requirements of 

the Unfunded Mandates Reform Act 

(UMRA) and the Regulatory Flexibility 

Act (RFA). 

The Regulatory Flexibility Act (RFA) 

of 1980 (5 U.S.C. 601 et seq.) requires 

Federal agencies to review their 

proposed rules and regulations to 

determine if they will have ‘‘a 

significant economic impact on a 

substantial number’’ of small entities. 

But the RFA does not define ‘‘significant 

economic impact’’ or ‘‘substantial 

number.’’ In its regulatory flexibility 

analysis EPA adopted the Small 

Business Administration’s (SBA) 

definition of small entities, and used a 

threshold of 1% of revenue to determine 

economic significance. Using the SBA 

definition, EPA estimated that 108,000 

small entities would incur costs under 

the final rule.11

EPA estimates initial implementation 

costs for the regulated facilities to be no 

more than $314 per facility, with an 

additional intermittently recurring cost 

of approximately $6 for some 

permittees. EPA also estimates that a 

limited number of small entities might 

be required to report both electronically 

and on paper to their permitting 

authority during the first five years after 

the effective date of the rule, each 

incurring as much as $86 in additional 

annual costs. Only one entity is 

expected to incur a cost impact of 1% 

or greater associated with the 

annualized compliance costs resulting 

from the final rule. While impacts of 

greater than 1% are estimated to be 

incurred by one entity due to the rule, 

impacts of greater than 1% are incurred 

by far fewer than 100 small entities and 

considerably less than 20% of all small 

entities for all sectors and for each 

sector individually. Therefore, following 

EPA guidance on assessment of the 

rule’s direct adverse impact on any 

small entities, the rule is not expected 

to significantly impact a substantial 

number of small entities. 

B. Economic Significance of This Rule 

According to the threshold set out in 

E.O. 12866, this final rule is not 

economically significant. The threshold 

for a finding of economic significance is 

an annual effect, either costs or savings, 

of $100 million annually. EPA estimates 

the largest annual economic impacts to 

be $74.4 million in net costs during the 

first year after the effective date of the 

rule [Year 0 in Table 4–16: Schedule of 

Savings and Costs (3% Discount Rate) 

and Table 4–17: Schedule of Savings 

and Costs (7% Discount Rate), see DCN 

097]. EPA also estimates $24.3 million 

in net savings five years after the 

effective date of the rule [Year 5 in 

Table 4–16: Schedule of Savings and 

Costs (3% Discount Rate), see DCN 

0197]. 

Although this rule does not meet the 

economic significance threshold, this 

economic analysis includes most of the 

elements that would be required if the 

threshold were met—a statement of the 

need for the rule, an examination of 

alternatives, and the costs and benefits. 

The statement of need is located in 

Section II, and a description of the 

alternative approaches that were 

considered is located at Section IV. The 

non-monetary benefits were discussed 

in the first portion of Section VI. The 

balance of this section summarizes the 

estimated savings and costs of the 

selected approach. 

C. Description of Key Factors Used in 

the Economic Analysis 

The final rule would reduce the data 

entry burden on the states, tribes, and 

territories while increasing the 

percentage of the NPDES universe for 

which data are available electronically. 

Compared to the current reporting 

guidance, known as WENDB, the rule 

would reduce the data entry burden on 

states, tribes, and territories, increase 

the number of NPDES-regulated 

facilities for which NPDES data is 

available to EPA, and expand the scope 

of the available data for all NPDESregulated facilities covered by this rule. 

The main elements of this EA are the 

reporting universe, reporting 

frequencies, required data, changes in 

who reports the data, systems and 

infrastructure changes to make the 

reporting possible, and the schedule for 

implementation. 

(a) Estimated Universe of Potentially 

Affected Permittees 

This rule would change the universe 

of permit types for which EPA will 

receive data. As described in Section II, 

the current reporting guidance instructs 

the states to provide EPA with data on 

the major dischargers (6,800 permittees) 

and nonmajor dischargers with 

individual permits (approximately 

40,000 permittees). Some states provide 

data on a larger section of the permittee 

universe. 

Under the final rule, EPA would 

receive data on the entire permittee 

universe (approximately 400,000 

permittees including pesticides 

applicators and vessels), as represented 

in Table 4. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64081 

TABLE 4—UNIVERSE OF NPDES PERMITS

NPDES Subprogram 

Number of NPDES permits 

Individual 

majors 

Individual 

nonmajors 

General 

nonmajors 

Non-POTWs (Industrial, Agriculture, and Stormwater) 

Standard Industrial Dischargers (may also file CWA section 316(b) data) ............................................ 1,683 18,993 a 118,073 

CWA section 316(b) Filers 

Permits with Cooling Water Intake Data ................................................................................................. 1,171 0 0 

Permits with Thermal Variance Data ....................................................................................................... 554 0 0 

Industrial Facilities Submitting CWA section 316(b) Annual Reports ..................................................... 200 0 0 

Significant Industrial Users (SIUs) b

SIUs in Municipalities with Pretreatment Program .................................................................................. 0 29,060 0 

SIUs in Municipalities without Pretreatment Program ............................................................................. 0 2,487 0 

Concentrated Animal Feeding Operations .............................................................................................. 0 1,266 5,291 

Industrial and Construction Stormwater 

Industrial .................................................................................................................................................. 132 563 92,282 

Construction ............................................................................................................................................. 1 638 243,227 

Municipal Stormwater c

Phase I municipal separate storm sewer systems (MS4s) ..................................................................... 249 0 9 

Phase II MS4s ......................................................................................................................................... 0 204 5,093 

POTWs and TWTDSs (may have a CSS or a SSS, may also file more than one report) 

POTWs with Combined Sewer Systems (CSSs) d .................................................................................. 462 244 68 

POTWs with Sanitary Sewer Systems (SSSs) only d ............................................................................. 3,533 9,197 1,281 

TWTDSs .................................................................................................................................................. 779 7,510 655 

POTW NPDES Report Filers 

Biosolids/Sewage Sludge Report Filers .................................................................................................. 4,209 694 0 

Pretreatment Program Report Filers ....................................................................................................... 1,462 114 0 

Sewer Overflow Event Report Filers d ..................................................................................................... 4,774 16,950 2,003 

a Includes 9,125 pesticide applicators and 63,000 vessels that are already filing electronically. 

bThese industrial facilities discharge to POTWs and are regulated by the NPDES program through EPA’s General Pretreatment Regulations 

(40 CFR part 403) and Categorical Pretreatment Standards (40 CFR parts 405 through 471). They do not have NPDES permits, but those in municipalities without pretreatment programs would report electronically under the rule. c Nearly all Phase I MS4s are individually permitted facilities. For purposes of cost estimating, the analysis treats all individually permitted 

Phase I MS4s as majors and all Phase II MS4s as nonmajors. dThe analysis divides the total universe of POTWs into CSSs and SSSs and treats those that are only partially composed of CSSs as CSSs. 

Table 4 shows the types and 

estimated numbers of permits in each of 

the applicable categories. Note, 

however, that some facilities have 

reporting requirements under more than 

one subprogram, in which case they are 

counted in each applicable group 

because that is the basis for regulation 

and reporting. Specifically, CWA 

section 316(b) filers are a subset of 

standard industrial dischargers and 

POTW NPDES report filers are a subset 

of the group of POTWs and TWTDSs. 

Also note that SIUs do not have a 

NPDES permit but are included in the 

EA. 

Changes in the reportable universe 

affect virtually every aspect of the EA, 

including data entry costs, training 

costs, the need for electronic signatures 

and system registration, savings in 

paper and postage, and the potential 

impact of dual reporting. The majority 

of the savings due to the final rule result 

from electronic reporting of DMRs. 

Note, however, that not all of the 

regulated entities enumerated in Table 4 

submit DMRs. To clarify this point, 

Table 5 shows the number of filers 

under each subprogram for each type of 

report, including DMRs. 

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64082 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 5—NUMBER OF FILERS BY NPDES SUBPROGRAM AND REPORT TYPE

Subprogram Permit type NOI 

filers 

DMR 

filers 

Program 

report filers 

Non-POTWs (Industrial, Agriculture, and Stormwater) 

Standard Industrial Dischargers .................................... Individual Major ................................

Individual Nonmajor .........................

General Nonmajor ...........................

0 

0 

45,948 

1,683 

18,993 

41,353 

0 

0 

0 

CWA section 316(b) Filers a ........................................................................................................ 0 0 200 

Significant Industrial Users (SIUs) In Municipalities without Pretreatment Program b ................ 0 0 2,487 

Concentrated Animal Feeding Operations .................... Individual Nonmajor .........................

General Nonmajor ...........................

0 

5,291 

0 

0 

1,266 

5,291 

Industrial & Construction Stormwater 

Industrial ........................................................................ Individual Major ................................

Individual Nonmajor .........................

General Nonmajor ...........................

0 

0 

92,282 

132 

563 

92,282 

0 

0 

0 

Construction .................................................................. Individual Major ................................

Individual Nonmajor .........................

General Nonmajor ...........................

0 

0 c 83,871 

0 

6 

2,432 

0 

0 

0 

Municipal Stormwater d

Phase I MS4s ................................................................ Individual Major ................................

General Nonmajor ...........................

0 

9 

249 

9 

249 

9 

Phase II MS4s ............................................................... Individual Nonmajor .........................

General Nonmajor ...........................

0 

5,093 

0 

0 

204 

5,093 

POTWs and TWTDSs (may have a CSS or a SSS, may also file more than one report) 

POTWs with CSSs e ...................................................... Individual Major ................................

Individual Nonmajor .........................

General Nonmajor ...........................

0 

0 

68 

462 

244 

68 

f 462 

f 244 

f 68 

POTWs with SSSs only and TWTDSs e ....................... Individual Major ................................

Individual Nonmajor .........................

General Nonmajor ...........................

0 

0 

1,935 

4,312 

16,706 

1,935 

f 4,312 f 16,706 

f 1,935 

POTW NPDES Report Filers 

Biosolids/Sewage Sludge Report Filers a ...................... Individual Major ................................

Individual Nonmajor .........................

0 

0 

0 

0 

4,209 

694 

Pretreatment Program Report Filers ............................. Individual Major ................................

Individual Nonmajor .........................

0 

0 

1,462 

114 

1,462 

114 

a DMR filings by these facilities are captured by CSS POTWs, SSS POTWs, TWTDSs, or standard industrial dischargers. 

bThese industrial facilities discharge to POTWs and are regulated by the NPDES program through EPA’s General Pretreatment Regulations 

(40 CFR part 403) and Categorical Pretreatment Standards (40 CFR parts 405 through 471). They do not have NPDES permits, but those in municipalities without pretreatment programs would report electronically under the rule. cAssumes 2.9 construction stormwater general permits per firm. 

d Nearly all Phase I MS4s are individually permitted facilities. For purposes of cost estimating, the analysis treats all individually permitted 

Phase I MS4s as majors and all Phase II MS4s and nonmajors. eThe analysis divides the total universe of POTWs into CSSs and SSSs and treats those that are only partially composed of CSSs as CSSs. 

fAccounts for the submission of sewer overflow and bypass event reports. 

(b) Data Elements and Data Systems 

Section V describes how and why the 

inventory of reportable data is changed 

by this rule. For the EA, the biggest 

impacts of the change in reportable data 

are the costs of enhancing the database 

structures to store the additional data 

and the costs of data entry. Estimating 

the cost of modifying the databases 

involves several factors, chiefly the 

number of additional data elements, the 

number of NPDES data groups those 

data elements fall into (e.g., DMR, CAFO 

Annual Report), the number of data 

entry screens that will be needed, and 

the completeness of various state, tribe, 

territory, and EPA data systems prior to 

the final rule. 

Based on the number of data elements 

and their planned structure, EPA 

developed a detailed estimate of its own 

costs to modify ICIS to accommodate 

the additional data elements. Because 

EPA does not have independent 

estimates of the comparable system 

costs for each state, tribe, and territory, 

EPA’s estimate of system costs for those 

NPDES-authorized programs is based on 

EPA’s costs to modify ICIS. 

Data entry costs are one of the major 

aspects of the EA, and involve several 

additional factors, such as who 

generates the data, changes in the need 

for the states, tribes, and territories to 

enter permittee-created data into an 

information system, the number of 

permittees to which each data element 

applies, the frequency with which each 

type of data element is reported, the 

time required to enter each type of data 

element, and the labor costs associated 

with data entry. 

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(c) Responsibility for Creating Data 

‘‘Responsibility for creating data’’ 

refers to the act of initially determining 

the value of any particular required data 

element and writing it on paper or 

entering it into an electronic storage 

system. Each data element required by 

this rule has exactly one creator, 

although the identity of the creator can 

be affected by the nature of the permit. 

For example, DMR data is always 

created by a permittee, and enforcement 

data is always created by the permitting 

authority, but basic facility data might 

be created by either the permitting 

authority or the permittee, depending 

on the type of permit that will be used. 

The EA uses a detailed understanding of 

responsibility for data creation to 

estimate and assign data entry costs and 

savings for permittees, states, tribes, and 

territories. 

(d) Changes in the Need for State, 

Tribes, and Territories To Enter 

Permittee-Created Data 

Under the current system of 

operations, states, tribes, and territories 

are responsible for collecting data from 

their permittees and providing the 

WENDB data to EPA. Paper submissions 

are the primary means by which 

permittees submit data to the states, 

tribes, and territories. This means the 

states, tribes, and territories are required 

to enter large amounts of data created by 

permittees into the permitting 

authority’s information systems, or into 

ICIS-NPDES. Several types of reports are 

affected by this rule, but DMRs 

comprise a substantial majority of the 

permittee-created data that the states, 

tribes, and territories enter into data 

systems. As a result, a significant 

portion of the data collected is 

essentially being entered twice. The first 

is when permittees commit it to a paper 

form. The second is when the states 

enter the permittee-created data into an 

information system. 

One of the chief benefits of this rule 

is that it virtually eliminates the need 

for such double entry of data in this 

sense: When DMRs and other reports are 

submitted electronically by permittees, 

these reports can be received 

electronically by the states, tribes, and 

territories, transmitted directly to the 

applicable information systems, and 

shared with EPA through the National 

Environmental Information Exchange 

Network. 

There is generally no difference 

between the time required for a 

permittee to fill out a paper form and 

the time required for them to enter the 

same data on an electronic form. 

Therefore, permittee data creation costs 

and savings are not affected by the move 

to electronic reporting. The permittees 

are required to supply the same data, 

regardless of the media in which is it 

reported. However, during the transition 

period, some permittees might be 

required to submit data both 

electronically and on paper. The costs of 

such dual reporting are estimated to 

range from zero to $86 per entity. 

The impact on the states, tribes, and 

territories is very different. Every data 

element a state, tribe, or territory does 

not have to enter into a data system is 

a savings compared to the current mode 

of operation. This does not mean, 

however, that every state, tribe, and 

territory will experience the same 

savings from the rule. Some permitting 

authorities have already begun shifting 

to electronic reporting. Forty-eight states 

have either implemented EPA’s 

NetDMR or their own eDMR system or 

are in the process of doing so. Some 

permitting authorities have also begun 

moving to electronic reporting in other 

areas, such as NOI. However, 

participation in most of the state, tribe, 

or territory electronic reporting systems 

is voluntary, so participation rates are 

highly variable. Ohio is one of a few 

states that has a mandatory eDMR 

system and has achieved participation 

of over 99%. Other states have much 

lower participation rates, which mean 

they are bearing the costs of operating 

both paper-based and electronic 

reporting systems. 

(e) Permittees Reporting Various Data 

Elements 

As described in Section II, the current 

reporting guidelines require states, 

tribes, and territories to provide EPA 

with data for only a portion of the 

permittee universe. This rule expands 

the universe of permittees for which 

required reporting must be shared with 

EPA, primarily by requiring data on the 

so-called NPDES subprograms. 

Subprogram data elements are specific 

to the permittees in each of the 

subprogram universes. For example, the 

data elements applicable to CAFOs 

apply only to CAFO permittees, 

biosolids data elements apply only to 

biosolids permittees and so on. 

(f) Frequency of Data Element Reporting 

Another factor that affects the overall 

volume of data being submitted, and 

therefore the data entry costs and 

savings, is the variation in reporting 

frequencies. Reporting frequencies are 

dictated by the types of reports 

containing the data elements and the 

compliance monitoring strategy. DMR 

data elements are submitted on DMR 

forms, which are generally submitted 

monthly. Furthermore, many permittees 

submit multiple DMR forms per month, 

which explains (1) why DMR data 

elements comprise the largest portion of 

total data volume, and (2) why 

eliminating the need for the states, 

tribes, and territories to enter DMR data 

produces most of the savings from the 

rule. 

Facility data are submitted on initial 

permit applications or on NOIs, and 

might be reviewed and updated every 

five years when the permit is reviewed 

for reissuance. A large part of the 

facility data is never changed. Portions 

that are subject to change are generally 

addressed during the permit’s reviews. 

Permit data, such as limits and limit 

sets, are established when the permit is 

issued, and reviewed and possibly 

revised on a five-year cycle. Permit 

conditions are seldom modified except 

during the regular five-year reviews, or 

as a result of enforcement actions. 

Enforcement and compliance data are 

created on an as-needed basis. For 

example, inspection data are created at 

the time a facility is inspected. It is 

possible that some permittees will never 

have any violations or enforcement 

actions against them, and therefore very 

little enforcement data associated with 

them beyond routine compliance 

monitoring. 

Subprogram data elements can be 

found on any of the major submissions, 

but are primarily contained in the 

applicable annual reports. Each of the 

data types and possible submissions and 

their frequencies has been evaluated for 

proper mapping into the EA. 

(g) Time Required To Enter Data 

Elements 

Understanding how long it takes to 

enter data elements is a critical 

component of the EA. Nine states were 

surveyed to develop this information. 

Each respondent was asked to estimate 

the time it took them to enter various 

types of data elements. Respondents 

were grouped according to whether they 

were in a direct entry, batch entry or 

hybrid state, and average data entry 

times were computed for each data 

element within each group of states. The 

EA uses the data entry times from the 

survey to estimate how much time 

states, tribes, and territories will spend 

entering different types of data 

elements. 

(h) Labor Costs of Data Entry 

Labor rates for the rulemaking are 

taken from the Bureau of Labor 

Statistics. Several hourly rates are used, 

depending on the type of work and 

whether the worker is a government or 

private sector worker. 

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64084 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

(i) System Development Costs 

As described in Section II, EPA 

intends to develop electronic reporting 

systems for each of the reports covered 

by this rule—DMRs, NOIs, and program 

reports. Those EPA-developed systems 

will be offered to all of the states, tribes, 

territories, and permittees for their use. 

The cost of developing those reporting 

systems by EPA and the infrastructure 

to accommodate them were calculated 

and documented in a series of technical 

reports, and comprise the majority of 

the EPA HQ implementation costs as 

reported by the EA. EPA intends to 

encourage third-party development of 

electronic reporting systems. Ultimately 

each authorized state, tribe, and 

territory will decide whether to use, and 

allow their permittees to use, the EPAprovided electronic reporting systems or 

other systems. Each state, tribe, and 

territory has the option of adopting one 

or more of the EPA systems and 

rejecting the others. Although EPA is 

building, and making available, a 

comprehensive set of systems, the EA 

includes certain state, tribe, and 

territory costs to modify and expand 

their electronic reporting systems. 

The costs of modifying ICIS and the 

state, tribe, and territory NPDES data 

systems are somewhat different. Each of 

the authorized states, tribes, or 

territories either has its own data 

system, or uses ICIS–NPDES. All of 

these data systems are thought to need 

some degree of modification to accept 

the additional data elements, and in the 

case of state, tribe, and territory data 

systems, to share that data with EPA. 

EPA developed an estimate of its costs 

to modify ICIS. The EA includes those 

EPA costs, and uses those costs to 

estimate the cost of database changes in 

the states, tribes, and territories. The EA 

uses this approach because EPA does 

not have detailed information about the 

data structures in the states, tribes, and 

territories. The EA does take the 

available information about state, tribe, 

and territory data systems into 

consideration. 

All of these system development 

expenditures are included in the 

implementation costs of the rule, most 

of which are expended by EPA prior to 

rule promulgation and by the states, 

tribes, and territories within the first 

year after the effective date of the rule 

under the implementation schedule 

described in Section VII. 

The EA also estimates marginal 

operation and maintenance (O&M) 

costs, over and above current annual 

costs, for EPA to support the systems 

required by the rule. It assumes there 

are no incremental O&M costs for states, 

tribes, and territories specifically to 

maintain the upgraded electronic 

systems (although it does include other 

ongoing costs, such as data entry). EPA 

estimates that most of the state 

compliance costs will take place in the 

first few years after the final rule. 

(j) Additional Implementation Activities 

In addition to system development 

costs, the EA includes the costs to EPA 

and the states, tribes, and territories of 

the following activities associated with 

the implementation of the rule: 

• Authorized NPDES programs 

making decisions regarding their initial 

recipient status; 

• Authorized NPDES programs 

demonstrating their attorneys general 

accept electronic signatures in lieu of 

physical signature, thereby certifying 

compliance with CROMERR; 

• Authorized NPDES programs 

preparing IPs and EPA review of those 

plans; 

• Authorized NPDES programs 

updating their Memoranda of 

Agreement with their Regional 

Administrator; 

• Authorized NPDES program and 

EPA developing criteria for temporary 

and permanent waivers from electronic 

reporting; 

• Authorized NPDES program and 

EPA coordination via training webinars; 

• EPA assessing participation rates 

and, where appropriate, conducting 

oversight using its CWA authority and 

ICR to compel NPDES-regulated entities 

to utilize their NPDES program’s 

electronic reporting system; and, 

• Authorized NPDES programs and 

EPA modifying permits to require 

electronic submissions. 

The EA does not attempt to estimate 

the costs the states, tribes, and 

territories will incur to revise their 

statutes or regulations to implement the 

changes required by this rule. 

(k) Consolidating Summary Reports 

When the rule is fully implemented, 

EPA would essentially have complete 

data on almost the entire NPDES 

universe of permittees. As a result, EPA 

HQ will have all of the data necessary 

to prepare the Annual Notice of NonCompliance, the Quarterly NonCompliance Report, and the SemiAnnual Statistical Summary Report, all 

currently required from NPDESauthorized states, tribes, and territories 

by 40 CFR 123.45. 

For that reason, the rule replaces all 

of those reports with a single report 

generated by EPA HQ using the data in 

the data systems after implementation of 

the rule. The EA estimates the reduced 

burden on the states, tribes, and 

territories as a result of this reporting 

change. 

(l) Paper and Postage Savings 

As described in Section II, the 

majority of permittee submittals are 

being sent to the states, tribes, and 

territories on paper. Each of those 

submittals therefore requires paper, an 

envelope, and postage. 

Converting to electronic reporting 

under this rule will eliminate paper 

submittals of the covered reports for the 

vast majority of permittees. The EA 

estimates the percentage of permittees 

that will be required to use electronic 

reporting, the number and mix of 

reports they submit annually, as well as 

the number of pages in each report, and 

the required postage. 

(m) Registration, Electronic Signatures 

Agreements and Training 

Instituting electronic reporting will 

entail some effort from the permittees. 

The EA assumes that every permittee 

will have to take certain steps in order 

to begin reporting electronically, 

whether they report directly to EPA or 

to their respective state, tribe, or 

territory. The EA incorporates available 

data about the extent to which regulated 

entities are using electronic reporting 

systems to submit DMRs and assumes 

these entities will not bear additional 

registration and training costs. 

There are some differences in the 

costs to different permittees, based on 

the activities they are engaged in, and 

these differences have been included in 

the EA. To use the electronic reporting 

system for NetDMR and NeT, individual 

regulated entities will need to register 

for accounts, either on EPA’s Central 

Data Exchange (CDX) or a similar data 

portal provided by their authorized 

NPDES program. Most regulated entities 

(excluding construction operators in 

states that allow a Hybrid Approach, as 

discussed in Section V) will also need 

to mail their authorized NPDES program 

an electronic signature agreement (ESA) 

stating that their electronic personal 

identification number (PIN) is the legal 

equivalent of their written signature. 

NetDMR or authorized NPDES 

program eDMR systems are sufficiently 

complex that many regulated entities 

will need training to effectively use 

them. The EA assumes this training will 

be conducted online. Experience with 

currently operating systems has shown 

that training is not necessary for 

submitting NOIs or program reports 

electronically, as these systems are less 

complicated. General permit facilities 

would also use these less complicated 

systems to submit DMRs and, therefore, 

not require training. 

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The EA also assumes that some 

permittees would bear additional minor 

implementation costs associated with 

electronic reporting registration to 

satisfy EPA’s CROMERR requirements. 

Specifically, some entities would need 

to acquire a new business email address 

and entities that report less frequently 

than every 90 days would need to reset 

their password when they report. 

Including registration, ESA, training, 

and these minor costs, the EA estimates 

total initial implementation costs for 

individual permittees of $314 or less, 

with an additional recurring cost for 

some permittees of approximately $6 

when the permittee must reset their 

password. The EA also assumes that 

EPA would take over initial recipient 

status under 40 CFR 127.27(d) in two 

states during the ten year period 

covered by the analysis. Permittees in 

these states would need to re-register at 

an additional cost of $277 or less as 

most electronic signing credentials are 

not transferrable from one electronic 

reporting system to another. 

(n) Reporting During the Transition 

Period 

As discussed in Section V, during the 

initial implementation period, certain 

regulated entities might be required to 

submit data to their authorized state 

program both electronically and on 

paper. This dual reporting during the 

transition would involve copying 

information from paper forms into the 

appropriate state electronic reporting 

system and would occur only under 

certain conditions (e.g., the regulated 

entity’s permit conditions explicitly 

require paper reporting, the authorized 

state does not use its enforcement 

discretion, and the permittee does not 

consent to a minor modification of its 

permit). The EA incorporates the cost of 

such dual reporting for a portion of the 

affected universe. It assumes the actual 

number of regulated entities affected 

and the resulting cost will decrease over 

the course of the transition period, as 

permits are modified to require 

electronic, instead of paper reporting, 

either on the normal permit cycle or as 

a result of state implementation 

activities. Therefore, the EA assumes 

dual reporting will cease once the rule 

is fully implemented, five years after the 

effective date of the rule. The EA 

estimates the additional cost to 

permittees of such dual reporting at $86 

or less per affected entity per year. 

D. Summary of Costs and Savings 

The EA for this final rule estimates 

savings and costs over a ten-year period, 

beginning on the date that the rule 

would become final. Applying a 3% 

discount rate, and using 2014 dollars, 

the largest annual savings are $44.0 

million during the first year of 

electronic reporting (Year 1 in Table 6 

and Table 7). During the ten-year 

period, the highest annual costs are 

$74.4 million during the first year after 

the effective date of the rule (Year 0 in 

Table 6 and Table 7). Annual costs are 

significantly less in all other years. 

Cumulative savings for the ten-year 

period are $406.4 million while 

cumulative costs are $250.4 million. As 

a result the overall economic effect of 

this rule is a net cumulative savings of 

$156.0 million over the ten years of the 

projection. 

The following tables summarize the 

EA cost and savings using the 3% (Table 

6) and 7% (Table 7) discount rates as 

required by EPA’s EA guidance in 2014 

dollars. Each table shows the annual 

costs and savings. The ‘‘breakeven 

point’’ is the date after the final rule 

when the cumulative savings exceed 

cumulative costs. 

There are both qualitative and 

quantitative benefits associated with 

this final rule. EPA has estimated some 

of the benefits of this rule by performing 

calculations based on: the reporting 

universe; reporting frequencies and 

required data; changes in who reports 

the data; systems and infrastructure 

changes to make the reporting possible; 

and the schedule for implementation. 

Using a 3% discount rate, and 2014 

dollars, the annual total net benefits at 

full implementation (five years after the 

effective date of the rule) associated 

with reduced paperwork and 

management of information are 

approximately $26 million, with 93% of 

those savings going to the states, tribes, 

and territories. 

Additional benefits associated with 

the rule include the potential for 

improved compliance and allow for 

better government and public decision 

making; however, EPA was unable to 

monetize these benefits. EPA was able 

to develop a rough monetary estimate of 

the benefits associated with reductions 

in errors in the reported data resulting 

from the rule that benefit both regulated 

entities and permitting authorities. 

Using information on the number of 

errors typically associated with DMR 

submissions, EPA developed a rough 

estimate of the potential time and cost 

savings that permitted authorities might 

experience annually from no longer 

having to correct errors in DMR data. 

Specifically, EPA estimates total time 

and cost saving of 130 full-time 

equivalents (FTEs) and $9.3 million in 

wages. 

The cost of implementing the final 

rule during the first year after the 

effective date is approximately $74.4 

million. The cost is estimated to drop to 

a $20.1 million or less per year in 

subsequent years, once electronic 

reporting begins (assuming a 3% 

discount rate). During the first year of 

electronic reporting (Year 1 in Table 6 

and Table 7), annual savings greatly 

outweigh annual costs, resulting in net 

savings of approximately $23.9 million 

per year, with similar net savings in 

subsequent years. 

TABLE 6—TEN-YEAR PROJECTED COSTS AND SAVINGS—3% DISCOUNT RATE

Year EPA 

headquarters EPA regions States Regulated entities 

Costs 

0 ............................................................................................... $9,720,000 $400,000 $43,100,000 $21,160,000 

1 ............................................................................................... 1,040,000 30,000 18,060,000 1,010,000 

2 ............................................................................................... 1,230,000 30,000 17,530,000 930,000 

3 ............................................................................................... 940,000 30,000 17,020,000 1,240,000 

4 ............................................................................................... 850,000 30,000 16,520,000 800,000 

5 ............................................................................................... 830,000 30,000 16,000,000 740,000 

6 ............................................................................................... 1,330,000 30,000 15,440,000 710,000 

7 ............................................................................................... 880,000 30,000 14,990,000 690,000 

8 ............................................................................................... 760,000 30,000 14,550,000 1,000,000 

9 ............................................................................................... 730,000 30,000 14,130,000 650,000 

10 ............................................................................................. 710,000 30,000 13,800,000 630,000 

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TABLE 6—TEN-YEAR PROJECTED COSTS AND SAVINGS—3% DISCOUNT RATE—Continued 

Year EPA 

headquarters EPA regions States Regulated entities 

Cost Savings 

0 ............................................................................................... .............................. $— $— $— 

1 ............................................................................................... .............................. (2,280,000) (40,530,000) (1,210,000) 

2 ............................................................................................... .............................. (2,210,000) (39,350,000) (1,210,000) 

3 ............................................................................................... .............................. (2,150,000) (38,200,000) (1,210,000) 

4 ............................................................................................... .............................. (2,090,000) (37,090,000) (1,210,000) 

5 ............................................................................................... .............................. (2,040,000) (38,610,000) (1,250,000) 

6 ............................................................................................... .............................. (2,060,000) (38,210,000) (1,220,000) 

7 ............................................................................................... .............................. (2,000,000) (37,100,000) (1,180,000) 

8 ............................................................................................... .............................. (1,940,000) (36,020,000) (1,150,000) 

9 ............................................................................................... .............................. (1,890,000) (34,970,000) (1,110,000) 

10 ............................................................................................. .............................. (1,830,000) (33,950,000) (1,080,000) 

TABLE 7—TEN-YEAR PROJECTED COSTS AND SAVINGS—7% DISCOUNT RATE

Year EPA 

headquarters EPA regions States Regulated entities 

Costs 

0 ............................................................................................... $9,720,000 $400,000 $43,100,000 $21,160,000 

1 ............................................................................................... 1,000,000 30,000 17,380,000 970,000 

2 ............................................................................................... 1,140,000 30,000 16,240,000 870,000 

3 ............................................................................................... 840,000 20,000 15,180,000 1,100,000 

4 ............................................................................................... 730,000 20,000 14,190,000 690,000 

5 ............................................................................................... 680,000 20,000 13,220,000 610,000 

6 ............................................................................................... 1,050,000 20,000 12,280,000 570,000 

7 ............................................................................................... 680,000 20,000 11,480,000 530,000 

8 ............................................................................................... 560,000 20,000 10,730,000 730,000 

9 ............................................................................................... 520,000 20,000 10,030,000 460,000 

10 ............................................................................................. 490,000 20,000 9,430,000 430,000

Cost Savings 

0 ............................................................................................... $— $— $— $— 

1 ............................................................................................... $— (2,200,000) (39,010,000) (1,170,000) 

2 ............................................................................................... $— (2,050,000) (36,460,000) (1,120,000) 

3 ............................................................................................... $— (1,920,000) (34,070,000) (1,080,000) 

4 ............................................................................................... $— (1,790,000) (31,850,000) (1,040,000) 

5 ............................................................................................... $— (1,690,000) (31,910,000) (1,040,000) 

6 ............................................................................................... $— (1,640,000) (30,410,000) (970,000) 

7 ............................................................................................... $— (1,530,000) (28,420,000) (910,000) 

8 ............................................................................................... $— (1,430,000) (26,560,000) (850,000) 

9 ............................................................................................... $— (1,340,000) (24,820,000) (790,000) 

10 ............................................................................................. $— (1,250,000) (23,200,000) (740,000) 

VII. Regulatory Implementation 

A. Overview of Regulatory 

Implementation Schedule 

EPA developed the implementation 

schedule for this final rule after careful 

analysis and extensive consultation 

with authorized NPDES programs and 

many other stakeholders. This 

implementation schedule balances the 

goals and benefits of electronic 

reporting with the practical challenges 

facing authorized NPDES programs and 

regulated entities. For example, some 

authorized NPDES programs noted that 

they compete against other agencies for 

the time and resources of a central 

shared information technology staff. For 

these authorized NPDES programs the 

IP may need to be tailored to account for 

their unique circumstances. The 

transition from paper to electronic 

reporting will require close coordination 

and cooperation between EPA and 

authorized NPDES programs. These IPs 

will provide an effective means for 

documenting all necessary tasks for a 

timely and orderly transition to 

electronic reporting. 

As previously noted, the benefits of 

this final rule include accelerated 

resource savings that states, tribes, and 

territories will realize through reduced 

data entry burden and reduced effort in 

responding to public requests for data, 

consistent requirements for electronic 

reporting across all states, tribes, and 

territories, increased data quality, and 

more timely access to NPDES program 

data in an electronic format for EPA, 

states, tribes, and territories, regulated 

entities, and the public. These benefits 

and savings will be realized sooner the 

more quickly a state can implement the 

final rule. Under the final rule, a 

complete set of information for the 

regulated universe will be required no 

later than five years after the effective 

date of the final rule. In this final rule, 

EPA is adopting the timeline 

recommended by authorized NPDES 

programs and if participation goals are 

not met, EPA will issue individual 

notices to require NPDES-regulated 

entities to use the authorized NPDES 

program’s electronic reporting system. 

The combination of the deadlines in this 

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final rule, current technology, and 

EPA’s plan to issue individual notices 

will help maintain a steady and 

measurable pace towards electronic 

reporting in a reasonable time period. 

Given the different types of NPDES 

program data, EPA is phasing in the 

electronic collection, management, and 

transfer of NPDES program data 

(appendix A to 40 CFR part 127) on the 

following schedule. A chronological 

listing of implementation activities are 

provided in Table 8. 

• Phase 1 Data: Authorized NPDES 

programs are required to transmit to 

EPA basic facility and permit 

information (see list of data elements in 

DCN 0007) for all permits as well as 

other data necessary for implementation 

of Phase 1 data collection within nine 

months after the effective date of the 

final rule. One year after the effective 

date of the final rule authorized NPDES 

programs will also start electronically 

transmitting to EPA their state 

performance data, which includes 

information generated from compliance 

monitoring (e.g., inspections), violation 

determinations, and enforcement 

actions. Additionally, one year after the 

effective date of the final rule, NPDES 

regulated entities that are required to 

submit DMRs (majors and nonmajors, 

individually permitted facilities and 

facilities covered by general permits) 

must do so electronically. EPA and 

authorized NPDES programs will begin 

electronically receiving these DMRs 

from all DMR filers and start sharing 

these data with each other. One year 

after the effective date of the final rule, 

all NPDES regulated entities in states 

where EPA is the authorized NPDES 

biosolids program (currently 42 of 50 

states and all other tribal lands and 

territories) must electronically submit 

their Sewage Sludge/Biosolids Annual 

Program Report to EPA. 

• Phase 2 Data: Authorized NPDES 

programs have five years to begin 

electronically collecting, managing, and 

sharing the remaining set of information 

in appendix A in 40 CFR part 127. This 

information includes: (1) General permit 

reports [Notice of Intent to be covered 

(NOI); Notice of Termination (NOT); No 

Exposure Certification (NOE); Low 

Erosivity Waiver and Other Waivers 

from Stormwater Controls (LEW)]; 

Sewage Sludge/Biosolids Annual 

Program Report (where the state is the 

authorized NPDES biosolids program); 

and all other remaining NPDES program 

reports (e.g., CAFO Annual Report, 

Pretreatment Program Annual Report). 

Authorized NPDES programs will also 

share with EPA all data necessary for 

implementation of Phase 2 data 

collection three months before the Phase 

2 deadline (e.g., general permit 

parameters). Additionally, one year after 

the effective date of the final rule, 

authorized NPDES programs are 

required to submit an IP for meeting the 

Phase 2 data requirements to EPA for 

EPA to review. 

• NNCR and Other State Reporting: 

EPA will replace a number of currently 

required state reports (e.g., QNCR and 

ANCR) with the new NNCR when EPA 

has more a timely, complete, more 

accurate, and nationally-consistent set 

of data about the NPDES program. Full 

implementation of the NNCR and phase 

out of certain state reports will only be 

possible one full year after full 

implementation of Phase 2 data 

collection. A complete set of Phase 1 

and 2 data are necessary to develop and 

produce the NNCR. 

TABLE 8—CHRONOLOGICAL LISTING OF IMPLEMENTATION ACTIVITIES

Key milestones Date 

Final NPDES Electronic Reporting Rule—Effective Date ................................................................................. Sixty days after publication in the 

Federal Register. 

Authorized NPDES programs will start incorporating the new electronic reporting requirements into new or 

re-issued NPDES permits upon the effective date of this final rule. Authorized NPDES programs can incorporate electronic reporting requirements into NPDES permits through use of a minor modification 

process [see 40 CFR 122.63(f)].

Effective Date of Final Rule. 

A state, tribe, or territory that seeks authorization to implement an NPDES program must describe if it is 

requesting to be the initial recipient of electronic NPDES information from NPDES-regulated facilities for 

specific NPDES data groups. See 40 CFR 123.22(g) and appendix A to 40 CFR part 127.

90 days after the Effective Date of 

Final Rule. 

Authorized NPDES programs will decide the NPDES data groups for which they wish to be the initial recipient of electronic NPDES information from NPDES-regulated entities. The final rule uses an ‘opt-out’ 

approach so these authorized programs will need to provide notice to EPA if they wish for EPA to be the 

initial recipient for one or more of their NPDES data groups. These notices should be sent to EPA within 

120 days of the effective date of the final rule.

120 days after the Effective Date of 

Final Rule. 

EPA will publish on its Website and in the Federal Register a listing of the initial recipients for electronic 

NPDES information from NPDES-regulated entities by state, tribe, or territory and by NPDES data group. 

This listing will provide NPDES-regulated entities the initial recipient of their NPDES electronic data submissions and the due date for these NPDES electronic data submissions.

210 days after the promulgation 

date for the Final Rule. 

Authorized NPDES programs will electronically transmit to EPA basic facility and permit information (see 

list of data elements in DCN 0007) for all permits as well as other data necessary for implementation of 

Phase 1 data collection within nine months after the effective date of the final rule. Authorized NPDES 

programs often collect these data from paper individual NPDES permit applications and forms submitted 

by NPDES regulated entities; however, some states collect these data from NPDES regulated entities 

through electronic reporting systems.

Within nine months of the Effective 

Date of Final Rule. 

One year after the effective date of the final rule, authorized NPDES programs will start sharing with EPA 

their state performance data, which includes information generated from compliance monitoring (e.g., inspections), violation determinations, and enforcement actions.

Starting one year after the Effective 

Date of Final Rule. 

EPA and authorized NPDES programs will begin electronically receiving DMRs from all DMR filers [40 

CFR 122.41(l)(4)] and start sharing these data with the designated EPA and state NPDES data systems.

Starting one year after the Effective 

Date of Final Rule. 

All NPDES regulated entities in states where EPA is the authorized NPDES biosolids program (currently 

42 of 50 states and all other tribal lands and territories) must electronically submit their Sewage Sludge/

Biosolids Annual Program Reports [40 CFR part 503] to EPA.

Starting one year after the Effective 

Date of Final Rule. 

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TABLE 8—CHRONOLOGICAL LISTING OF IMPLEMENTATION ACTIVITIES—Continued 

Key milestones Date 

Authorized NPDES programs will submit an IP to EPA for EPA’s review to ensure that authorized NPDES 

programs will meet the Phase 2 electronic reporting deadline. The content of these plans must provide 

enough detail (e.g., tasks, milestones, roles and responsibilities, necessary resources) to ensure that 

EPA and authorized NPDES programs can work together to successfully implement electronic reporting. 

The IP will also document the process for evaluating and approving temporary and permanent electronic 

reporting waivers from NPDES regulated entities.

One year after the Effective Date of 

Final Rule. 

EPA will separately calculate the electronic reporting participation rate for each authorized NPDES program and for DMRs and the Sewage Sludge/Biosolids Annual Program Reports. EPA will assess the 

electronic reporting participation rate for individually permitted facilities separate from the electronic reporting participation rate for general permit covered facilities for DMRs.

Eighteen months after the Effective 

Date of Final Rule and annually 

thereafter. 

Per existing NPDES regulations [see 40 CFR 123.62(e)], authorized states, tribes, and territories will finish 

any necessary regulatory or statutory changes to their NPDES programs.

Two years after the Effective Date 

of Final Rule. 

Authorized NPDES programs will electronically transmit to EPA the data necessary for implementation of 

Phase 2 data collection (three months prior to Phase 2 deadline).

Within four years and nine months 

of the Effective Date of Final 

Rule. 

NPDES regulated entities will start electronically submitting their Phase 2 data. This information includes: Starting five years after the Effective Date of Final Rule. 

• General Permit Reports [Notices of Intent to discharge (NOIs); Notices of Termination (NOTs); No 

Exposure Certifications (NOEs); Low Erosivity Waivers or Other Waivers from Stormwater Controls 

(LEWs)] [40 CFR 122.26(b)(15), 122.28 and 124.5]; 

• Sewage Sludge/Biosolids Annual Program Reports [40 CFR part 503]—where the state is the authorized NPDES program; 

• Concentrated Animal Feeding Operation (CAFO) Annual Program Reports [40 CFR 122.42(e)(4)]; 

• Municipal Separate Storm Sewer System (MS4) Program Reports [40 CFR 122.34(g)(3) and 

122.42(c)]; 

• Pretreatment Program Reports [40 CFR 403.12(i)]; 

• Significant Industrial User Compliance Reports in Municipalities Without Approved Pretreatment Programs [40 CFR 403.12(e) and (h)]; 

• Sewer Overflow/Bypass Event Reports [40 CFR 122.41(l)(4), (l)(6) and (7), (m)(3)]; and 

• CWA section 316(b) Annual Reports [40 CFR part 125, subpart J] 

Authorized NPDES programs will also need to re-submit their waiver process descriptions to EPA for review on a five year cycle. EPA will inform the state if its waiver process description is inadequate. This 

will allow EPA and authorized NPDES programs to assess the effectiveness of the waiver process 

against advances in information technology.

Starting five years after the Effective Date of Final Rule. 

EPA will separately calculate the electronic reporting participation rate for each authorized NPDES program and for each NPDES data group.Five years and six months after the 

Effective Date of Final Rule and 

annually thereafter. 

Upon successful implementation of Phase 1 and 2, authorized NPDES programs will stop generating the 

Quarterly Non-Compliance Report (QNCR), the Annual Non-Compliance Report (ANCR), the Semi-Annual Statistical Summary Report, and the part 501 annual biosolids report.

Starting six years after the Effective 

Date of Final Rule. 

EPA will starting publishing the NPDES Noncompliance Report (NNCR) ........................................................ Starting six years after the Effective 

Date of Final Rule with annual 

and quarterly updates thereafter. 

B. Roles and Responsibilities 

1. Authorized NPDES Programs 

This rule does not change the 

governing responsibilities of authorized 

NPDES programs or EPA. Authorized 

NPDES programs will start 

incorporating the new electronic 

reporting requirements into new or reissued NPDES permits upon the 

effective date of this final rule. For 

example, changes to 40 CFR 122.41 

must be incorporated into any NPDES 

permit that is issued on or after the 

effective date of this final rule. 

Authorized NPDES programs will 

decide the NPDES data groups for 

which they wish to be the initial 

recipient of electronic NPDES 

information from NPDES-regulated 

entities. The final rule uses an ‘opt-out’ 

approach so these authorized programs 

will need to provide notice to EPA if 

they wish for EPA to be the initial 

recipient for one or more of their NPDES 

data groups. These notices should be 

sent to EPA within 120 days of the 

effective date of the final rule. 

Authorized NPDES programs will 

electronically transmit to EPA basic 

facility and permit information (see list 

of data elements in DCN 0007) for all 

permits as well as other data necessary 

for implementation of Phase 1 data 

collection within nine months after the 

effective date of the final rule. 

Authorized NPDES programs often 

collect these data from paper individual 

NPDES permit applications and forms 

submitted by NPDES regulated entities; 

however, some states collect these data 

from NPDES regulated entities through 

electronic reporting systems. 

One year after the effective date of the 

final rule, authorized NPDES programs 

will start sharing with EPA their state 

performance data, which includes 

information generated from compliance 

monitoring (e.g., inspections), violation 

determinations, and enforcement 

actions. Additionally, no later than one 

year after the effective date of the final 

rule, EPA and authorized NPDES 

programs will begin electronically 

receiving DMRs from all DMR filers and 

start sharing these data with the 

designated EPA and state NPDES data 

systems. To support the electronic 

collection, management, and sharing of 

DMR data, authorized NPDES programs 

will need to update their technology 

and infrastructure. For example, 

authorized NPDES programs may elect 

to use EPA’s NPDES data system (ICIS– 

NPDES) and electronic reporting system 

(NetDMR) to collect, manage, and share 

DMR data or authorized NPDES 

programs may choose devote their 

resources to develop their own such 

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12EPA notes that some authorized NPDES 

programs have adopted EPA’s national NPDES data 

system (ICIS–NPDES). 

data systems while meeting the 

regulatory requirements of 40 CFR part 

3 (including, in all cases, subpart D), 40 

CFR 122.22, and 40 CFR part 127. EPA 

will continue to closely work with 

authorized NPDES programs to help 

them develop their NPDES data systems 

in a cost-effective manner. 

Authorized NPDES programs will also 

likely need to provide training materials 

and resources to NPDES regulated 

entities (e.g., staff time to answer 

questions from NPDES regulated 

entities). These training materials and 

resources will help provide NPDES 

regulated entities with the necessary 

guidance and knowledge to utilize the 

appropriate electronic reporting system. 

In particular, NPDES regulated entities 

will need to learn how to obtain an 

electronic signature as well as how to 

register and maintain their login 

information for the appropriate 

electronic reporting system. 

Similarly, no later than five years after 

the effective date of the final rule EPA 

and authorized NPDES programs will 

start electronically receiving Phase 2 

data from all NPDES regulated entities 

and start sharing these data with the 

designated EPA and state NPDES data 

systems. Authorized NPDES programs 

will submit an IP to EPA for EPA’s 

review to ensure that authorized NPDES 

programs will meet this Phase 2 

deadline. The content of these plans 

must provide enough detail (e.g., tasks, 

milestones, roles and responsibilities, 

necessary resources) to ensure that EPA 

and authorized NPDES programs can 

work together to successfully implement 

electronic reporting. See Section V.B.2. 

These IPs need to be submitted to EPA 

for review within one year of the 

effective date of the final rule. EPA will 

inform the state if its implementation 

plan is inadequate. EPA will post the 

IPs on its Web site to provide the public 

with greater transparency on the 

milestones and tasks each state will be 

taking to move towards electronic 

reporting. Authorized NPDES program 

will also share with EPA all data 

necessary for implementation of Phase 2 

data collection three months before the 

applicable Phase 2 deadline. EPA will 

work with each authorized NPDES 

program to identify the appropriate 

deadline for the Phase 2 implementation 

data. Authorized NPDES programs will 

also need to update their state NPDES 

data system to support electronic 

reporting as well as develop training 

materials and resources for NPDES 

regulated entities.12

Finally, authorized NPDES programs 

will also need to document and submit 

to EPA for approval their process for 

evaluating and approving temporary 

and permanent electronic reporting 

waivers from NPDES regulated entities. 

This discussion will be contained in the 

IP. Authorized NPDES programs will 

also need to re-submit their waiver 

process descriptions to EPA for review 

on a five year cycle. EPA will inform the 

state if its waiver process description is 

inadequate. This will allow EPA and 

authorized NPDES programs to assess 

the effectiveness of the waiver process 

against advances in information 

technology. To facilitate an orderly 

transition to electronic reporting, 

authorized NPDES programs may issue 

temporary waivers to DMR filers prior to 

EPA’s review of the program’s IP or 

waiver process description submission 

to EPA. These waivers may not have a 

duration longer than five years. 

EPA estimates that some authorized 

NPDES programs may need to update 

their regulations or statutes to make 

clear that electronic reporting is 

required for the reports listed in Table 

1 of appendix A and that these 

electronic submissions must be 

compliant with 40 CFR part 127 

(including appendix A) and 40 CFR part 

3 (including, in all cases, subpart D) 

(CROMERR—authentication and 

encryption standards). Existing EPA 

regulations at 40 CFR 123.62(e) require 

that any updates to the authorized 

NPDES program take place within oneyear of the effective date of the final rule 

(if only a regulatory change is required) 

and within two years of the effective 

date of the final rule (if a state statute 

change is required). Accordingly, all 

authorized NPDES programs should 

complete any necessary updates to their 

state regulations and statutes within two 

years of the effective date of the final 

rule. 

Finally, the final rule will also lighten 

the reporting burden currently placed 

on the authorized NPDES programs. 

Upon successful implementation of 

Phase 1 and 2, the final rule will 

provide authorized NPDES programs 

with regulatory relief from reporting 

associated with the Quarterly NonCompliance Report (QNCR), the Annual 

Non-Compliance Report (ANCR), the 

Semi-Annual Statistical Summary 

Report, and the biosolids information 

required to be submitted to EPA 

annually by authorized NPDES 

programs. EPA will coordinate the 

switch over from the existing set of state 

reporting requirements to the new EPA 

generated NNCR. 

2. NPDES Regulated Entities 

NPDES permitted entities should 

expect to see new electronic reporting 

requirements in NPDES permits that are 

issued on or after the effective date of 

this final rule. In particular, NPDES 

permitted entities will be required to 

identify the initial recipient for their 

NPDES data submissions (in compliance 

with 40 CFR 122.41). In particular, 

NPDES permittees will consult EPA’s 

Web site to identify the initial recipient 

for their NPDES data submissions. EPA 

will update and maintain the listing of 

initial recipients. 

NPDES permitted entities should 

expect to electronically submit their 

DMRs no later than one year after the 

effective date of the final rule. NPDES 

permittees will need to be familiar on 

how to electronically report their DMRs 

using the approved electronic reporting 

system. Their permitting authority will 

provide training materials and resources 

to help NPDES regulated entities with 

the necessary guidance and knowledge 

to utilize the appropriate electronic 

reporting system. In particular, NPDES 

regulated entities will need to learn how 

to register and maintain an electronic 

signature as well as how to register and 

maintain their login information for the 

appropriate electronic reporting system. 

Similarly, five years after the effective 

date of the final rule, NPDES regulated 

entities will start electronically 

submitting their Phase 2 data. NPDES 

permitted entities will identify the 

initial recipient for their Phase 2 data 

submissions (in compliance with 40 

CFR 122.41) by consulting with EPA’s 

Web site. EPA’s Web site will also 

provide notice of the deadline for these 

Phase 2 electronic data submissions and 

information on the approved electronic 

reporting systems. NPDES regulated 

entities should also note that they may 

be required to use more than one 

electronic reporting system for their 

Phase 1 and 2 data submissions. For 

example, a POTW may be required to 

use a state e-DMR system to 

electronically report its DMRs (as the 

state is the authorized NPDES program 

for NPDES permits) and EPA’s NeT to 

report their Sewage Sludge/Biosolids 

Annual Program Report (as EPA is the 

NPDES program for the Federal 

biosolids program). For NPDESregulated entities that will use EPA’s 

electronic reporting systems, EPA will 

work closely with states, tribes, 

territories, and NPDES-regulated entities 

to provide sufficient training and 

registration support prior to the start of 

each implementation phase. 

Finally, as previously noted, the 

purpose of appendix A is to ensure that 

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there is consistent and complete 

reporting nationwide, and to expedite 

the collection and processing of the 

data, thereby reducing burden and 

making the data more timely, accurate, 

complete, useful, and transparent for 

everyone. This final rule changes the 

mode of transmission of NPDES data but 

does not increase the amount of NPDES 

information required to be reported 

under existing regulations. The 

evolution of appendix A reflects over 

ten years of EPA working closely with 

the states to identify the critical data 

elements that permitting authorities 

need to implement the NPDES program. 

3. EPA 

EPA Regions that issue NPDES 

permits will continue to incorporate 

electronic reporting requirements into 

new or re-issued NPDES permits and 

will be required to do so upon the 

effective date of this final rule. EPA will 

also incorporate the final rule 

requirements into the few nationwide 

permits that it issues in accordance with 

the rule’s implementation schedule. 

This will help communicate and 

confirm the electronic reporting 

responsibilities of NPDES regulated 

entities. 

EPA Headquarters will hold regular 

teleconferences and webinars with 

authorized NPDES programs during the 

transition period from paper reporting 

to electronic reporting to assist with 

data collection, management, and 

sharing activities. EPA will use these 

teleconferences and webinars to address 

general issues associated with electronic 

reporting as well as specific state needs 

and questions. 

EPA will also coordinate with 

authorized NPDES programs and update 

the data sharing process to include all 

the required set of NPDES program data 

(appendix A to 40 CFR part 127) 

between EPA and the authorized NPDES 

programs (see DCN 0191 for an 

overview of the current data sharing 

process). EPA will also update its data 

systems (e.g., ICIS–NPDES, NetDMR, 

NeT) to incorporate all the required set 

of NPDES program data. EPA will 

prioritize its actions to first support the 

collection, management, and sharing of 

Phase 1 data. EPA will continue to 

closely work with authorized NPDES 

programs to help them develop their 

NPDES data systems in a cost-effective 

manner. This includes providing 

training materials and resources to 

states that adopt EPA’s data systems 

[e.g., Central Data Exchange (CDX), 

CROMERR shared services, ICIS– 

NPDES, NetDMR, NeT]. 

EPA will maintain the initial recipient 

list for each state and by each NPDES 

data group and will publish this list on 

its Web site and in the Federal Register 

as changes occur. EPA will first publish 

this listing within 180 days of the 

effective date of the final rule. This 

listing will provide NPDES-regulated 

entities the initial recipient of their 

NPDES electronic data submissions and 

the due date for these NPDES electronic 

data submissions. 

One year after the effective date of the 

final rule, EPA will receive state 

performance data, which includes 

information generated from compliance 

monitoring (e.g., inspections), violation 

determinations, and enforcement 

actions, in its national NPDES data 

system (i.e., ICIS–NPDES). EPA will do 

the same for the data that it generates 

from its own inspections, violation 

determinations, and enforcement 

actions. Additionally, one year after the 

effective date of the final rule, EPA and 

authorized NPDES programs will begin 

electronically receiving DMRs from all 

DMR filers and start sharing these data 

with each other. Additionally, one year 

after the effective date of the final rule 

EPA will electronically collect and 

manage data from Sewage Sludge/

Biosolids Annual Program Reports that 

are submitted by NPDES regulated 

entities in states where EPA is the 

authorized NPDES biosolids program 

(currently 42 of 50 states and all other 

tribal lands and territories). 

Under the implementation schedule 

for this final rule, the Agency will assess 

the electronic reporting participation 

rate of NPDES regulated entities in each 

state and by each data group to 

determine when it would be appropriate 

to use its individual notices to compel 

electronic reporting. For example, EPA 

would likely use individual notices 

when the authorized state, tribe, or 

territory has less than 90-percent 

participation rate for one or more data 

groups (e.g., MS4 program reports). EPA 

will separately calculate the 

participation rate for each state and for 

each data group no later than six 

months after the deadline for conversion 

from paper to electronic submissions 

(e.g., 18 months after the effective date 

of the final rule for DMRs). As 

appropriate, EPA will then send notice 

to the NPDES regulated entities that are 

not utilizing electronic reporting (e.g., 

21 months after the effective date of the 

final rule for DMRs). This notice will 

direct NPDES regulated entities to use 

their authorized NPDES program’s 

electronic reporting system. Failure to 

comply with this notice will result in 

noncompliance with the CWA and may 

result in penalties. EPA will repeat its 

review of the participation rate for each 

state and for each data group on an 

annual basis, as needed, and send out 

notices as appropriate. 

Similar to Phase 1 implementation, no 

later than five years after the effective 

date of the final rule EPA and 

authorized NPDES programs will begin 

electronically receiving Phase 2 data 

from all NPDES regulated entities and 

start sharing these data with each other. 

EPA will review the Phase 2 data IPs 

from authorized NPDES programs. This 

IP will also include a description of the 

program’s waiver approval processes. 

EPA will finish its review of these IPs 

and waiver process descriptions no later 

than six months after receipt. EPA will 

inform the state if its implementation 

plan or waiver process description is 

inadequate. EPA will post these IPs and 

waiver process description notices on 

its Web site to provide the public with 

greater transparency on the milestones 

and tasks each state will be taking to 

move towards electronic reporting. 

Finally, EPA will work with 

authorized NPDES programs to develop 

the NNCR. Upon successful 

implementation of Phase 1 and 2, EPA 

will work with authorized NPDES 

programs to coordinate the switch over 

from the existing set of state reporting 

requirements (i.e., QNCR, ANCR, the 

Semi-Annual Statistical Summary 

Report, and the biosolids information 

required to be submitted to EPA 

annually by states) to the new EPA 

generated NNCR. EPA will publish the 

NNCR on its Web site on a quarterly 

basis. 

C. Other Aspects of Regulatory 

Implementation 

1. Copy of Record 

EPA is clarifying that the final rule 

does not change EPA’s authentication 

and encryption standards for electronic 

reporting. Below is a discussion of the 

copy of record as it pertains to the 

implementation of electronic reporting. 

An important element of EPA’s 

authentication and encryption standards 

for electronic reporting is the ‘‘copy of 

record.’’ See 40 CFR 3.3. A copy of 

record must: 

• Be a true and correct copy of the 

electronic document that was received, 

and it must be legally demonstrable that 

it is in fact a true and correct copy; 

• include all the electronic signatures 

that have been executed to sign the 

document or components of the 

document; 

• include the date and time of receipt 

to help establish its relation to 

submission deadlines; and, 

• be viewable in a human-readable 

format that clearly indicates what the 

submitter and, where applicable, the 

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signatory intended that each of the data 

elements or other information items in 

the document means. 

For such CROMERR-compliant 

submissions, the copy of record is 

intended to serve as the electronic 

surrogate for what is commonly referred 

to as the paper submission with a ‘‘wetink’’ signature. The copy of record is 

meant to provide an authoritative 

answer to the question of what was 

actually submitted and, as applicable, 

what was signed and certified in the 

particular case. 

It is important to note that the use of 

an electronic reporting system may 

dictate where the electronic copy of 

record is retained. EPA retains the copy 

of record for electronic submission 

made through its electronic reporting 

tools (e.g., NetDMR and NeT). Likewise, 

state electronic reporting systems will 

contain the electronic copy of record for 

submissions made with these state 

systems. 

Under the ‘‘Dual Reporting’’ scenario, 

as described in Table 3, the authorized 

NPDES program may elect to designate 

EPA as the initial recipient and EPA 

would electronically collect NPDES 

program data directly from NPDESregulated entities. Under this scenario 

these entities would also make a paper 

submission of the same report with a 

‘‘wet-ink’’ signature to the state (as 

required by their NPDES permit). In 

these cases, the paper submission to the 

state with a ‘‘wet-ink’’ signature is the 

copy of record. 

2. Cross-Media Electronic Reporting 

Regulation (CROMERR) 

EPA’s final rule requires that all 

electronic reporting systems that are 

used for implementing NPDES 

electronic reporting, whether already 

existing or to be developed by EPA and 

authorized NPDES programs, be 

compliant with subpart D of EPA’s 

CROMERR (see 40 CFR part 3). 

CROMERR sets performance-based, 

technology-neutral standards for 

systems that states, tribes, and local 

governments use to receive electronic 

reports from facilities they regulate 

under EPA-authorized programs. 

CROMERR also addresses electronic 

reporting directly to EPA. 

EPA notes that state or EPA systems 

that use the Hybrid Approach, which is 

discussed in Section V, uses the paper 

document with a ‘‘wet-ink’’ signature as 

the copy of record. The related 

electronic data transfer from the Hybrid 

Approach is not a submission within 

the meaning of CROMERR. 

Additionally, the Hybrid Approach 

option still requires compliance with 

the regulatory requirements of 40 CFR 

122.22 and 40 CFR part 127 and any 

additional permit requirements. 

Under this rule, NPDES-regulated 

entities (e.g., POTWs) are not required 

to submit a CROMERR application to 

electronically report NPDES program 

data. However, it is the responsibility of 

the authorized NPDES programs 

receiving these electronically reported 

NPDES program data to obtain approval 

from EPA for their electronic reporting 

systems and processes in accordance 

with EPA’s CROMERR requirements. 

Under the final rule, NPDES-regulated 

entities that electronically report their 

NPDES program data will use 

CROMERR-approved electronic 

reporting systems and processes. 

Authorized NPDES programs are 

responsible for submitting CROMERR 

applications for their electronic 

reporting system and NPDES-regulated 

entities are only required to complete 

the necessary signature requirements for 

that system. 

EPA also notes that CROMERR 

requires state, tribal or local government 

agencies that receive, or wish to begin 

receiving electronic reports under their 

EPA-authorized programs (e.g., CWA 

pretreatment program) to apply to EPA 

for a revision or modification of those 

programs and obtain EPA approval. 

However, an important consideration is 

that the final rule does not require 

approved pretreatment programs to 

electronically collect NPDES program 

data from significant and categorical 

industrial users. Approved pretreatment 

programs may continue to collect 

NPDES program data from significant 

and categorical industrial users on 

paper. 

3. Electronic Reporting for the 

Pesticides General Permit and Vessels 

General Permit 

Several commenters had questions 

regarding the application of the 

proposed rule to regulated entities 

subject to EPA’s Pesticides General 

Permit and Vessels General Permit. EPA 

provides NPDES permit coverage for 

pesticide applicators in states where 

EPA is the permitting authority and 

vessel operators nationwide. EPA is not 

exempting these two permits from the 

NPDES Electronic Reporting Rule. 

Specifically, EPA’s General Permit 

regulations (40 CFR 122.28) apply to all 

general permits and EPA’s proposed 

revisions to this regulatory language that 

implement electronic reporting do not 

exclude pesticide applicators or vessel 

operators (or any other sector or general 

permit). However, vessel incidental 

discharges and discharges from the 

application of pesticides are atypical 

from more traditional permitted 

discharges and as such, some of the data 

elements in Appendix A may not be 

appropriate as written. For example, 

there may not be a fixed address of 

where pesticide applications occur (i.e., 

the activity permitted) and the actual 

location of such pesticide application 

activities may not be known until the 

time when those pesticides are actually 

applied (i.e., at some point in time after 

that operator obtains NPDES permit 

coverage). Similarly, vessel operators 

often do not know into which waters 

they will discharge at the time of 

obtaining permit coverage and many of 

these vessels are operated by foreign 

companies based out of foreign ports 

(with non-US mailing addresses and 

phone numbers). In these instances, 

EPA will gather electronic information 

consistent with the nature of these 

discharges. 

4. Due Dates for State Data Entry 

To include all NPDES subprograms 

(e.g., pretreatment, biosolids, sewer 

overflows, MS4 program reports, 

construction stormwater, industrial 

stormwater, cooling water intake 

structures), the required data set as 

defined by this final rule is more 

comprehensive than what authorized 

NPDES programs were previously 

reporting under previously existing EPA 

policy (see list of data elements in DCN 

0007 as compared to appendix A to 40 

CFR part 127). EPA will work closely 

with states, tribes, and territories to 

ensure that all authorized NPDES 

programs electronically transmit to EPA 

basic facility and permit information 

(see list of data elements in DCN 0007) 

for all permits as well as other data 

necessary for implementation of Phase 1 

data collection within nine months after 

the effective date of the final rule. 

Collection of these data will enable 

NPDES regulated entities to begin 

electronic reporting as facility and 

permit data must first be entered into 

ICIS–NPDES for the system to accept 

compliance monitoring data (e.g., 

DMRs, Sewage Sludge/Biosolids Annual 

Program Reports). Additionally, 

collection of these data will allow 

authorized NPDES programs to provide 

their compliance inspection and 

enforcement data to ICIS–NPDES. EPA 

will also work closely with authorized 

NPDES programs to ensure that all of 

the remaining facility and permit data 

required by the final rule for Phase 2 

(see NPDES Data Group 1 in Tables 1 

and 2 of appendix A to 40 CFR part 127) 

are entered into ICIS–NPDES within five 

years after the effective date of the final 

rule. 

Additionally, under the final rule, 

authorized NPDES programs must start 

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64092 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

submitting any new compliance 

monitoring and enforcement action data 

(see Appendix A to 40 CFR part 127) 

one year after the effective date of the 

final rule. These new data elements add 

to the existing data that states report 

(see DCN 0007) from their compliance 

monitoring activities and reflect the 

increased focus on the NPDES 

subprograms. The final rule only 

requires authorized NPDES programs to 

start entering these new compliance 

monitoring and enforcement action data 

elements into ICIS–NPDES one year 

after the effective date of the final rule. 

5. Concentrated Animal Feeding 

Operations (CAFO) Sector 

EPA received many comments from 

the animal agricultural sector in 

response to the proposed rule. Although 

this rule only changes the mode of 

transmission of NPDES information 

from paper-based reports to electronic 

reporting and does not address EPA’s 

practices for managing and sharing that 

information, EPA received comments 

regarding privacy, security, management 

of confidential business information, 

and EPA’s current practice of posting 

inspection information on unpermitted 

CAFOs and Animal Feeding Operations 

(AFOs) on its public Web site 

[Enforcement and Compliance History 

Online (ECHO)—http://echo.epa.gov]. 

EPA used the supplemental notice to 

the proposed rule to clarify the effects 

of the proposed rule on CAFOs in 

response to these comments (see 1 

December 2014; 79 FR 71073). 

This final rule would only require 

CAFOs with NPDES permits to submit 

information that the Clean Water Act 

and existing regulations already requires 

them to provide to permitting 

authorities. See 33 U.S.C. 1342. The 

final rule simply modernizes the format 

through which permitted CAFOs would 

submit certain types of information by 

requiring electronic submission as 

opposed to paper-based reporting. This 

modernized format will increase 

efficiencies for permitted CAFOs as well 

as regulators. Additionally, under this 

final rule a permitted CAFO can also 

request a temporary waiver from 

electronic reporting consistent with 

authorized NPDES program’s 

implementation plan. 

EPA also solicited comments in the 

supplemental notice to the proposed 

rule on whether it should change its 

current practice and begin masking 

facility information for unpermitted 

CAFOs and AFOs that EPA or state 

inspectors found were not discharging 

and do not require an NPDES permit. 

EPA published the following example 

(See Table 9) in the supplemental notice 

to the proposed rule showing how EPA 

could mask these data and solicited 

comments on this approach. 

TABLE 9—PROPOSED HYPOTHETICAL EXAMPLE OF MASKING UNPERMITTED CAFOS AND AFOS THAT STATE INSPECTORS

FOUND WERE NOT DISCHARGING AND DO NOT REQUIRE AN NPDES PERMIT

Facility #1 Facility #2 

Show-Me State Animal Farm; Location: 11300 Ozark Lane, Perryville, 

Missouri 63775; County: Perry; Lat.: 37.836084, Long: -89.738644; 

Inspection(s): 3/14/2010 (no violation identified); 6/22/2014 (discharging without an NPDES permit).

Unpermitted CAFO/AFO–0000001; Location: Missouri; County: Redacted from Website; Lat./Lon.: Redacted from Website; Inspection(s): 2/17/2009 (no violation identified); 5/25/2013 (no violation 

identified) 

In this hypothetical example, the 

unpermitted CAFO shown in the 

column labeled ‘‘Facility #1’’ would not 

have its facility and contact information 

displayed on EPA’s public Web site 

until the weekly refresh of ECHO data 

from ICIS–NPDES after 22 June 2014, 

which is the date the state or EPA 

Region identified that the facility had a 

Clean Water Act violation (i.e., 

discharging without an NPDES permit) 

and entered these data into ICIS– 

NPDES. If an unpermitted CAFO does 

not have a Clean Water Act violation as 

determined by the authorized NPDES 

program or EPA, then the facility and 

contact information would not be 

displayed on EPA’s ECHO Web site (see 

the column labeled ‘‘Facility #2’’ in the 

above table). 

EPA also solicited input on potential 

changes to its national NPDES data 

system (ICIS–NPDES), which are 

necessary to provide authorized NPDES 

programs and Regions with the 

capability to identify these nonpermitted CAFO/AFOs that do not 

require an NPDES permit (1 December 

2014; 79 FR 71080). 

Comments from the animal 

agricultural sector were in favor of this 

proposed approach while other 

commenters (e.g., environmental 

advocacy groups) were not. Some 

authorized NPDES programs also 

support this as a reasonable approach in 

balancing the competing interests of 

privacy and public access to these data. 

Separate from this rulemaking, in light 

of concerns raised regarding the privacy 

interests of an unpermitted CAFO or 

AFO that an authorized NPDES program 

or EPA has assessed and found to have 

not violated the Clean Water Act, EPA 

will change its current practice and 

mask on the ECHO public Web site the 

related facility-specific facility 

information (see Table 9). 

EPA will implement this data 

masking in an iterative, two-step 

process. EPA is using a two-step process 

because unpermitted facilities in EPA’s 

national NPDES data system (ICIS– 

NPDES) cannot currently be identified 

by CAFO permit component data. As a 

first step, EPA will use other currently 

available data in ICIS–NPDES to 

identify unpermitted CAFOs or AFOs 

that an authorized NPDES program or 

EPA have assessed and not found any 

Clean Water Act violations (see DCN 

0207). EPA plans to implement this 

interim approach by the effective date of 

this final rule. 

EPA plans to supersede the first 

approach with a second data masking 

approach outlined in the supplemental 

notice to the proposed rule (1 December 

2014; 79 FR 71080). The second data 

masking approach will only use CAFO 

permit component data to identify 

unpermitted CAFOs and AFOs (see DCN 

0207). This second approach will take 

more time to implement as upgrades to 

ICIS–NPDES and coordination with 

authorized NPDES programs are 

necessary to identify the exact set of 

unpermitted CAFOs and AFOs that an 

authorized NPDES program or EPA has 

assessed and found to have not violated 

the Clean Water Act. EPA anticipates it 

will need a year after the final rule to 

adopt this second data masking 

approach. 

VIII. Statutory and Executive Order 

Reviews 

A. Executive Order 12866: Regulatory 

Planning and Review and Executive 

Order 13563: Improving Regulation and 

Regulatory Review 

This action is a ‘‘significant regulatory 

action’’ that was submitted to the Office 

of Management and Budget (OMB) for 

review. Any changes made in response 

to OMB’s recommendations are 

documented in the docket. In addition, 

EPA prepared a detailed analysis of the 

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potential costs, savings, and benefits of 

this action. That analysis, the 

‘‘Economic Analysis of the NPDES 

Electronic Reporting Rule (Final),’’ can 

be found in the EPA docket (see DCN 

0197), and is summarized in Section VI. 

B. Paperwork Reduction Act 

The Office of Management and Budget 

(OMB) has approved the information 

collection activities contained in this 

rule under the PRA and has assigned 

OMB control number 2020–0035. The 

ICR may be found in the docket for this 

rule (see DCN 0237), and it is briefly 

summarized here. 

EPA is promulgating this final 

regulation to allow better allocation and 

use of limited program resources and 

enhance transparency by providing a 

timelier, complete, more accurate, and 

nationally-consistent set of data about 

the NPDES program. 

The projected burden and cost of the 

final regulation are summarized in 

Table 10. Note that, consistent with the 

Information Collection Request (ICR), 

these estimates reflect the net burden 

and cost to regulated facilities and 

states, tribes, and territories over the 

first three years following promulgation 

of the rule (as ICRs are limited to three 

years; however, they can be renewed). 

TABLE 10—PROJECTED BURDEN AND COST OVER THE FIRST THREE YEARS OF THE FINAL RULE

Unit of Analysis 

Affected entity 

Regulated entities States 

Average Annual Number of Respondents a ................................................................................................. 213,349 47 

Average Annual Number of Responses ...................................................................................................... 78,477 1,135,376 

Average Annual Incremental Burden (hours) .............................................................................................. 118,577 ¥315,814 

Average Annual Incremental Cost ............................................................................................................... $6,867,716 ¥$1,072,586 

Average Annual Incremental Burden per Respondent (hours) ................................................................... 0.56 ¥6,719 

Average Annual Incremental Burden per Response (hours) ...................................................................... 1.51 ¥0.28 

Average Annual Incremental Cost per Respondent .................................................................................... $32.19 ¥$22,821 

Average Annual Incremental Cost per Response ....................................................................................... $87.51 ¥$0.94 

aThe number of respondents includes regulated entities that both submit information (a response) and experience a cost or cost savings while 

the number of responses is limited to a count of information submissions. Thus, there are more affected respondents than responses. 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless it displays a currently valid OMB 

control number. The OMB control 

numbers for the EPA’s regulations in 40 

CFR are listed in 40 CFR part 9. In 

addition, the EPA is amending the table 

in 40 CFR part 9 to list the regulatory 

citations for the information collection 

activities contained in this final rule. 

C. Regulatory Flexibility Act 

I certify that this action will not have 

a significant economic impact on a 

substantial number of small entities 

under the RFA. The small entities 

subject to the requirements of this 

action are small businesses (e.g., 

industrial sectors, electricity generating 

facilities, and agricultural sectors) and 

small governmental jurisdictions (e.g., 

POTWs operated by municipalities). 

The Agency has determined that 

108,035 of 108,036 (99.99%) small 

entities considered in this analysis will 

experience an impact of less than 1% 

percent of revenues. Details of this 

analysis are presented in Chapter 5 of 

the following document in the 

rulemaking docket, ‘‘Economic Analysis 

of the NPDES Electronic Reporting Rule 

(Final),’’ (see DCN 0197). 

D. Unfunded Mandates Reform Act 

(UMRA) 

This final rule does not contain an 

unfunded mandate of $100 million as 

described in UMRA, 2 U.S.C. 1531– 

1538, and does not significantly or 

uniquely affect small governments. EPA 

conducted an economic analysis 

examining various options including the 

potential burden to state, tribal, and 

territorial governments. EPA estimates 

that the rule would not only cost states, 

tribes, territories, and local governments 

well below the threshold of $100 

million, it will actually result in cost 

savings over time. 

E. Executive Order 13132: Federalism 

This action may have federalism 

implications, because it imposes 

substantial direct compliance costs on 

state or local governments, and the 

federal government will not provide the 

funds necessary to pay those costs. 

Specifically, EPA estimates costs to state 

governments of greater than $25 million 

during the first year of rule 

implementation. 

The EPA provides the following 

federalism summary impact statement. 

The EPA consulted with state and local 

officials early in the process of 

developing the rule to permit them to 

have meaningful and timely input into 

its development. In developing the 

regulatory options described in this 

final action, EPA held a series of 49 

outreach activities with state and local 

governments, on various aspects of the 

rule, including a Federalism 

consultation process that began in 2010, 

well before this action was proposed. 

The Environmental Council of the 

States, the National League of Cities, the 

U.S. Conference of Mayors, the National 

Conference of State Legislators, the 

Council of State Governments, the 

National Governors Association, and the 

National Association of Clean Water 

Agencies were among the 

intergovernmental groups participating 

in this process, along with numerous 

state and local government principals 

from across the nation. 

After publication of the proposed 

rule, EPA also held teleconferences with 

authorized NPDES programs to obtain 

their individual views on various 

aspects of the proposed rule. EPA met 

with over twenty five states, ECOS, 

ACWA, and New England Interstate 

Water Pollution Control Commission to 

take into account their individual 

comments and concerns about the rule 

(see DCN 0128 to 0142, 0181, 0219 to 

0229). Additionally, EPA separately 

contacted each authorized NPDES 

program to individually assess its 

readiness for these new electronic 

reporting requirements. This extensive 

outreach helped inform the 

implementation process of the final rule 

and the additional flexibilities that 

authorized states, tribes, and territories 

need for a measured and orderly 

conversion from paper to electronic 

reporting. 

EPA specifically solicited comment 

on the proposed action from State and 

local officials. EPA received comments 

from over one hundred (100) entities 

representing State and local 

governments. Of these comments, many 

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were supportive of the rule and its 

goals. Commentators expressed support 

for the rule for a number of reasons, 

including its ability to modernize and 

streamline the reporting process, its 

efficiency and cost-effectiveness, and its 

ability to offer quicker access to 

standardized data. Several 

commentators expressed hope that 

electronic reporting could reduce errors 

in ICIS–NPDES, make errors more quick 

and easy to correct, and expedite permit 

applications. 

While most commenters were 

supportive of the proposed rule, there 

were several concerns that were raised 

by the responding state and local 

governments. One of the most 

frequently commented subjects was the 

implementation schedule. Many 

commenters noted that the proposed 

two phase (one year per phase) 

implementation schedule was ‘‘too 

aggressive.’’ EPA addressed this 

comment by modifying the compliance 

schedule in the final rule to allow five 

years for the second phase of 

implementation. 

The other main comment from state 

and local governments was for EPA to 

provide authorized NPDES programs 

with additional flexibility in the 

implementation of the final rule. As 

noted in this preamble and in EPA’s 

response to comments document for this 

rulemaking, EPA has provided 

authorized NPDES programs with 

additional flexibility for implementing 

this final rule. In particular, EPA has 

given authorized NPDES programs more 

flexibility in how they administer 

waivers from electronic reporting. In the 

proposed rule, EPA solicited comment 

on limiting waivers from electronic 

reporting to one year and only to areas 

with limited access to broadband 

internet. After consultation with 

authorized NPDES programs, EPA has 

eliminated the condition of limited 

access to broadband internet as an 

eligibility factor for an electronic 

reporting waiver. Instead, EPA has 

provided authorized NPDES programs 

with the ability to grant waivers to 

facilities for up to five years and for any 

factors that they deem appropriate. 

Additionally, authorized NPDES 

programs asked for more flexibility in 

how they implement electronic 

reporting for the construction 

stormwater sector. In particular, states 

requested an option to allow 

construction operators to electronically 

submit data without CROMERR 

authentication. After consultation with 

authorized NPDES programs, EPA has 

included an option, which first 

suggested by an authorized NPDES 

program, to allow construction 

operators to simultaneously submit 

NPDES program data electronically 

without CROMERR authentication as 

long as they also submit these data on 

paper with a handwritten signature. 

This ‘‘Hybrid Approach’’ is discussed in 

the preamble to this final rule. This 

additional flexibility will allow states to 

electronically collect and manage data 

on construction sites and will also allow 

construction operators to submit their 

NOIs without having to first obtain 

CROMERR authentication. 

Finally, as a means to ‘‘fill in the 

gaps’’ where NPDES-regulated entities 

are not yet reporting electronically, EPA 

will use its authority, as appropriate, to 

issue targeted individual notices 

requiring NPDES-regulated entities to 

electronically report their NPDES 

program data (appendix A to 40 CFR 

part 127). EPA initially proposed to 

have these data come directly to EPA. 

Authorized NPDES programs suggested 

that instead EPA should require NPDES 

regulated entities to use state, tribe, or 

territorial electronic reporting systems 

that are in compliance with the final 

rule, as this would be more efficient. In 

this final rule, EPA is adopting the 

approach recommended by authorized 

NPDES programs. 

A complete list of the comments from 

State and local governments has been 

provided to the Office of Management 

and Budget and has been placed in the 

docket for this rulemaking. In addition, 

the detailed response to comments from 

these entities is contained in EPA’s 

response to comments document for this 

rulemaking (see DCN 0218). 

F. Executive Order 13175: Consultation 

and Coordination With Indian Tribal 

Governments 

This action has tribal implications. 

However, it will neither impose 

substantial direct compliance costs on 

federally recognized tribal governments, 

nor preempt tribal law. Although no 

tribes have yet received approval from 

EPA to implement an authorized NPDES 

program, this final rule will impose 

electronic reporting requirements on 

tribal facilities and on facilities 

operating on tribal lands. 

EPA consulted with tribal 

representatives in developing this rule 

via conference calls and webinars with 

the National Tribal Caucus and National 

Tribal Water Counsel in November 2010 

(DCN 0232). No concerns were raised 

during those consultations. 

In addition, EPA mailed information 

to 563 tribes regarding an opportunity to 

participate in two additional tribal 

outreach efforts in December 2010. 

As required by section 7(a), the EPA’s 

Tribal Consultation Official has certified 

that the requirements of the executive 

order have been met in a meaningful 

and timely manner. A copy of the 

certification is included in the docket 

for this action. 

G. Executive Order 13045: Protection of 

Children From Environmental Health 

Risks and Safety Risks 

EPA interprets Executive Order 13045 

as applying only to those regulatory 

actions that concern health or safety 

risks that the EPA has reason to believe 

may disproportionately affect children, 

per the definition of ‘‘covered regulatory 

action’’ in section 2–202 of the 

Executive Order. This action is not 

subject to Executive Order 13045 

because it does not concern an 

environmental health risk or safety risk. 

H. Executive Order 13211: Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use 

This action is not a ‘‘significant 

energy action’’ because it is not likely to 

have a significant adverse effect on the 

supply, distribution, or use of energy. 

I. National Technology Transfer and 

Advancement Act 

This rulemaking involves 

environmental monitoring or 

measurement. Consistent with the 

Agency’s Performance Based 

Measurement System (‘‘PBMS’’), EPA 

has decided to allow the use of any 

method that meets the prescribed 

performance criteria. The PBMS 

approach is intended to be more flexible 

and cost-effective for the regulated 

community; it is also intended to 

encourage innovation in analytical 

technology and improved data quality. 

EPA is not precluding the use of any 

method, whether it constitutes a 

voluntary consensus standard or not, as 

long as it meets the performance criteria 

specified. 

EPA has decided to use the following 

data standards, which were developed 

by the Exchange Network Leadership 

Council (ENLC). This entity governs the 

National Environmental Information 

Exchange Network (NEIEN). The ENLC 

identifies, prioritizes, and pursues the 

creation of data standards for those 

areas where information exchange 

standards will provide the most value in 

achieving environmental results. The 

ENLC involves tribes and tribal nations, 

state, and federal agencies in the 

development of the standards. More 

information about ENLC is available at 

www.exchangenetwork.net. 

• Enforcement and Compliance Data 

Standard, Standard No.: EX000026.2, 

July 30, 2008. This data standard 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64095 

identifies and defines the major areas of 

enforcement and compliance 

information that could be used for the 

exchange of data among environmental 

agencies and other entities. The purpose 

of the standard is to provide a common 

lexicon, so that information about 

functionally similar activities and/or 

instruments can be stored and to 

provide and receive data in a clearly 

defined and uniform way. 

• Permitting Information Data 

Standard, Standard No.: EX000021.2, 

January 6, 2006. This data standard 

should be used in this regulation 

because it specifies the key data 

groupings necessary for the consistent 

identification of information pertaining 

to permits of interest to environmental 

information exchange partners. This 

data standard provides a minimum set 

of data, which need to be reported for 

permitting information such as permit 

name, number, type, organization or 

facility name, and affiliation type. 

• Facility Site Identification Data 

Standard, Standard No.: EX000020.2, 

January 6, 2006. The purpose of this 

data standard is to identify a facility of 

environmental interest. This data 

standard should be used in this 

regulation because it provides for the 

unique identification of facilities 

regulated or monitored by EPA, states, 

tribes, and territories. Each facility is 

assigned a unique facility identification 

number, which identifies information 

for the facility specified. This standard 

provides and describes data groupings 

that are used to exchange facility site 

identification data and information. 

This standard helps EPA, states, tribes, 

and territories integrate and share 

facility information across multiple 

information systems, programs, and 

governments. 

• Contact Information Data Standard, 

Standard No.: EX000019.2, January 6, 

2006. This data standard should be used 

in this regulation because it provides 

information regarding the source of 

contact. This standard offers data 

groupings that are used to describe a 

point of contact, address, and 

communication information. For 

example, the data grouping ‘‘Point of 

Contact’’ subdivides to lower levels 

such as individual, affiliation, and 

organization. These intermediate data 

groupings are further defined at the 

elemental levels with Name, Title, Code, 

and Prefix. 

• Representation of Date and Time 

Data Standard, Standard No.: 

EX000013.1, January 6, 2006. This data 

standard should be used in this 

regulation because it provides and 

describes data groupings that are used 

for exchange of Date and Time data and 

information. The standard provides 

information on the high level, 

intermediate, and elemental 

representation of date and time data 

groupings. 

• Latitude/Longitude Data Standard, 

Standard No.: EX000017.2, January 6, 

2006. This data standard should be used 

in this regulation because it establishes 

the requirements for documenting 

latitude and longitude coordinates and 

related method, accuracy, and 

description data for all places used in 

the data exchange transaction. Places 

include facilities, sites, monitoring 

stations, observations points, and other 

regulated or tracked features. This 

standard describes data and data 

groupings that are used to exchange 

latitude and longitude data and 

information. The purpose of the 

standard is to provide a common set of 

data to use for recording horizontal and 

vertical coordinates and associated 

metadata that define a point on the 

earth. 

• SIC/NAICS Data Standard, 

Standard No.: EX000022.2, January 6, 

2006. This data standard should be used 

in this regulation because it provides a 

common set of data groupings to specify 

a way to classify business activities, 

including industry classifications, 

product classifications, and product 

codes. This data standard provides 

information on business activity 

according to the Standard Industrial 

Classification (SIC) and North American 

Industrial Classification System 

(NAICS). 

J. Executive Order 12898: Federal 

Actions To Address Environmental 

Justice in Minority Populations and 

Low-Income Populations 

EPA has determined that this final 

rule will not have disproportionately 

high and adverse human health or 

environmental effects on minority or 

low-income populations because it does 

not affect the level of protection 

provided to human health or the 

environment. This final rule offers 

substantial environmental justice 

benefits. As described in the context of 

non-monetary benefits, discussed in 

Section VI and described below, the 

final rule would significantly increase 

transparency and access to crucial 

information that is relevant to the 

protection of the health and 

environment of minority, low income, 

and tribal populations. 

K. Congressional Review Act (CRA) 

This action is subject to the CRA, and 

the EPA will submit a rule report to 

each House of the Congress and to the 

Comptroller General of the United 

States. This action is not a ‘‘major rule’’ 

as defined by 5 U.S.C. 804(2). 

List of Subjects 

40 CFR Part 9 

Environmental protection, Reporting 

and recordkeeping requirements. 

40 CFR Part 122 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Hazardous substances, Incorporation by 

reference, Reporting and recordkeeping 

requirements, Water pollution control. 

40 CFR Part 123 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Hazardous substances, Indians-lands, 

Intergovernmental relations, Penalties, 

Reporting and recordkeeping 

requirements, Water pollution control. 

40 CFR Part 124 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Hazardous waste, 

Indians-lands, Reporting and 

recordkeeping requirements, Water 

pollution control, Water supply. 

40 CFR Part 127 

Environmental protection, 

Administrative practice and procedure, 

Automatic data processing, Electronic 

data processing, Hazardous substances, 

Intergovernmental relations, Reporting 

and recordkeeping requirements, 

Sewage disposal, Waste treatment and 

disposal, Water pollution control. 

40 CFR Part 403 

Environmental protection, 

Confidential business information, 

Reporting and recordkeeping 

requirements, Waste treatment and 

disposal, Water pollution control. 

40 CFR Part 501 

Environmental protection, 

Administrative practice and procedure, 

Indians-lands, Intergovernmental 

relations, Penalties, Reporting and 

recordkeeping requirements, Sewage 

disposal. 

40 CFR Part 503 

Environmental protection, Reporting 

and recordkeeping requirements, 

Sewage disposal. 

Dated: September 24, 2015. 

Gina McCarthy, 

Administrator. 

For the reasons cited in the preamble, 

title 40, chapter I is amended as follows: 

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64096 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

PART 9—OMB APPROVALS UNDER 

THE PAPERWORK REDUCTION ACT 

■ 1. The authority citation for part 122 

continues to read as follows: 

Authority: 7 U.S.C. 135 et seq., 136–136y; 

15 U.S.C. 2001, 2003, 2005, 2006, 2601–2671; 

21 U.S.C. 331j, 346a, 31 U.S.C. 9701; 33 

U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318, 

1321, 1326, 1330, 1342, 1344, 1345 (d) and 

(e), 1361; E.O. 11735, 38 FR 21243, 3 CFR, 

1971–1975 Comp. p. 973; 42 U.S.C. 241, 

242b, 243, 246, 300f, 300g, 300g–1, 300g–2, 

300g–3, 300g–4, 300g–5, 300g–6, 300j–1, 

300j–2, 300j–3, 300j–4, 300j–9, 1857 et seq., 

6901–6992k, 7401–7671q, 7542, 9601–9657, 

11023, 11048. 

■ 2. In § 9.1, the table is amended by 

adding the following section in 

numerical order under a new heading 

titled ‘‘NPDES Electronic Reporting’’ to 

read as follows: 

§ 9.1 OMB approvals under the Paperwork 

Reduction Act. 

* * * * * 

40 CFR citation OMB control No. 

* * * * * 

NPDES Electronic Reporting 

127.26 2020–0035. 

* * * * * 

* * * * * 

PART 122—EPA ADMINISTERED 

PERMIT PROGRAMS: THE NATIONAL 

POLLUTANT DISCHARGE 

ELIMINATION SYSTEM 

■ 3. The authority citation for part 122 

continues to read as follows: 

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

1251 et seq. 

■ 4. Amend § 122.22 by adding 

paragraph (e) to read as follows: 

§ 122.22 Signatories to permit applications 

and reports (applicable to State programs, 

see § 123.25). 

* * * * * 

(e) Electronic reporting. If documents 

described in paragraph (a) or (b) of this 

section are submitted electronically by 

or on behalf of the NPDES-regulated 

facility, any person providing the 

electronic signature for such documents 

shall meet all relevant requirements of 

this section, and shall ensure that all of 

the relevant requirements of 40 CFR part 

3 (including, in all cases, subpart D to 

part 3) (Cross-Media Electronic 

Reporting) and 40 CFR part 127 (NPDES 

Electronic Reporting Requirements) are 

met for that submission. 

* * * * * 

■ 5. Amend § 122.26 by: 

■ a. Revising paragraphs (b)(15)(i)(A) 

and (g)(1)(iii). 

■ b. Adding paragraph (b)(15)(i)(C). 

The revisions and addition read as 

follows: 

§ 122.26 Storm water discharges 

(applicable to State NPDES programs, see 

§ 123.25). 

(b) * * * 

(15) * * * 

(i) * * * 

(A) The value of the rainfall erosivity 

factor (‘‘R’’ in the Revised Universal Soil 

Loss Equation) is less than five during 

the period of construction activity. The 

rainfall erosivity factor is determined in 

accordance with Chapter 2 of 

Agriculture Handbook Number 703, 

Predicting Soil Erosion by Water: A 

Guide to Conservation Planning with 

the Revised Universal Soil Loss 

Equation (RUSLE), pages 21–64, dated 

January 1997. The Director of the 

Federal Register approves this 

incorporation by reference in 

accordance with 5 U.S.C. 552(a) and 1 

CFR part 51. Copies may be obtained at 

EPA’s Water Docket, 1200 Pennsylvania 

Avenue NW, Washington, DC 20460. 

For information on the availability of 

this material at National Archives and 

Records Administration, call 202–741– 

6030, or go to: http://www.archives.gov/ 

federal_register/code_of_federal_

regulations/ibr_locations.html. An 

operator must certify to the Director that 

the construction activity will take place 

during a period when the value of the 

rainfall erosivity factor is less than five; 

or 

* * * * * 

(C) As of December 21, 2020 all 

certifications submitted in compliance 

with paragraphs (b)(15)(i)(A) and (B) of 

this section must be submitted 

electronically by the owner or operator 

to the Director or initial recipient, as 

defined in 40 CFR 127.2(b), in 

compliance with this section and 40 

CFR part 3 (including, in all cases, 

subpart D to part 3), § 122.22, and 40 

CFR part 127. Part 127 is not intended 

to undo existing requirements for 

electronic reporting. Prior to this date, 

and independent of part 127, owners or 

operators may be required to report 

electronically if specified by a particular 

permit or if required to do so by state 

law. 

* * * * * 

(g) * * * 

(1) * * * 

(iii) Submit the signed certification to 

the NPDES permitting authority once 

every five years. As of December 21, 

2020 all certifications submitted in 

compliance with this section must be 

submitted electronically by the owner or 

operator to the Director or initial 

recipient, as defined in 40 CFR 127.2(b), 

in compliance with this section and 40 

CFR part 3 (including, in all cases, 

subpart D to part 3), § 122.22, and 40 

CFR part 127. Part 127 is not intended 

to undo existing requirements for 

electronic reporting. Prior to this date, 

and independent of part 127, owners or 

operators may be required to report 

electronically if specified by a particular 

permit or if required to do so by state 

law. 

* * * * * 

■ 6. Amend § 122.28 by revising 

paragraphs (b)(2)(i) and (ii) to read as 

follows: 

§ 122.28 General permits (applicable to 

State NPDES programs, see § 123.25). 

* * * * * 

(b) * * * 

(2) * * * 

(i) Except as provided in paragraphs 

(b)(2)(v) and (vi) of this section, 

dischargers (or treatment works treating 

domestic sewage) seeking coverage 

under a general permit shall submit to 

the Director a notice of intent to be 

covered by the general permit. A 

discharger (or treatment works treating 

domestic sewage) who fails to submit a 

notice of intent in accordance with the 

terms of the permit is not authorized to 

discharge, (or in the case of sludge 

disposal permit, to engage in a sludge 

use or disposal practice), under the 

terms of the general permit unless the 

general permit, in accordance with 

paragraph (b)(2)(v), contains a provision 

that a notice of intent is not required or 

the Director notifies a discharger (or 

treatment works treating domestic 

sewage) that it is covered by a general 

permit in accordance with paragraph 

(b)(2)(vi). A complete and timely, notice 

of intent (NOI), to be covered in 

accordance with general permit 

requirements, fulfills the requirements 

for permit applications for purposes of 

§§ 122.6, 122.21, and 122.26. As of 

December 21, 2020 all notices of intent 

submitted in compliance with this 

section must be submitted electronically 

by the discharger (or treatment works 

treating domestic sewage) to the 

Director or initial recipient, as defined 

in 40 CFR 127.2(b), in compliance with 

this section and 40 CFR part 3 

(including, in all cases, subpart D to part 

3), § 122.22, and 40 CFR part 127. Part 

127 is not intended to undo existing 

requirements for electronic reporting. 

Prior to this date, and independent of 

part 127, discharger (or treatment works 

treating domestic sewage) may be 

required to report electronically if 

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specified by a particular permit or if 

required to do so by state law. 

(ii) The contents of the notice of 

intent shall be specified in the general 

permit and shall require the submission 

of information necessary for adequate 

program implementation, including at a 

minimum, the legal name and address 

of the owner or operator, the facility 

name and address, type of facility or 

discharges, the receiving stream(s), and 

other required data elements as 

identified in appendix A to part 127. 

General permits for stormwater 

discharges associated with industrial 

activity from inactive mining, inactive 

oil and gas operations, or inactive 

landfills occurring on Federal lands 

where an operator cannot be identified 

may contain alternative notice of intent 

requirements. All notices of intent shall 

be signed in accordance with § 122.22. 

Notices of intent for coverage under a 

general permit for concentrated animal 

feeding operations must include the 

information specified in § 122.21(i)(1), 

including a topographic map. 

* * * * * 

■ 7. Amend § 122.34 by revising 

paragraph (g)(3) introductory text to 

read as follows: 

§ 122.34 As an operator of a regulated 

small MS4, what will my NPDES MS4 storm 

water permit require? 

* * * * * 

(g) * * * 

(3) Reporting. Unless you are relying 

on another entity to satisfy your NPDES 

permit obligations under § 122.35(a), 

you must submit annual reports to the 

NPDES permitting authority for your 

first permit term. For subsequent permit 

terms, you must submit reports in year 

two and four unless the NPDES 

permitting authority requires more 

frequent reports. As of December 21, 

2020 all reports submitted in 

compliance with this section must be 

submitted electronically by the owner, 

operator, or the duly authorized 

representative of the small MS4 to the 

Director or initial recipient, as defined 

in 40 CFR 127.2(b), in compliance with 

this section and 40 CFR part 3 

(including, in all cases, subpart D to part 

3), § 122.22, and 40 CFR part 127. Part 

127 is not intended to undo existing 

requirements for electronic reporting. 

Prior to this date, and independent of 

part 127, the owner, operator, or the 

duly authorized representative of the 

small MS4 may be required to report 

electronically if specified by a particular 

permit or if required to do so by state 

law. Your report must include: 

* * * * * 

■ 8. Amend § 122.41 by: 

■ a. Revising paragraphs (l)(4)(i), 

(l)(6)(i), (l)(7), and (m)(3). 

■ b. Adding paragraph (l)(9). 

The revisions and addition read as 

follows: 

§ 122.41 Conditions applicable to all 

permits (applicable to State programs, see 

§ 123.25). 

* * * * * 

(l) * * * 

(4) * * * 

(i) Monitoring results must be 

reported on a Discharge Monitoring 

Report (DMR) or forms provided or 

specified by the Director for reporting 

results of monitoring of sludge use or 

disposal practices. As of December 21, 

2016 all reports and forms submitted in 

compliance with this section must be 

submitted electronically by the 

permittee to the Director or initial 

recipient, as defined in 40 CFR 127.2(b), 

in compliance with this section and 40 

CFR part 3 (including, in all cases, 

subpart D to part 3), § 122.22, and 40 

CFR part 127. Part 127 is not intended 

to undo existing requirements for 

electronic reporting. Prior to this date, 

and independent of part 127, permittees 

may be required to report electronically 

if specified by a particular permit or if 

required to do so by state law. 

* * * * * 

(6) * * * 

(i) The permittee shall report any 

noncompliance which may endanger 

health or the environment. Any 

information shall be provided orally 

within 24 hours from the time the 

permittee becomes aware of the 

circumstances. A report shall also be 

provided within 5 days of the time the 

permittee becomes aware of the 

circumstances. The report shall contain 

a description of the noncompliance and 

its cause; the period of noncompliance, 

including exact dates and times), and if 

the noncompliance has not been 

corrected, the anticipated time it is 

expected to continue; and steps taken or 

planned to reduce, eliminate, and 

prevent reoccurrence of the 

noncompliance. For noncompliance 

events related to combined sewer 

overflows, sanitary sewer overflows, or 

bypass events, these reports must 

include the data described above (with 

the exception of time of discovery) as 

well as the type of event (combined 

sewer overflows, sanitary sewer 

overflows, or bypass events), type of 

sewer overflow structure (e.g., manhole, 

combine sewer overflow outfall), 

discharge volumes untreated by the 

treatment works treating domestic 

sewage, types of human health and 

environmental impacts of the sewer 

overflow event, and whether the 

noncompliance was related to wet 

weather. As of December 21, 2020 all 

reports related to combined sewer 

overflows, sanitary sewer overflows, or 

bypass events submitted in compliance 

with this section must be submitted 

electronically by the permittee to the 

Director or initial recipient, as defined 

in 40 CFR 127.2(b), in compliance with 

this section and 40 CFR part 3 

(including, in all cases, subpart D to part 

3), § 122.22, and 40 CFR part 127. Part 

127 is not intended to undo existing 

requirements for electronic reporting. 

Prior to this date, and independent of 

part 127, permittees may be required to 

electronically submit reports related to 

combined sewer overflows, sanitary 

sewer overflows, or bypass events under 

this section by a particular permit or if 

required to do so by state law. The 

Director may also require permittees to 

electronically submit reports not related 

to combined sewer overflows, sanitary 

sewer overflows, or bypass events under 

this section. 

* * * * * 

(7) Other noncompliance. The 

permittee shall report all instances of 

noncompliance not reported under 

paragraphs (l)(4), (5), and (6) of this 

section, at the time monitoring reports 

are submitted. The reports shall contain 

the information listed in paragraph 

(l)(6). For noncompliance events related 

to combined sewer overflows, sanitary 

sewer overflows, or bypass events, these 

reports shall contain the information 

described in paragraph (l)(6) and the 

applicable required data in appendix A 

to 40 CFR part 127. As of December 21, 

2020 all reports related to combined 

sewer overflows, sanitary sewer 

overflows, or bypass events submitted 

in compliance with this section must be 

submitted electronically by the 

permittee to the Director or initial 

recipient, as defined in 40 CFR 127.2(b), 

in compliance with this section and 40 

CFR part 3 (including, in all cases, 

subpart D to part 3), § 122.22, and 40 

CFR part 127. Part 127 is not intended 

to undo existing requirements for 

electronic reporting. Prior to this date, 

and independent of part 127, permittees 

may be required to electronically submit 

reports related to combined sewer 

overflows, sanitary sewer overflows, or 

bypass events under this section by a 

particular permit or if required to do so 

by state law. The Director may also 

require permittees to electronically 

submit reports not related to combined 

sewer overflows, sanitary sewer 

overflows, or bypass events under this 

section. 

* * * * * 

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(9) Identification of the initial 

recipient for NPDES electronic reporting 

data. The owner, operator, or the duly 

authorized representative of an NPDESregulated entity is required to 

electronically submit the required 

NPDES information (as specified in 

appendix A to 40 CFR part 127) to the 

appropriate initial recipient, as 

determined by EPA, and as defined in 

§ 127.2(b) of this chapter. EPA will 

identify and publish the list of initial 

recipients on its Web site and in the 

Federal Register, by state and by NPDES 

data group [see § 127.2(c) of this 

chapter]. EPA will update and maintain 

this listing. 

* * * * * 

(m) * * * 

(3) Notice—(i) Anticipated bypass. If 

the permittee knows in advance of the 

need for a bypass, it shall submit prior 

notice, if possible at least ten days 

before the date of the bypass. As of 

December 21, 2020 all notices submitted 

in compliance with this section must be 

submitted electronically by the 

permittee to the Director or initial 

recipient, as defined in 40 CFR 127.2(b), 

in compliance with this section and 40 

CFR part 3 (including, in all cases, 

subpart D to part 3), § 122.22, and 40 

CFR part 127. Part 127 is not intended 

to undo existing requirements for 

electronic reporting. Prior to this date, 

and independent of part 127, permittees 

may be required to report electronically 

if specified by a particular permit or if 

required to do so by state law. 

(ii) Unanticipated bypass. The 

permittee shall submit notice of an 

unanticipated bypass as required in 

paragraph (l)(6) of this section (24-hour 

notice). As of December 21, 2020 all 

notices submitted in compliance with 

this section must be submitted 

electronically by the permittee to the 

Director or initial recipient, as defined 

in 40 CFR 127.2(b), in compliance with 

this section and 40 CFR part 3 

(including, in all cases, subpart D to part 

3), § 122.22, and 40 CFR part 127. Part 

127 is not intended to undo existing 

requirements for electronic reporting. 

Prior to this date, and independent of 

part 127, permittees may be required to 

report electronically if specified by a 

particular permit or if required to do so 

by state law. 

* * * * * 

■ 9. Amend § 122.42 by revising the 

introductory text in paragraphs (c) and 

(e)(4) and paragraph (e)(4)(vi) to read as 

follows: 

§ 122.42 Additional conditions applicable 

to specified categories of NPDES permits 

(applicable to State NPDES programs, see 

§ 123.25). 

* * * * * 

(c) Municipal separate storm sewer 

systems. The operator of a large or 

medium municipal separate storm 

sewer system or a municipal separate 

storm sewer that has been designated by 

the Director under § 122.26(a)(1)(v) must 

submit an annual report by the 

anniversary of the date of the issuance 

of the permit for such system. As of 

December 21, 2020 all reports submitted 

in compliance with this section must be 

submitted electronically by the owner, 

operator, or the duly authorized 

representative of the MS4 to the Director 

or initial recipient, as defined in 40 CFR 

127.2(b), in compliance with this 

section and 40 CFR part 3 (including, in 

all cases, subpart D to part 3), § 122.22, 

and 40 CFR part 127. Part 127 is not 

intended to undo existing requirements 

for electronic reporting. Prior to this 

date, and independent of part 127, the 

owner, operator, or the duly authorized 

representative of the MS4 may be 

required to report electronically if 

specified by a particular permit or if 

required to do so by state law. The 

report shall include: 

* * * * * 

(e) * * * 

(4) Annual reporting requirements for 

CAFOs. The permittee must submit an 

annual report to the Director. As of 

December 21, 2020 all annual reports 

submitted in compliance with this 

section must be submitted electronically 

by the permittee to the Director or initial 

recipient, as defined in 40 CFR 127.2(b), 

in compliance with this section and 40 

CFR part 3 (including, in all cases, 

subpart D to part 3), § 122.22, and 40 

CFR part 127. Part 127 is not intended 

to undo existing requirements for 

electronic reporting. Prior to this date, 

and independent of part 127, the 

permittee may be required to report 

electronically if specified by a particular 

permit or if required to do so by state 

law. The annual report must include: 

* * * * * 

(vi) Summary of all manure, litter and 

process wastewater discharges from the 

production area that have occurred in 

the previous 12 months, including, for 

each discharge, the date of discovery, 

duration of discharge, and approximate 

volume; and 

* * * * * 

■ 10. Amend § 122.43 by revising 

paragraph (a) to read as follows: 

§ 122.43 Establishing permit conditions 

(applicable to State programs, see § 123.25). 

(a) In addition to conditions required 

in all permits (§§ 122.41 and 122.42), 

the Director shall establish conditions, 

as required on a case-by-case basis, to 

provide for and ensure compliance with 

all applicable requirements of CWA and 

regulations. These shall include 

conditions under §§ 122.46 (duration of 

permits), 122.47(a) (schedules of 

compliance), 122.48 (monitoring), 

electronic reporting requirements of 40 

CFR part 3 (Cross-Media Electronic 

Reporting Regulation) and 40 CFR part 

127 (NPDES Electronic Reporting), and, 

for EPA permits only, §§ 122.47(b) 

(alternatives schedule of compliance) 

and 122.49 (considerations under 

Federal law). 

* * * * * 

■ 11. Amend § 122.44 by revising 

paragraph (i)(2) to read as follows: 

§ 122.44 Establishing limitations, 

standards, and other permit conditions 

(applicable to State NPDES programs, see 

§ 123.25). 

* * * * * 

(i) * * * 

(2) Except as provided in paragraphs 

(i)(4) and (5) of this section, 

requirements to report monitoring 

results shall be established on a case-bycase basis with a frequency dependent 

on the nature and effect of the 

discharge, but in no case less than once 

a year. For sewage sludge use or 

disposal practices, requirements to 

monitor and report results shall be 

established on a case-by-case basis with 

a frequency dependent on the nature 

and effect of the sewage sludge use or 

disposal practice; minimally this shall 

be as specified in 40 CFR part 503 

(where applicable), but in no case less 

than once a year. All results must be 

electronically reported in compliance 

with 40 CFR part 3 (including, in all 

cases, subpart D to part 3), § 122.22, and 

40 CFR part 127. 

* * * * * 

■ 12. Amend § 122.48 by revising 

paragraph (c) to read as follows: 

§ 122.48 Requirements for recording and 

reporting of monitoring results (applicable 

to State programs, see § 123.25). 

* * * * * 

(c) Applicable reporting requirements 

based upon the impact of the regulated 

activity and as specified in 40 CFR part 

3 (Cross-Media Electronic Reporting 

Regulation), § 122.44, and 40 CFR part 

127 (NPDES Electronic Reporting). 

Reporting shall be no less frequent than 

specified in § 122.44. EPA will maintain 

the start dates for the electronic 

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reporting of monitoring results for each 

state on its Web site. 

■ 13. Amend § 122.63 by adding 

paragraph (f) to read as follows: 

§ 122.63 Minor modifications of permits. 

* * * * * 

(f) Require electronic reporting 

requirements (to replace paper reporting 

requirements) including those specified 

in 40 CFR part 3 (Cross-Media 

Electronic Reporting Regulation) and 40 

CFR part 127 (NPDES Electronic 

Reporting). 

* * * * * 

■ 14. Amend § 122.64 by adding 

paragraph (c) to read as follows: 

§ 122.64 Termination of permits 

(applicable to State programs, see § 123.25). 

* * * * * 

(c) Permittees that wish to terminate 

their permit must submit a Notice of 

Termination (NOT) to their permitting 

authority. If requesting expedited permit 

termination procedures, a permittee 

must certify in the NOT that it is not 

subject to any pending State or Federal 

enforcement actions including citizen 

suits brought under State or Federal 

law. As of December 21, 2020 all NOTs 

submitted in compliance with this 

section must be submitted electronically 

by the permittee to the Director or initial 

recipient, as defined in 40 CFR 127.2(b), 

in compliance with this section and 40 

CFR part 3 (including, in all cases, 

subpart D), § 122.22, and 40 CFR part 

127. Part 127 is not intended to undo 

existing requirements for electronic 

reporting. Prior to this date, and 

independent of part 127, the permittee 

may be required to report electronically 

if specified by a particular permit or if 

required to do so by state law. 

PART 123—STATE PROGRAM 

REQUIREMENTS 

■ 15. The authority citation for part 123 

continues to read as follows: 

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

1251 et se. 

■ 16. Amend § 123.22 by adding 

paragraph (g) to read as follows: 

§ 123.22 Program description. 

* * * * * 

(g) A state, tribe, or territory that 

newly seeks to implement an NPDES 

program after March 21, 2016 must 

describe whether the state, tribe, or 

territory will be the initial recipient of 

electronic NPDES information from 

NPDES-regulated facilities for specific 

NPDES data groups (see 40 CFR 127.2(c) 

and 127.27). In this program 

description, the state, tribe, or territory 

must identify the specific NPDES data 

groups for which the state, tribe, or 

territory will be the initial recipient of 

electronic NPDES information from 

NPDES-regulated facilities and how the 

electronic data system of the state, tribe, 

or territory will be compliant with 40 

CFR part 3 (including, in all cases, 

subpart D to part 3), § 123.26, and 40 

CFR part 127. 

■ 17. Amend § 123.24 by revising 

paragraph (b)(3) to read as follows: 

§ 123.24 Memorandum of Agreement with 

the Regional Administrator. 

* * * * * 

(b) * * * 

(3) Provisions specifying the 

frequency and content of reports, 

documents and other information which 

the State is required to submit to EPA. 

The State shall allow EPA to routinely 

review State records, reports, and files 

relevant to the administration and 

enforcement of the approved program. 

State reports may be combined with 

grant reports where appropriate. These 

procedures must also implement the 

requirements of 40 CFR 123.41(a) and 

123.43 and 40 CFR part 127 (including 

the required data elements in appendix 

A to part 127). 

* * * * * 

■ 18. Amend § 123.25 by revising 

paragraph (a)(46) and the note 

immediately following it to read as 

follows: 

§ 123.25 Requirements for permitting. 

(a) * * * 

(46) 40 CFR part 3 (Cross-Media 

Electronic Reporting Regulation) and 40 

CFR part 127 (NPDES Electronic 

Reporting Requirements). 

Note to paragraph (a): Except for 

paragraph (a)(46) of this section, states 

need not implement provisions 

identical to the above listed provisions. 

Implemented provisions must, however, 

establish requirements at least as 

stringent as the corresponding listed 

provisions. While States may impose 

more stringent requirements, they may 

not make one requirement more lenient 

as a tradeoff for making another 

requirement more stringent; for 

example, by requiring that public 

hearings be held prior to issuing any 

permit while reducing the amount of 

advance notice of such a hearing. 

State programs may, if they have 

adequate legal authority, implement any 

of the provisions of parts 122 and 124. 

See, for example, §§ 122.5(d) 

(continuation of permits) and 124.4 

(consolidation of permit processing) of 

this chapter. 

For example, a State may impose 

more stringent requirements in an 

NPDES program by omitting the upset 

provision of § 122.41 of this chapter or 

by requiring more prompt notice of an 

upset. 

* * * * * 

■ 19. Amend § 123.26 by: 

■ a. Revising the introductory text in 

paragraph (b) and paragraphs (b)(1), 

(b)(2)(iii), and (e)(1). 

■ b. Removing the word ‘‘and’’ after 

semicolon in paragraph (b)(2)(ii). 

■ c. Adding paragraphs (b)(2)(iv) and (f). 

The revisions and additions read as 

follows: 

§ 123.26 Requirements for compliance 

evaluation programs. 

* * * * * 

(b) State programs shall have 

inspection and surveillance procedures 

to determine, independent of 

information supplied by regulated 

persons, compliance or noncompliance 

with applicable program requirements. 

The State shall implement and 

maintain: 

(1) An automated, computerized 

system which is capable of identifying 

and tracking all facilities and activities 

subject to the State Director’s authority 

and any instances of noncompliance 

with permit or other program 

requirements (e.g., identifying 

noncompliance with an automated, 

computerized program to compare 

permit limits to reported 

measurements). State programs must 

maintain a management information 

system which supports the compliance 

evaluation activities of this part (e.g., 

source inventories; compliance 

determinations based upon discharge 

monitoring reports, other submitted 

reports, and determinations of 

noncompliance made from inspection or 

document reviews; and subsequent 

violation notices, enforcement actions, 

orders, and penalties) and complies 

with 40 CFR part 3 (Cross-Media 

Electronic Reporting Regulation) and 40 

CFR part 127 (NPDES Electronic 

Reporting Requirements). State 

programs may use EPA’s national 

NPDES data system for their automated, 

computerized system; 

(2) * * * 

(iii) Verify the adequacy of sampling, 

monitoring, and other methods used by 

permittees and other regulated persons 

to develop that information; and 

(iv) Protect surface waters and public 

health. 

* * * * * 

(e) * * * 

(1) Maintaining an automated, 

computerized system which is capable 

of managing the comprehensive 

electronic inventory of all sources 

covered by NPDES permits and 

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generating an electronic schedule of 

reports required to be submitted by 

permittees to the State agency. (Note: 

State programs may use EPA’s national 

NPDES data system for their automated, 

computerized system.); 

* * * * * 

(f) A state, tribe, or territory that is 

designated by EPA as an initial recipient 

of electronic NPDES information, as 

defined in § 127.2 of this chapter, must 

maintain the data it collects and 

electronically transfer the minimum set 

of NPDES data to EPA through timely 

data transfers in compliance with all 

requirements of 40 CFR parts 3 and 127 

(including the required data elements in 

appendix A to part 127). Timely means 

that the authorized state, tribe, or 

territory submits these data transfers 

(see the data elements in appendix A to 

40 CFR part 127) to EPA within 40 days 

of when the state, tribe, or territory 

completed the activity or received a 

report submitted by a regulated entity. 

For example, the data regarding a state 

inspection of an NPDES-regulated entity 

that is finalized by the state on October 

5th must be electronically transferred to 

EPA no later than November 14th of that 

same year (e.g., 40 days after October 

5th). EPA must become the initial 

recipient of electronic NPDES 

information from NPDES-regulated 

entities if the state, tribe, or territory 

does not consistently maintain these 

timely data transfers or does not comply 

with 40 CFR parts 3 and 127. See 40 

CFR 127.2(b) and 127.27 regarding the 

initial recipient. 

■ 20. Amend § 123.41 by revising 

paragraph (a) to read as follows: 

§ 123.41 Sharing of information. 

(a) Any information obtained or used 

in the administration of a State program 

shall be available to EPA upon request 

without restriction. This includes the 

timely data transfers in compliance with 

all requirements of 40 CFR parts 3 and 

127 (including the required data 

elements in appendix A to part 127). If 

the information has been submitted to 

the State under a claim of 

confidentiality, the State must submit 

that claim to EPA when providing 

information under this section. Any 

information obtained from a State and 

subject to a claim of confidentiality will 

be treated in compliance with the 

regulations in 40 CFR part 2. If EPA 

obtains information from an authorized 

state NPDES program, which is not 

claimed to be confidential, EPA may 

make that information available to the 

public without further notice. Timely 

means that the authorized state, tribe, or 

territory submits these data transfers 

(see the data elements in appendix A to 

40 CFR part 127) to EPA within 40 days 

of when the state, tribe, or territory 

completed the activity or received a 

report submitted by a regulated entity. 

For example, the data regarding a state 

inspection of an NPDES-regulated entity 

that is finalized by the state on October 

5th must be electronically transferred to 

EPA no later than November 14th of that 

same year (e.g., 40 days after October 

5th). EPA must become the initial 

recipient of electronic NPDES 

information from NPDES-regulated 

entities if the state, tribe, or territory 

does not consistently maintain these 

timely data transfers or does not comply 

with 40 CFR parts 3 and 127. See 40 

CFR 127.2(b) and 127.27 regarding the 

initial recipient. 

* * * * * 

■ 21. Amend § 123.43 by revising 

paragraph (d) to read as follows: 

§ 123.43 Transmission of information to 

EPA. 

* * * * * 

(d) Any State permit program shall 

keep such records and submit to the 

Administrator such information as the 

Administrator may reasonably require to 

ascertain whether the State program 

complies with the requirements of the 

CWA or of this part. This includes the 

timely data transfers in compliance with 

all requirements of 40 CFR part 127 

(including the required data elements in 

appendix A to part 127). 

■ 22. Revise § 123.45 to read as follows: 

§ 123.45 Noncompliance and program 

reporting by the Director. 

As of December 21, 2021 EPA must 

prepare public (quarterly and annual) 

reports as set forth here from 

information that is required to be 

submitted by NPDES-regulated facilities 

and the State Director. 

(a) NPDES noncompliance reports 

(NNCR)—quarterly. EPA must produce 

an online report on a quarterly basis 

with the minimum content specified 

here. The Director must electronically 

submit timely, accurate, and complete 

data to EPA that allows EPA to prepare 

these quarterly NNCRs. 

(1) Content. The NNCR must include 

the following information: 

(i) A facility specific list of NPDESregulated entities in violation, including 

non-POTWs, POTWs, Federal 

permittees, major facilities, and 

nonmajor facilities, as well as a list of 

CWA point sources that did not obtain 

NPDES permits authorizing discharges 

of pollutants to waters of the United 

States. 

(ii) For each identified NPDESregulated entity in violation of the Clean 

Water Act: 

(A) The name, location, and permit 

number or other identification number, 

if a permit does not exist. 

(B) Information describing identified 

violation(s) that occurred in that 

quarter, including the date(s) on which 

violation(s) started and ended (if 

applicable). Where applicable, the 

information must indicate the pipe, 

parameter, and the effluent limit(s) 

violated. Violations must be classified 

as Category I and II as described in 

paragraph (a)(2) of this section. 

(C) The date(s) and type of formal 

enforcement and written informal 

enforcement action(s) taken by the 

Director to respond to violation(s), 

including any penalties assessed. 

(D) The status of the violation(s) (e.g., 

corrected or continuing, and the date 

that the violation(s) was resolved), 

which can be reported by linking 

violations to specific enforcement 

actions, or tracking noncompliance end 

dates. 

(E) Any optional details that may help 

explain the instance(s) of 

noncompliance as provided by the 

Director or EPA. 

(F) All violations must be reported in 

successive quarterly reports until the 

violation(s) is documented as being 

corrected (i.e., the regulated entity is no 

longer in violation). After a violation is 

reported as corrected in the NNCR, that 

particular violation will not continue to 

appear in subsequent quarterly reports, 

although it will appear in the relevant 

annual report. 

(G) If the permittee or discharger is in 

compliance with an enforcement order 

(e.g., permittee is completing the 

necessary upgrades to its existing 

wastewater treatment system in 

accordance with the schedule in the 

enforcement order), and has no new, 

additional violation(s), the compliance 

status must be reported as ‘‘resolved 

pending’’ in the NNCR. The permittee/ 

discharger will continue to be listed on 

the NNCR until the violation(s) is 

documented as being corrected. 

(2) Violation classifications. A 

violation must be classified as ‘‘Category 

I Noncompliance’’ if one or more of the 

criteria set forth below are met. 

(i) Reporting violations. These include 

failure to submit a complete, required 

report (e.g., final compliance schedule 

progress report, discharge monitoring 

report, annual report) within 30 days 

after the date established in a permit, 

administrative or judicial order, or 

regulation. In addition, these also 

include any failure to comply with the 

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reporting requirements at 40 CFR 

122.41(l)(6). 

(ii) Compliance construction 

violations. These include failure to start 

construction, complete construction, or 

achieve final compliance within 90 days 

after the date established in a permit, 

administrative or judicial order, or 

regulation. 

(iii) Effluent limits. These include 

violations of interim or final effluent 

limits established in a permit, 

administrative or judicial enforcement 

order, or regulation that exceed the 

‘‘Criteria for Noncompliance Reporting 

in the NPDES Program’’ in appendix A 

to § 123.45. 

(iv) Compliance schedule violations. 

These include violations of any 

requirement or condition in permits, or 

administrative or judicial enforcement 

orders, excluding reporting violations, 

compliance construction milestones and 

effluent limits. 

(v) Non-numeric effluent limit 

violations. These include violations of 

non-numeric effluent limits (e.g., 

violations of narrative permit 

requirements or requirements to 

implement best management practices) 

that caused or could cause water quality 

impacts. Examples of such impacts on 

water quality include, but are not 

limited to, unauthorized discharges that 

may have caused or contributed to 

exceedances in water quality standards, 

fish kills, oil sheens, beach closings, 

fishing bans, restrictions on designated 

uses, and unauthorized bypass or pass 

through or interference with the 

operations of a POTW (see 40 CFR 

403.3). 

(vi) Other violations. These include 

any violation or group of violations, 

which in the discretion of the Director 

or EPA, are considered to be of concern. 

These violations include repeat 

violations by a specific point source, 

geographic clusters of violations, 

corporations with violations at multiple 

facilities, or industrial sectors with 

identified patterns of violation that have 

a cumulative impact on water quality, 

but otherwise would not meet Category 

I criteria. EPA must determine whether 

to issue policy or guidance to provide 

more specificity on identifying these 

types of violations and how to report 

them. 

(vii) All other types of noncompliance 

that do not meet the criteria for Category 

I Noncompliance must be classified as 

‘‘Category II Noncompliance.’’ 

(3) EPA must provide an easy-to-use 

interface to facilitate public access, use, 

and understanding of the NNCR, 

including the ability to sort violations 

by duration, severity, frequency, 

detection method (e.g., self-reported 

effluent, monitoring, inspection), flow 

and pollutant loadings, type of 

discharger, waterbody receiving the 

discharge, proximity to impaired waters, 

and category of violation (I or II). EPA 

must exclude from public release any 

confidential business information or 

enforcement-sensitive information 

associated with the NNCR. 

(b) NPDES noncompliance reports— 

annual summary (annual). EPA must 

prepare annual public reports that 

provide a summary of compliance 

monitoring and enforcement activities 

within each state, tribe, and territory, as 

well as summary information on 

violations identified in the four 

quarterly NNCRs for that federal fiscal 

year. EPA must provide these annual 

reports by no later than March 1st of the 

following year. 

(1) Facility types covered by reports. 

EPA must produce, at a minimum, 

Annual Summary Reports for the 

following universes: Individuallypermitted NPDES-regulated entities; all 

other NPDES-regulated entities that are 

not individually permitted; Clean Water 

Act point sources that had unauthorized 

discharge(s) of pollutants to waters of 

the US; and a combined report that 

includes totals across all three reports 

above. Individually-permitted facilities 

are defined in this subsection as those 

permits that are unique to the permittee, 

that include permitted effluent limits, 

and require the submission of discharge 

monitoring reports. 

(2) Content of reports. Reports must 

include applicable data for NPDESregulated entities: 

(i) The number of NPDES permittees; 

(ii) The number inspected by on-site 

inspections; 

(iii) The number reviewed in which 

permitted limits were compared to 

measured data to determine violations; 

(iv) The number evaluated by other, 

off-site compliance monitoring 

activities; 

(v) The number with any violations; 

(vi) The number with Category I 

violations; 

(vii) The number receiving paper or 

electronic written informal enforcement 

actions; 

(viii) The total number receiving 

formal enforcement actions with a 

compliance schedule; 

(ix) The total number receiving a 

penalty assessment; 

(x) The total amount of penalties 

assessed; and 

(xi) The number of permit 

modifications extending compliance 

deadlines more than one year. 

(c) Schedule for producing NNCR 

quarterly information. (1) The Director 

has until 45 days from the end of the 

calendar quarter to update or correct 

NPDES data submissions in EPA’s 

national NPDES data system for events 

that occurred within that calendar 

quarter covered by the NNCR. 

(2) EPA must publish the NNCR in 

electronic form to be easily accessible 

and available to the public within two 

months after the end date of the 

calendar quarter: 

EPA SCHEDULE FOR QUARTERLY

NNCR 

Calendar quarter 

EPA NNCR 

publication 

date for 

calendar 

quarter 

January, February, March .... May 31. 

April, May, June ................... August 31. 

July, August, September ...... November 30. 

October, November, and December.Last Day in 

February. 

Appendix A to § 123.45—Criteria for 

Category I Noncompliance Reporting in 

the NPDES Program 

This appendix describes the criteria for 

reporting Category I violations of NPDES 

permit effluent limits in the NPDES noncompliance report (NNCR) as specified under 

paragraph (a)(2)(C) of this section. Any 

violation of an NPDES permit is a violation 

of the Clean Water Act (CWA) for which the 

permittee is liable. As specified in paragraph 

(a)(2) of this section, there are two categories 

of noncompliance, and the table below 

indicates the thresholds for violations in 

Category I. An agency’s decision as to what 

enforcement action, if any, should be taken 

in such cases, shall be based on an analysis 

of facts, legal requirements, policy, and 

guidance. 

Violations of Permit Effluent Limits 

The categorization of permit effluent limits 

depends upon the magnitude and/or 

frequency of the violation. Effluent violations 

shall be evaluated on a parameter-byparameter and outfall-by-outfall basis. The 

criteria for reporting effluent violations are as 

follows: 

a. Reporting Criteria for Category I Violations 

of Monthly Average Permit Limits— 

Magnitude and Frequency 

Violations of monthly average effluent 

limits which exceed or equal the product of 

the Technical Review Criteria (TRC) times 

the effluent limit, and occur two months in 

a six- month period must be reported. TRCs 

are for two groups of pollutants. 

Group I Pollutants—TRC=1.4 

Group II Pollutants—TRC=1.2 

b. Reporting Criteria for Chronic Violations of 

Monthly Average Limits 

Chronic violations must be reported in the 

NNCR if the monthly average permit limits 

are exceeded any four months in a six-month 

period. These criteria apply to all Group I 

and Group II pollutants. 

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Group I Pollutants—TRC=1.4 

Oxygen Demand 

Biochemical Oxygen Demand 

Chemical Oxygen Demand 

Total Oxygen Demands 

Total Organic Carbon 

Other 

Solids 

Total Suspended Solids (Residues) 

Total Dissolved Solids (Residues) 

Other 

Nutrients 

Inorganic Phosphorus Compounds 

Inorganic Nitrogen Compounds 

Other 

Detergents and Oils 

MBAS 

NTA 

Oil and Grease 

Other detergents or algicides 

Minerals 

Calcium 

Chloride 

Fluoride 

Magnesium 

Sodium 

Potassium 

Sulfur 

Sulfate 

Total Alkalinity 

Total Hardness 

Other Minerals 

Metals 

Aluminum 

Cobalt 

Iron 

Vanadium 

Group II Pollutants—TRC=1.2 

Metals (all forms) 

Other metals not specifically listed under 

Group I 

Inorganic 

Cyanide 

Total Residual Chlorine 

Organics 

All organics are Group II except those 

specifically listed under Group I. 

■ 23. Add part 127 to read as follows: 

PART 127—NPDES ELECTRONIC 

REPORTING 

Subpart A—General 

Sec. 

127.1 Purpose and scope. 

127.2 Definitions. 

Subpart B—Electronic Reporting of NPDES 

Information From NPDES-Regulated 

Facilities 

127.11 Types of data to be reported 

electronically by NPDES permittees, 

facilities, and entities subject to this part 

[see § 127.1(a)]. 

127.12 Signature and certification standards 

for electronic reporting. 

127.13 Requirements regarding quality 

assurance and quality control. 

127.14 Requirements regarding timeliness, 

accuracy, completeness, and national 

consistency. 

127.15 Waivers from electronic reporting. 

127.16 Implementation of electronic 

reporting requirements for NPDES 

permittees, facilities, and entities subject 

to this part [see § 127.1(a)]. 

Subpart C—Responsibilities of EPA and 

States, Tribes, and Territories Authorized to 

Implement the NPDES Program 

127.21 Data to be reported electronically to 

EPA by states, tribes, and territories. 

127.22 Requirements regarding quality 

assurance and quality control. 

127.23 Requirements regarding timeliness, 

accuracy, completeness, and national 

consistency. 

127.24 Responsibilities regarding review of 

waiver requests from NPDES permittees, 

facilities, and entities subject to this part 

[see § 127.1(a)]. 

127.25 Time for states, tribes, and territories 

to revise existing programs. 

127.26 Implementation plan (authorized 

states, tribes, and territories). 

127.27 Procedure for determining initial 

recipient of electronic NPDES 

information. 

Appendix A to Part 127—Minimum Set of 

NPDES Data 

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

Subpart A—General 

§ 127.1 Purpose and scope. 

(a) This part, in conjunction with the 

NPDES reporting requirements specified 

in 40 CFR parts 122, 123, 124, 125, 403, 

501, and 503, specifies the requirements 

for: 

(1) Electronic reporting of information 

by NPDES permittees; 

(2) Facilities or entities seeking 

coverage under NPDES general permits; 

(3) Facilities or entities submitting 

stormwater certifications or waivers 

from NPDES permit requirements; 

(4) Industrial users located in 

municipalities without approved local 

pretreatment programs; 

(5) Approved pretreatment programs; 

(6) Facilities or entities regulated by 

the Federal sewage sludge/biosolids 

program; and 

(7) EPA and the states, tribes, or 

territories that have received 

authorization from EPA to implement 

the NPDES program. This part, in 

conjunction with 40 CFR parts 123, 403, 

and 501, also specifies the requirements 

for electronic reporting of NPDES 

information to EPA by the states, tribes, 

or territories that have received 

authorization from EPA to implement 

the NPDES program. 

(b) These regulations are not intended 

to preclude states, tribes, or territories 

authorization from EPA to implement 

the NPDES program from developing 

and using their own NPDES data 

systems. However, these states, tribes, 

and territories must ensure that the 

required minimum set of NPDES data 

(appendix A of this part) is 

electronically transferred to EPA in a 

timely, accurate, complete, and 

nationally-consistent manner fully 

compatible with EPA’s national NPDES 

data system. 

(c) Under 10 U.S.C. 130e, the 

Secretary of Defense may exempt 

Department of Defense ‘‘critical 

infrastructure security information’’ 

from disclosure under the Freedom of 

Information Act (FOIA). NPDES 

program data designated as critical 

infrastructure security information in 

response to a FOIA request will be 

withheld from the public. In the 

instance where an NPDES program data 

element for a particular facility is 

designated as critical infrastructure 

security information in response to a 

FOIA request, a separate filtered set of 

data without the redacted information 

will be shared with the public; however, 

all NPDES program data will continue 

to be provided to EPA and the 

authorized state, tribe, or territory 

NPDES program. 

(d) Proper collection, management, 

and sharing of the data and information 

listed in appendix A ensures that there 

is timely, complete, accurate, and 

nationally-consistent set of data about 

the NPDES program. 

§ 127.2 Definitions. 

(a) The definitions in 40 CFR parts 

122, 123, 124, 125, 403, 501 and 503 

apply to all subparts of this part. 

(b) Initial recipient of electronic 

NPDES information from NPDESregulated facilities (initial recipient) 

means the entity (EPA or the state, tribe, 

or territory authorized by EPA to 

implement the NPDES program) that is 

the designated entity for receiving 

electronic NPDES data. Section 127.27 

outlines the process for designating the 

initial recipient of electronic NPDES 

information from NPDES-regulated 

facilities. EPA must become the initial 

recipient of electronic NPDES 

information from NPDES-regulated 

facilities if the state, tribe, or territory 

does not collect the data required in 

appendix A to this part and does not 

consistently maintain timely, accurate, 

complete, and consistent data transfers 

in compliance with this part and 40 CFR 

part 3. Timely means that the 

authorized state, tribe, or territory 

submits these data transfers (see the 

data elements in appendix A to this 

part) to EPA within 40 days of when the 

authorized program completed the 

activity or received a report submitted 

by a regulated entity. For example, the 

data regarding a state inspection of an 

NPDES-regulated entity that is finalized 

by the state on October 5th must be 

electronically transferred to EPA no 

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later than November 14th of that same 

year (e.g., 40 days after October 5th). 

(c) NPDES data group means the 

group of related data elements identified 

in Table 1 in appendix A to this part. 

These NPDES data groups have similar 

regulatory reporting requirements and 

have similar data sources. 

(d) NPDES program means the 

National Pollutant Discharge 

Elimination System (Clean Water Act 

section 402); the Federal Sewage Sludge 

(Biosolids) Program (Clean Water Act 

section 405); and the Federal 

Pretreatment Program (Clean Water Act 

section 307(b); 40 CFR part 403). EPA 

can implement the NPDES program or 

authorize states, tribes, and territories to 

implement the NPDES program 

(‘‘authorized NPDES program’’). 

Identifying the relevant authority must 

be done for each NPDES subprogram 

(e.g., NPDES core program, federal 

facilities, general permits, pretreatment, 

and sewage sludge/biosolids). 

(e) Minimum set of NPDES data 

means the data and information listed in 

appendix A to this part. 

(f) Program reports means the 

information reported by NPDESregulated entities and listed in Table 1 

of appendix A to this part (except 

NPDES Data Groups 1, 2, and 3). 

(g) Hybrid approach is a method that 

the initial recipient [as defined in 

paragraph (b) of this section] may elect 

to use for construction stormwater 

general permit reports [Notices of Intent 

to discharge (NOIs); Notices of 

Termination (NOTs); No Exposure 

Certifications (NOEs); Low Erosivity 

Waivers (LEWs)] [40 CFR 122.26(b)(15), 

122.28 and 122.64] in order to 

demonstrate compliance with this part. 

This alternative compliance method 

allows the initial recipient (the 

authorized state, tribe, territory or EPA) 

to use a non-CROMERR electronic 

submission along with a uniquely 

matched paper submission, to reflect 

conditions at construction sites. 

Specifically, this approach allows the 

initial recipient to use data capture 

technologies to collect construction 

stormwater general permit reports. For 

example, under this approach the initial 

recipient may allow construction 

operators to complete an electronic 

construction stormwater general permit 

report, which simultaneously produces 

a paper copy of the report and 

electronically transmits a copy of the 

data from the report to the authorized 

NPDES program. Under this approach 

the construction operator must sign and 

date the paper copy of the construction 

stormwater general permit report with a 

‘‘wet-ink’’ signature and this paper 

document will be the copy of record. 

Under this approach the initial recipient 

must have the ability to definitively and 

uniquely link the signed and dated 

paper document with the electronic 

submission from the facility or entity 

(e.g., use of a unique code or mark on 

the signed and dated paper document 

that is also embedded in the electronic 

submission). Under this approach the 

initial recipient may also use automated 

data capture technologies (e.g., Optical 

Character Recognition), which allow 

construction operators to submit their 

general permit reports to the initial 

recipient on paper with a ‘‘wet-ink’’ 

signature and date in a structured 

format that allows for easy data 

importation into the initial recipient’s 

NPDES data system. 

(h) NPDES-regulated entity means any 

entity regulated by the NPDES program. 

Subpart B—Electronic Reporting of 

NPDES Information From NPDESRegulated Facilities 

§ 127.11 Types of data to be reported 

electronically by NPDES permittees, 

facilities, and entities subject to this part 

[see § 127.1(a)]. 

(a) NPDES-regulated entities must 

electronically submit the minimum set 

of NPDES data for these NPDES reports 

(if such reporting requirements are 

applicable). The following NPDES 

reports are the source of the minimum 

set of NPDES data from NPDESregulated entities: 

(1) Discharge Monitoring Report [40 

CFR 122.41(l)(4)]; 

(2) Sewage Sludge/Biosolids Annual 

Program Report [40 CFR part 503]; 

(3) Concentrated Animal Feeding 

Operation (CAFO) Annual Program 

Report [40 CFR 122.42(e)(4)]; 

(4) Municipal Separate Storm Sewer 

System (MS4) Program Report [40 CFR 

122.34(g)(3) and 122.42(c)]; 

(5) Pretreatment Program Annual 

Report [40 CFR 403.12(i)]; 

(6) Sewer Overflow and Bypass 

Incident Event Report [40 CFR 

122.41(l)(6) and (7)]; and 

(7) CWA section 316(b) Annual 

Reports [40 CFR part 125, subpart J]. 

(b) Facilities or entities seeking 

coverage under or termination from 

NPDES general permits and facilities or 

entities submitting stormwater 

certifications or waivers from NPDES 

permit requirements [see Exhibit 1 to 40 

CFR 122.26(b)(15) and (g)] must 

electronically submit the minimum set 

of NPDES data for the following notices, 

certifications, and waivers (if such 

reporting requirements are applicable): 

(1) Notice of intent (NOI) to discharge 

by facilities seeking coverage under a 

general NPDES permit (rather than an 

individual NPDES permit), as described 

in 40 CFR 122.28(b)(2); 

(2) Notice of termination (NOT), as 

described in 40 CFR 122.64; 

(3) No exposure certification (NOE), 

as described in 40 CFR 122.26(g)(1)(iii); 

and 

(4) Low erosivity waiver (LEW) and 

another waiver as described in Exhibit 

1 to 40 CFR 122.26(b)(15). 

(c) Industrial users located in 

municipalities without approved local 

pretreatment programs must 

electronically submit the minimum set 

of NPDES data for the following selfmonitoring reports (if such reporting 

requirements are applicable): 

(1) Periodic reports on continued 

compliance, as described in 40 CFR 

403.12(e); and 

(2) Reporting requirements for 

Industrial Users not subject to 

categorical Pretreatment Standards, as 

described in 40 CFR 403.12(h). 

(d) The minimum set of NPDES data 

for NPDES-regulated facilities is 

identified in appendix A to this part. 

§ 127.12 Signature and certification 

standards for electronic reporting. 

The signatory and certification 

requirements identified in 40 CFR part 

3 (including, in all cases, subpart D to 

part 3), § 122.22, and 40 CFR 403.12(l) 

must also apply to electronic 

submissions of NPDES information (see 

§ 127.11) by NPDES permittees, 

facilities, and entities subject to this part 

[see § 127.1(a)]. 

§ 127.13 Requirements regarding quality 

assurance and quality control. 

(a) Responsibility for the quality of 

the information provided electronically 

in compliance with this part by the 

NPDES permittees, facilities, and 

entities subject to this part [see 

§ 127.1(a)] rests with the owners and 

operators of those facilities or entities. 

NPDES permittees, facilities, and 

entities subject to this part must use 

quality assurance and quality control 

procedures to ensure the quality of the 

NPDES information submitted in 

compliance with this part. 

(b) NPDES permittees, facilities, and 

entities subject to this part must 

electronically submit their NPDES 

information in compliance with the data 

quality requirements specified in 

§ 127.14. NPDES permittees, facilities, 

and entities subject to this part must 

electronically submit their NPDES 

information unless a waiver is granted 

in compliance with this part (see 

§§ 127.15 and 127.24). 

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§ 127.14 Requirements regarding 

timeliness, accuracy, completeness, and 

national consistency. 

NPDES permittees, facilities, and 

entities subject to this part [see 

§ 127.1(a)] must comply with all 

requirements in this part and 

electronically submit the minimum set 

of NPDES data in the following 

nationally-consistent manner: 

(a) Timely. Electronic submissions of 

the minimum set of NPDES data to the 

appropriate initial recipient, as defined 

in § 127.2(b), must be timely. 

(1) Measurement data (including 

information from discharge monitoring 

reports, self-monitoring data from 

industrial users located outside of 

approved local pretreatment programs, 

and similar self-monitoring data). The 

electronic submission of these data is 

due when that monitoring information 

is required to be reported in compliance 

with statutes, regulations, the NPDES 

permit, another control mechanism, or 

an enforcement order. 

(2) Program report data. The 

electronic submission of this data is due 

when that program report data is 

required to be reported in compliance 

with statutes, regulations, the NPDES 

permit, another control mechanism, or 

an enforcement order. 

(b) Accurate. Electronic submissions 

of the minimum set of NPDES data must 

be identical to the actual measurements 

taken by the owner, operator, or their 

duly authorized representative; 

(c) Complete. Electronic submission 

of the minimum set of NPDES data must 

include all required data (see appendix 

A to this part) and these electronic 

submissions must be sent to the NPDES 

data system of the initial recipient, as 

defined in § 127.2(b); and 

(d) Consistent. Electronic submissions 

of the minimum set of NPDES data must 

be compliant with EPA data standards 

as set forth in this part and in a form 

(including measurement units) and be 

fully compatible with EPA’s national 

NPDES data system. 

§ 127.15 Waivers from electronic 

reporting. 

(a) NPDES permittees, facilities, and 

entities subject to this part [see 

§ 127.1(a)] must electronically submit 

the minimum set of NPDES data in 

compliance with this part, 40 CFR part 

3 (including, in all cases, subpart D to 

part 3), 40 CFR 122.22, and 40 CFR 

403.12(l) unless a waiver is granted in 

compliance with this section and 

§ 127.24. 

(b) Temporary waivers from electronic 

reporting may be granted by the 

authorized NPDES program (EPA, or 

states, territories, and tribes that have 

received authorization to implement the 

NPDES program), in compliance with 

this section and § 127.24, to NPDES 

permittees, facilities, and entities 

subject to this part [see § 127.1(a)]. 

(1) Each temporary waiver must not 

extend beyond five years. However, 

NPDES-regulated entities may re-apply 

for a temporary waiver. It is the duty of 

the owner, operator, or duly authorized 

representative of the NPDES permittee, 

facility, and entity subject to this part 

[see §§ 122.22 of this chapter and 

127.1(a)] to re-apply for a new 

temporary waiver. Authorized NPDES 

programs cannot grant a temporary 

waiver to an NPDES-regulated entity 

without first receiving a temporary 

waiver request from the NPDESregulated entity. 

(2) To apply for a temporary waiver, 

the owner, operator, or duly authorized 

representative of the NPDES permittee, 

facility, and entity subject to this part 

[see §§ 122.22 of this chapter and 

127.1(a)] must submit the following 

information to their authorized NPDES 

program: 

(i) Facility name; 

(ii) NPDES permit number (if 

applicable); 

(iii) Facility address; 

(iv) Name, address and contact 

information for the owner, operator, or 

duly authorized facility representative; 

(v) Brief written statement regarding 

the basis for claiming such a temporary 

waiver; and 

(vi) Any other information required 

by the authorized NPDES program. 

(3) The authorized NPDES program 

will determine whether to grant a 

temporary waiver. The authorized 

NPDES program must provide notice to 

the owner, operator, or duly authorized 

facility representative submitting a 

temporary waiver request, in 

compliance with the requirements of 

§ 127.24. 

(4) NPDES permittees, facilities, and 

entities subject to this part [see 

§ 127.1(a)] that have received a 

temporary waiver must continue to 

provide the minimum set of NPDES data 

(as well as other required information in 

compliance with statutes, regulations, 

the NPDES permit, another control 

mechanism, or an enforcement order) in 

hard-copy format to the authorized 

NPDES program. The authorized NPDES 

program must electronically transfer 

these data to EPA in accordance with 

subpart C of this part. 

(5) An approved temporary waiver is 

not transferrable. 

(c) Permanent waivers from electronic 

reporting may be granted by the 

authorized NPDES program (EPA, or 

states, territories, and tribes that have 

received authorization to implement the 

NPDES program), in compliance 

accordance with this section and 

§ 127.24, to NPDES permittees, 

facilities, and entities subject to this part 

[see § 127.1(a)]. 

(1) Permanent waivers are only 

available to facilities and entities owned 

or operated by members of religious 

communities that choose not to use 

certain modern technologies (e.g., 

computers, electricity). Authorized 

NPDES programs cannot grant a 

permanent waiver to an NPDESregulated entity without first receiving a 

permanent waiver request from the 

NPDES-regulated entity. 

(2) To apply for a permanent waiver, 

the owner, operator, or duly authorized 

representative of the NPDES permittee, 

facility, and entity subject to this part 

[see §§ 122.22 of this chapter and 

127.1(a)] must submit the information 

listed in § 127.15(b)(2) to their 

authorized NPDES program. 

(3) An approved permanent waiver is 

not transferrable. 

(4) NPDES permittees, facilities, and 

entities subject to this part [see 

§ 127.1(a)] that have received a 

permanent waiver must continue to 

provide the minimum set of NPDES data 

(as well as other required information in 

compliance with statutes, regulations, 

the NPDES permit, another control 

mechanism, or an enforcement order) in 

hard-copy format to the authorized 

NPDES program. The authorized NPDES 

program must electronically transfer 

these data to EPA in accordance with 

subpart C of this part. 

(d) Episodic waivers from electronic 

reporting may be granted by the 

authorized NPDES program (EPA, or 

states, territories, and tribes that have 

received authorization to implement the 

NPDES program) or the initial recipient, 

as defined in § 127.2(b), in compliance 

accordance with this section and 

§ 127.24, to NPDES permittees, 

facilities, and entities subject to this part 

[see § 127.1(a)]. The following 

conditions apply to episodic waivers. 

(1) No waiver request from the NPDES 

permittee, facility or entity is required 

to obtain an episodic waiver from 

electronic reporting. 

(2) Episodic waivers are not 

transferrable. 

(3) Episodic waivers cannot last more 

than 60 days. 

(4) The authorized NPDES program or 

initial recipient will decide if the 

episodic waiver provision allows 

facilities and entities to delay their 

electronic submissions or to send 

hardcopy (paper) submissions. Episodic 

waivers are only available to facilities 

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and entities in the following 

circumstances: 

(i) Large scale emergencies involving 

catastrophic circumstances beyond the 

control of the facilities, such as forces of 

nature (e.g., hurricanes, floods, fires, 

earthquakes) or other national disasters. 

The authorized NPDES program will 

make the determination if an episodic 

waiver is warranted in this case and 

must receive the hardcopy (paper) 

submissions. 

(ii) Prolonged electronic reporting 

system outages (i.e., outages longer than 

96 hours). The initial recipient, which 

may also be the authorized NPDES 

program, will make the determination if 

an episodic waiver is warranted in this 

case and must receive the hardcopy 

(paper) submissions. 

§ 127.16 Implementation of electronic 

reporting requirements for NPDES 

permittees, facilities, and entities subject to 

this part [see § 127.1(a)]. 

(a) Scope and schedule. NPDES 

permittees, facilities, and entities 

subject to this part [see § 127.1(a)], with 

the exception of those covered by 

waivers under §§ 127.15 and 127.24, 

must electronically submit the following 

NPDES information (reports, notices, 

waivers, and certifications) after the 

start dates listed in Table 1 of this 

section. This part is not intended to 

undo existing requirements for 

electronic reporting. Prior to this date, 

and independent of this part, the 

permittee may be required to report 

electronically if specified by a particular 

permit or if required to do so by state 

law. 

TABLE 1—START DATES FOR ELECTRONIC SUBMISSIONS OF NPDES INFORMATION

NPDES information Start dates for electronic submissions 

General Permit Reports [Notices of Intent to discharge (NOIs); Notices of Termination 

(NOTs); No Exposure Certifications (NOEs); Low Erosivity Waivers (LEWs) and other 

Waivers] [40 CFR 122.26(b)(15), 122.28 and 122.64].

December 21, 2020. 

Discharge Monitoring Reports [40 CFR 122.41(l)(4)] ........................................................... December 21, 2016.

Biosolids Annual Program Reports [40 CFR part 503] ......................................................... December 21, 2016 (when the Regional Administrator is the Director).1

December 21, 2020 (when the state, tribe or territory 

is the authorized NPDES program).1

Concentrated Animal Feeding Operation (CAFO) Annual Program Reports [40 CFR 

122.42(e)(4)].

December 21, 2020. 

Municipal Separate Storm Sewer System (MS4) Program Reports [40 CFR 122.34(g)(3) 

and 122.42(c)].

December 21, 2020. 

POTW Pretreatment Program Annual Reports [40 CFR 403.12(i)] ..................................... December 21, 2020. 

Significant Industrial User Compliance Reports in Municipalities Without Approved 

Pretreatment Programs [40 CFR 403.12(e) and (h)].

December 21, 2020. 

Sewer Overflow Event Reports [40 CFR 122.41(l)(6) and (7)] ............................................ December 21, 2020. 

CWA 316(b) Annual Reports [40 CFR part 125, subparts I, J, and N] ................................ December 21, 2020. 

1Note: Director is defined in 40 CFR 122.2. 

(b) Electronic reporting standards. 

NPDES permittees, facilities, and 

entities subject to this part [see 

§ 127.1(a)] must electronically submit 

the information listed in Table 1 in 

§ 127.16(a) in compliance with this part 

and 40 CFR part 3 (including, in all 

cases, subpart D to part 3), 40 CFR 

122.22, and 40 CFR 403.12(l). 

(c) Initial recipient. NPDES 

permittees, facilities, and entities 

subject to this part [see § 127.1(a)] must 

electronically submit the information 

listed in Table 1 in § 127.16(a) to the 

Director, Control Authority, Approval 

Authority, or initial recipient [as 

identified in § 127.27, and as defined in 

§ 127.2(b)]. EPA must identify and 

publish the initial recipient on an EPA 

Web site and in the Federal Register, by 

state and by NPDES data group [see 

§ 127.2(c)]. 

(d) Standards for NPDES regulated 

entities with electronic reporting 

waivers. NPDES permittees, facilities, 

and entities subject to this part [see 

§ 127.1(a)] that have received a waiver 

from electronic reporting must continue 

to provide the minimum set of NPDES 

data (as well as other required 

information in compliance with 

statutes, regulations, the NPDES permit, 

another control mechanism, or an 

enforcement order) to the authorized 

NPDES program or initial recipient (see 

§ 127.15). 

Subpart C—Responsibilities of EPA 

and States, Tribes, and Territories 

Authorized to Implement the NPDES 

Program 

§ 127.21 Data to be reported electronically 

to EPA by states, tribes, and territories. 

(a) States, tribes, and territories that 

have received authorization from EPA to 

implement the NPDES program must 

electronically transfer to EPA all 

information listed in appendix A to this 

part. This information includes: 

(1) The ‘‘Core NPDES Permitting, 

Compliance, And Enforcement Data [40 

CFR parts 122, 123, 403, 503]’’ as 

identified as NPDES Data Group 1 in 

Tables 1 and 2 in appendix A to this 

part. 

(2) NPDES information (NPDES Data 

Groups 2 through 10 in Tables 1 and 2 

in appendix A to this part) from NPDES 

permittees, facilities, and entities 

subject to this part [see § 127.1(a)] where 

the authorized state, tribe, or territory is 

the initial recipient [as identified in 

§ 127.27, and as defined in § 127.2(b)]. 

This includes NPDES information from 

NPDES permittees, facilities, and 

entities subject to this part that received 

a waiver from electronic reporting (see 

§ 127.15). 

(3) Specific data elements that are 

required to be submitted electronically 

to EPA by the states, tribes, or territories 

that have received authorization from 

EPA to implement the NPDES program 

are identified in appendix A to this part. 

(b) States, tribes, and territories that 

have received authorization from EPA to 

implement the NPDES program must 

electronically transfer these data, listed 

in § 127.21(a), to EPA within 40 days of 

the completed activity or within 40 days 

of the receipt of a report from an NPDES 

permittee, facility, or entity subject to 

this part [see § 127.1(a)]. 

§ 127.22 Requirements regarding quality 

assurance and quality control. 

States, tribes, and territories that have 

received authorization from EPA to 

implement the NPDES program have the 

responsibility for the information that 

they electronically transfer to EPA. 

Therefore, authorized states, tribes, and 

territories that electronically transfer 

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data to EPA must use reasonable quality 

assurance and quality control 

procedures to ensure the quality of the 

NPDES information. 

§ 127.23 Requirements regarding 

timeliness, accuracy, completeness, and 

national consistency. 

(a) Authorized state, tribe, and 

territory NPDES programs must 

electronically transfer all NPDES 

program data that supports electronic 

reporting (e.g., facility information and 

permit information such as limits, 

permitted features, and narrative 

conditions) to EPA three months prior 

to the electronic reporting start dates in 

Table 1 in § 127.16(a) and maintain 

updates thereafter. These electronic data 

transfers must be timely, accurate, 

complete, and consistent. 

(b) According to the schedule set forth 

in § 127.16, the authorized NPDES 

program must electronically transfer to 

EPA the minimum set of NPDES data (as 

specified in appendix A to this part). 

These electronic data transfers to EPA 

must be timely, accurate, complete, and 

consistent. 

(c) For the purposes of this part 

timely, accurate, complete, and 

consistent mean: 

(1) Timely, in that the authorized 

state, tribe, or territory NPDES program 

electronically transfers the minimum set 

of NPDES data to EPA within 40 days 

of the completed activity or within 40 

days of receipt of a report from an 

NPDES permittee, facility, or entity 

subject to this part [see § 127.1(a)]. For 

example, the data regarding a state 

inspection of an NPDES-regulated entity 

that is finalized by the state on October 

5th must be electronically transferred to 

EPA no later than November 14th of that 

same year (e.g., 40 days after October 

5th). The start dates for electronic 

reporting from NPDES permittees, 

facilities, and entities subject to this part 

[see § 127.1(a)] are provided in Table 1 

in § 127.16(a). 

(2) Accurate, in that 95% or more of 

the minimum set of NPDES data in 

EPA’s national NPDES data system are 

identical to the actual information on 

the copy of record (e.g., permit, notice, 

waiver, certification, report, 

enforcement order, or other source 

document); 

(3) Complete, in that 95% or more of 

submissions required for each NPDES 

data group [see § 127.2(c)] are available 

in EPA’s national NPDES data system; 

and 

(4) Consistent, in that data 

electronically submitted by states, 

tribes, and territories to EPA, by direct 

entry of information, data transfers from 

one data system to another, or some 

combination thereof, into EPA’s 

designated national NPDES data system 

is in compliance with EPA’s data 

standards as set forth in this part and in 

a form and measurement units which 

are fully compatible with EPA’s national 

NPDES data system. 

(d) An authorized program must 

consistently maintain the requirements 

identified in paragraph (a) of this 

section in order to be the initial 

recipient, as defined in § 127.2(b). If the 

authorized program does not maintain 

these requirements, EPA must become 

the initial recipient (see § 127.27). 

§ 127.24 Responsibilities regarding review 

of waiver requests from NPDES permittees, 

facilities, and entities subject to this part 

[see § 127.1(a)]. 

(a) Under § 127.15, an NPDES 

permittee, facility, or entity subject to 

this part [see § 127.1(a)] may seek a 

waiver from electronic reporting. States, 

tribes, and territories that have received 

authorization from EPA to implement 

the NPDES program must review the 

temporary or permanent waiver requests 

that they receive and either approve or 

reject these requests within 120 days. 

(b) The authorized NPDES state, tribe, 

or territory program must provide the 

permittee, facility, or entity with notice 

of the approval or rejection of their 

temporary or permanent waiver request 

from electronic reporting. 

(c) The authorized NPDES state, 

tribal, or territory program must 

electronically transfer to EPA the 

minimum set of NPDES data (as 

specified in appendix A to this part) 

that they receive from permittees, 

facilities, or entities with a waiver from 

electronic reporting in accordance with 

§ 127.23. 

(d) Under § 127.15(d), episodic 

waivers from electronic reporting may 

be granted by the authorized NPDES 

program or the initial recipient to 

NPDES permittees, facilities, and 

entities. The authorized NPDES program 

or initial recipient granting an episodic 

waiver must provide notice, 

individually or through means of mass 

communication, regarding when such 

an episodic waiver is available, the 

facilities and entities that may use the 

episodic waiver, the likely duration of 

the episodic waiver, and any other 

directions regarding how facilities and 

entities should provide the minimum 

set of NPDES data (as well as other 

required information in compliance 

with statutes, regulations, the NPDES 

permit, another control mechanism, or 

an enforcement order) to the authorized 

NPDES program or the initial recipient. 

No waiver request from the NPDES 

permittee, facility or entity is required 

to obtain an episodic waiver from 

electronic reporting. The authorized 

NPDES program or initial recipient 

granting the episodic waiver will 

determine whether to allow facilities 

and entities to delay their electronic 

submissions for a short time (i.e., no 

more than 40 days) or to send hardcopy 

(paper) submissions. 

§ 127.25 Time for states, tribes, and 

territories to revise existing programs. 

A state, tribe, or territory that has 

received authorization from EPA to 

implement the NPDES program must 

make program revisions in compliance 

with 40 CFR 123.62(e). 

§ 127.26 Implementation plan (authorized 

states, tribes, and territories). 

(a) Initial recipient designation 

procedure. EPA and authorized state, 

tribe, and territory NPDES programs 

must follow the procedure in § 127.27 

for determining the initial recipient of 

electronic NPDES information from 

NPDES-regulated facilities (see 

§ 127.2(b)). 

(b) NPDES data system requirements. 

Authorized state, tribe, and territory 

NPDES programs must update their 

electronic data system to electronically 

collect the minimum set of NPDES data 

and facilitate compliance with this part 

(including §§ 127.22 and 127.23) and 40 

CFR part 3. The authorized NPDES 

program’s electronic data system must 

facilitate electronic reporting from 

NPDES permittees, facilities, and 

entities subject to this part [see 

§ 127.1(a)] in compliance with the start 

dates in Table 1 in § 127.16(a). 

Authorized NPDES programs may elect 

to use EPA’s national NPDES data 

system (and related Internet services 

and applications) for their electronic 

data system. 

(c) Preparatory actions for electronic 

reporting. Authorized state, tribe, and 

territory NPDES programs must 

electronically transfer all NPDES data 

that supports electronic reporting (e.g., 

permitting, compliance monitoring, 

compliance determinations, and 

enforcement activities) to EPA’s 

national NPDES data system three 

months prior to the electronic reporting 

start dates in Table 1 in § 127.16(a) and 

maintain updates thereafter. These 

electronic data transfers must be timely, 

accurate, complete, and consistent (see 

§ 127.23). 

(d) Transfer of NPDES program data 

to EPA. A state, tribe, or territory that is 

designated by EPA as the initial 

recipient [see §§ 127.2(b) and 127.27] for 

an NPDES data group [as defined in 

§ 127.2(c)] must electronically collect 

and maintain the minimum set of 

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NPDES data (as specified in appendix A 

to this part) and electronically transfer 

these data to EPA’s national NPDES data 

system through timely, accurate, 

complete, and consistent electronic data 

transfers in compliance with this part 

(including §§ 127.22 and 127.23) and 40 

CFR part 3. 

(e) Updating state statutes and 

regulations. Authorized state, tribe, or 

territory NPDES programs must update 

their NPDES programs to implement 

this part. See 40 CFR 123.62(e). 

(f) Inclusion of electronic reporting 

requirements in NPDES permits. All 

permits issued by the EPA and the 

authorized states, tribes, or territory 

NPDES program must contain permit 

conditions requiring compliance with 

the electronic reporting requirements in 

this part, 40 CFR part 3, and 40 CFR 

122.22. NPDES-regulated facilities 

which already have electronic reporting 

requirements in their permits that meet 

the requirements in this part, 40 CFR 

part 3, and 40 CFR 122.22 must 

continue their electronic reporting to 

the initial recipient [see §§ 127.2(b) and 

127.27]. 

(g) Hybrid approach. Authorized 

state, tribe, or territory NPDES programs 

may elect to use the Hybrid Approach 

[as defined in § 127.2(g)] for the 

collection of the minimum set of NPDES 

data contained in construction 

stormwater general permit reports [see 

Table 1 in § 127.16(a)]. 

(h) Authorized NPDES program 

implementation plans. A state, tribe, or 

territory that is designated by EPA as 

the initial recipient [see §§ 127.2(b) and 

127.27] for an NPDES data group [as 

defined in § 127.2(c)] must submit an 

implementation plan to EPA for review. 

EPA will inform the authorized NPDES 

program if the implementation plan is 

adequate. This plan must provide 

enough details (e.g., tasks, milestones, 

roles and responsibilities, necessary 

resources) to clearly describe how the 

program will successfully implement 

this part (including a description of 

their electronic reporting waiver 

approval process); however, this plan 

does not include electronic reporting of 

Discharge Monitoring Reports or Forms 

Provided or Specified by the Director 

(DMRs) [40 CFR 122.41(l)(4)]. These 

implementation plans must be 

submitted to EPA by December 21, 2016 

for EPA review. 

(i) Updating waiver approval process. 

A state, tribe, or territory that is 

designated by EPA as the initial 

recipient [see §§ 127.2(b) and 127.27] for 

an NPDES data group [as defined in 

§ 127.2(c)] must submit an updated 

waiver approval process to EPA every 

five years. EPA will inform the 

authorized NPDES program if the 

waiver approval process adequate. 

(j) Electronic participation rates 

assessment. EPA will assess the 

electronic reporting participation rate of 

NPDES permittees, facilities, and 

entities subject to this part [see 

§ 127.1(a)] for each authorized NPDES 

program and by each NPDES data group 

to determine the appropriateness of 

using use its authority to increase the 

electronic reporting percentage rate. 

(1) EPA will separately calculate the 

electronic reporting participation rate 

for each authorized NPDES program and 

for each NPDES data group six months 

after the deadline for conversion from 

paper to electronic submissions [see the 

start dates for electronic reporting in 

Table 1 in § 127.16(a)]. EPA will assess 

the electronic reporting participation 

rate for individually permitted facilities 

separate from the electronic reporting 

participation rate for general permit 

covered facilities for Discharge 

Monitoring Reports [NPDES Data Group 

Number 3]. 

(2) As appropriate, EPA will contact 

the facilities and entities that are not 

electronically reporting their reports, 

notices, waivers, and certifications after 

the start dates for electronic reporting 

[see Table 1 in § 127.16(a)]. EPA will not 

contact facilities and entities with 

waivers from electronic reporting (see 

§ 127.15). EPA will direct these facilities 

and entities to use the electronic 

reporting system of the initial recipient 

[as identified in § 127.27, and as defined 

in § 127.2(b)]. 

(3) EPA will annually repeat its 

review of the electronic reporting 

participation rate for each authorized 

NPDES program and for each NPDES 

group as appropriate and contact 

facilities and entities as appropriate to 

use the electronic reporting system of 

the initial recipient [as identified in 

§ 127.27, and as defined in § 127.2(b)]. 

§ 127.27 Procedure for determining initial 

recipient of electronic NPDES information. 

(a) An authorized NPDES program 

must notify EPA by April 19, 2016 if it 

wishes EPA to be the initial recipient for 

a particular NPDES data group. 

(b) A state, tribe, or territory that seeks 

authorization to implement an NPDES 

program after March 21, 2016 must 

describe if it is requesting to be the 

initial recipient of electronic NPDES 

information from NPDES-regulated 

facilities for specific NPDES data 

groups. See 40 CFR 123.22(g) and 

appendix A to this part. 

(c) By July 18, 2016, EPA must 

publish on its Web site and in the 

Federal Register a listing of the initial 

recipients for electronic NPDES 

information from NPDES-regulated 

facilities by state, tribe, and territory 

and by NPDES data group. This listing 

must identify for NPDES-regulated 

facilities the initial recipient of their 

NPDES electronic data submissions and 

the due date for these NPDES electronic 

data submissions. EPA must update this 

listing on its Web site and in the 

Federal Register if a state, tribe, or 

territory gains authorization status to 

implement an NPDES program and is 

also approved by EPA to be the initial 

recipient of NPDES electronic data 

submissions for that program. 

(d) Failure to maintain all the 

requirements in this part and 40 CFR 

part 3 must prohibit the state, territory, 

or tribe from being the initial recipient 

of electronic NPDES information from 

NPDES-regulated entities. The following 

is the process for these determinations: 

(1) EPA must make a preliminary 

determination identifying if an 

authorized state, tribe, or territory is not 

complying with the requirements in this 

part and 40 CFR part 3 to be an initial 

recipient of electronic NPDES 

information from NPDES-regulated 

facilities. EPA must provide to the 

Director of the authorized NPDES 

program the rationale for any such 

preliminary determination and options 

for correcting these deficiencies. Within 

60 days of EPA’s preliminary 

determination, the authorized state, 

tribe, or territory must fully correct all 

deficiencies identified by EPA and 

notify EPA that such corrections have 

been completed. No response from the 

Director of the authorized NPDES 

program must indicate that the state, 

territory, or tribe agrees to be removed 

as the initial recipient for that NPDES 

data group of electronic NPDES 

information. Within 90 days of the 

EPA’s preliminary determination, EPA 

must provide to the Director of the 

authorized NPDES program a final 

determination whether the state, tribe, 

or territory is not complying with the 

requirements in this part and 40 CFR 

part 3 to be an initial recipient of 

electronic NPDES information from 

NPDES-regulated facilities. 

(2) EPA must become the initial 

recipient of electronic NPDES 

information from NPDES-regulated 

facilities if the state, tribe, or territory 

does not consistently maintain 

electronic data transfers in compliance 

with this part and 40 CFR part 3. 

(3) EPA must update the initial 

recipient listing described in paragraph 

(c) of this section and publish this 

listing on its Web site and in the 

Federal Register when it provides a 

final determination described in 

paragraph (d)(1) of this section to the 

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Director of the authorized NPDES 

program. 

(4) Following any determination of 

noncompliance made in compliance 

with paragraph (d)(1) of this section, 

EPA will work with the Director of the 

authorized NPDES program to remediate 

all issues identified by EPA that prevent 

the authorized NPDES program from 

being the initial recipient. When the 

issues identified by EPA are 

satisfactorily resolved, EPA must update 

the initial recipient listing in paragraph 

(c) of this section in order to list the 

authorized state, tribe, or territory as the 

initial recipient for the one or more 

NPDES data groups. EPA will publish 

this revised initial recipient listing on 

its Web site and in the Federal Register. 

(e) An authorized NPDES program can 

initially elect for EPA to be the initial 

recipient for one or all of the NPDES 

data groups and then at a later date seek 

EPA approval to change the initial 

recipient status for one or all of the 

NPDES data groups from EPA to the 

authorized state, tribe, or territory. To 

make this switch, the authorized state, 

tribe, or territory will send a request to 

EPA. This request must identify the 

specific NPDES data groups for which 

the state, tribe, or territory would like to 

be the initial recipient of electronic 

NPDES information, a description of 

how its data system will be compliant 

with this part and 40 CFR part 3, and 

the date or dates when the state, tribe, 

or territory will be ready to start 

receiving this information. After EPA 

approval of the request, EPA will update 

the initial recipient list and will publish 

the revised initial recipient listing on its 

Web site and in the Federal Register. 

(f) An authorized NPDES program can 

initially elect to be the initial recipient 

for one or all of the NPDES data groups 

and then at a later date request that EPA 

become the initial recipient for one or 

all of the NPDES data groups. To make 

this switch, the authorized state, tribe, 

or territory will send a request to EPA. 

After coordination with the state EPA 

will update the initial recipient list and 

will publish the revised initial recipient 

listing on its Web site and in the 

Federal Register. 

Appendix A to Part 127—Minimum Set 

of NPDES Data 

The following two tables identify the 

minimum set of NPDES data that authorized 

states, tribes, territories must enter or transfer 

to EPA’s national NPDES data system as well 

as what NPDES-regulated entities must 

electronically report to the designated initial 

recipient (authorized NPDES program or 

EPA) [see 40 CFR 127.2(b)]. Authorized 

NPDES programs will be the data provider in 

the event the regulated entity is covered by 

a waiver from electronic reporting. Use of 

these two tables ensures that there is 

consistent and complete reporting 

nationwide, and expeditious collection and 

processing of the data, thereby making it 

more accurate and timely. Taken together, 

these data standardizations and the 

corresponding electronic reporting 

requirements in 40 CFR parts 3, 122, 123, 

124, 125, 127, 403, and 503 are designed to 

save the NPDES authorized programs 

considerable resources, make reporting easier 

for NPDES-regulated entities, streamline 

permit renewals (as permit writers typically 

review previous noncompliance events 

during permit renewal), ensure full exchange 

of NPDES program data between states and 

EPA to the public, improve environmental 

decision-making, and protect human health 

and the environment. 

Authorized NPDES programs may also 

require NPDES regulated entities to submit 

more data than what is listed in this 

appendix. The authorized NPDES program 

can require NPDES regulated entities to 

submit these ‘‘non-appendix A’’ data on 

paper, electronically, or attachments to 

electronic notices and reports filed in 

compliance with this part. 

Instructions: Table 1 of this appendix 

provides the list of data sources and 

minimum submission frequencies for the ten 

different NPDES Data Groups. Table 2 of this 

appendix provides the data that must be 

electronically reported for each of these 

NPDES Data Groups. The use of each data 

element is determined by identifying the 

number(s) in the column labeled ‘‘NPDES 

Data Group Number’’ in Table 2 and finding 

the corresponding ‘‘NPDES Data Group 

Number’’ in Table 1. For example, a value of 

‘‘1’’ in Table 2 means that this data element 

is required in the electronic transmission of 

data from the NPDES program to EPA (Core 

NPDES Permitting, Compliance, and 

Enforcement Data). Likewise, a value of ‘‘1 

through 10’’ in Table 2 means that this data 

element is required in all ten NPDES data 

groups. NPDES regulated entities that have 

no historical record (e.g., ‘‘greenfield’’ 

facilities) do not need to provide data 

elements that rely on historical data 

elements. For the purposes of this appendix, 

the term ‘sewage sludge’ [see 40 CFR 

503.9(w)] also refers to the material that is 

commonly referred to as ‘biosolids.’ EPA 

does not have a regulatory definition for 

biosolids but this material is commonly 

referred to as sewage sludge that is placed on, 

or applied to the land to use the beneficial 

properties of the material as a soil 

amendment, conditioner, or fertilizer. EPA’s 

use of the term ‘biosolids’ in this appendix 

is to confirm that information about 

beneficially used sewage sludge (a.k.a. 

biosolids) is part of the data collected in this 

appendix. 

TABLE 1—DATA SOURCES AND REGULATORY CITATIONS 1

NPDES 

Data 

group 

No.2

NPDES data group Program area Data provider Minimum frequency 3

1 .............. Core NPDES Permitting, Compliance, and Enforcement Data [40 

CFR parts 122, 123, 403, 503].

All NPDES Program Sectors.Authorized NPDES Program .......... Within 40 days of the completed 

activity 

or within 40 days of receipt of a report from a regulated entity [see 

§ 127.23(a)(1)]. However, the frequency associated with any particular permittee may be considerably less [e.g., once every five 

years for most permit information]. 

2 .............. General Permit Reports [Notices of 

Intent to discharge (NOIs); Notices of Termination (NOTs); No 

Exposure Certifications (NOEs); 

Low Erosivity Waivers and Other 

Waivers from Stormwater Controls (LEWs)] [40 CFR 

122.26(b)(15), 122.28 and 124.5].

All NPDES Program Sectors.NPDES Permittee ........................... Prior to obtaining coverage under a 

general permit or consideration 

for permit exclusion or waiver 

from permitting, and permit coverage termination. General permits are generally issued once 

every five years. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64109 

TABLE 1—DATA SOURCES AND REGULATORY CITATIONS 1—Continued 

NPDES 

Data 

group 

No.2

NPDES data group Program area Data provider Minimum frequency 3

3 .............. Discharge Monitoring Reports [40 

CFR 122.41(l)(4)].

Most NPDES 

Program Sectors.

NPDES Permittee ........................... At least annual, more frequent submissions may be required by the 

permit. 

4 .............. Sewage Sludge/Biosolids Annual 

Program Reports [40 CFR part 

503].

Sewage Sludge/

Biosolids.

NPDES Regulated Sewage Sludge/

Biosolids Generator and Handler.

Annual. 

5 .............. Concentrated Animal Feeding Operation (CAFO) Annual Program 

Reports [40 CFR 122.42(e)(4)].

CAFO ................. CAFO .............................................. Annual. 

6 .............. Municipal Separate Storm Sewer 

System (MS4) Program Reports 

[40 CFR 122.34(g)(3) and 

122.42(c)].

MS4 .................... NPDES Permittee ........................... Year two and year four of permit 

coverage (Small MS4), Annual 

(Medium and Large MS4). 

7 .............. Pretreatment Program Reports [40 

CFR 403.12(i)].

Pretreatment ...... POTW Pretreatment Control Authority, Approval Authority for 

SIUs in Municipalities Without 

Approved Pretreatment Programs.

Annual. 

8 .............. Significant Industrial User Compliance Reports in Municipalities 

Without Approved Pretreatment 

Programs [40 CFR 403.12(e) and 

(h)].

Pretreatment ...... Significant Industrial User ............... Bi-Annual. 

9 .............. Sewer Overflow Event Reports [40 

CFR 122.41(l)(6) and (7)].

Sewer Overflows NPDES Permittee ........................... Within 5 days of the time the permittee becomes aware of the 

sewer overflow event (health or 

environment endangerment), 

Monitoring report frequency specific in permit (all other sewer 

overflow events). 

10 ............ CWA section 316(b) Annual Reports [40 CFR part 125, subpart 

J].

CWA section 

316(b).

NPDES Permittee ........................... Annual. 

1Entities regulated by a NPDES permit will comply with all reporting requirements in their respective NPDES permit. 

2 Use the ‘‘NPDES Data Group Number’’ in this table and the ‘‘NPDES Data Group Number’’ column in Table 2 of this appendix to identify the 

source of the required data entry. EPA notes that electronic systems may use additional data to facilitate electronic reporting as well as management and reporting of electronic data. For example, NPDES permittees may be required to enter their NPDES permit number (‘‘NPDES ID’’— 

NPDES Data Group 1 and 2) into the applicable electronic reporting system in order to identify their permit and submit a Discharge Monitoring 

Report (DMR—NPDES Data Group 3). Additionally, NPDES regulated entities may be required to enter and submit data to update or correct erroneous data. For example, NPDES permittees may be required to enter new data regarding the Facility Individual First Name and Last Name 

(NPDES Data Group 1 and 2) with their DMR submission when there is a facility personnel change. 3The applicable reporting frequency is specified in the NPDES permit or control mechanism, which may be more frequent than the minimum 

frequency specified in this table. 

TABLE 2—REQUIRED NPDES PROGRAM DATA

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Basic Facility Information 

[Note: As indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, some of these data elements apply to Significant Industrial Users 

(SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe 

or other means of transportation) to one or more POTWs and to regulated entities or locations that generate, process, or receive biosolids or 

sewage sludge.] 

Facility Type of Ownership ...... The unique code/description identifying the type 

of facility (e.g., state government, municipal or 

water district, Federal facility, tribal facility). This 

data element is used by EPA’s national NPDES 

data system to identify the facility type (e.g., 

POTW, Non-POTW, and Federal).

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.8(f), 403.10, 403.12(i), 

503.18, 503.28, 503.48.

1, 2, 4, and 7. 

Facility Site Name .................... The name of the facility ......................................... 122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

122.44(j), 403.8(f), 403.10, 

403.12(i), 503.18, 503.28, 

503.48.

1, 2, 4, and 7. 

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64110 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Facility Site Address ................ The address of the physical facility location .......... 122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

122.44(j), 403.8(f), 403.10, 

403.12(i), 503.18, 503.28, 

503.48.

1, 2, 4, and 7. 

Facility Site City ....................... The name of the city, town, village, or other locality, when identifiable, within which the boundaries (the majority of) the facility site is located. 

This is not always the same as the city used for 

USPS mail delivery.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

122.44(j), 403.8(f), 403.10, 

403.12(i), 503.18, 503.28, 

503.48.

1, 2, 4, and 7. 

Facility Site State ..................... The U.S. Postal Service (USPS) abbreviation for 

the state or state equivalent for the U.S. where 

the facility is located.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

122.44(j), 403.8(f), 403.10, 

403.12(i), 503.18, 503.28, 

503.48.

1, 2, 4, and 7. 

Facility Site Zip Code ............... The combination of the 5-digit Zone Improvement 

Plan (ZIP) code and the 4-digit extension code 

(if available) where the facility is located. This 

zip code match the ‘‘Facility Site City’’ or the 

city used for USPS mail delivery.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

122.44(j), 403.8(f), 403.10, 

403.12(i), 503.18, 503.28, 

503.48.

1, 2, 4, and 7. 

Facility Site Tribal Land Indicator.The EPA Tribal Internal Identifier for every unit of 

land trust allotment (‘‘tribal land’’) within Indian 

Country (i.e., Federally recognized American Indian and Alaska Native tribal entities). This 

unique identifier will identify whether the facility 

is on tribal land and the current name of the 

American Indian tribe or Alaskan Native entity. 

This unique identifier is different from the Bureau of Indian Affairs tribal code and does not 

change when a Tribe changes its name.

122.21, 122.21(q), 

122.28(b)(2)(ii), 503.18, 

503.28, 503.48.

1, 2, and 4. 

Facility Site Longitude .............. The measure of the angular distance on a meridian east or west of the prime meridian for the 

facility. The format for this data element is decimal degrees (e.g., ¥77.029289) and the 

WGS84 standard coordinate system. This data 

element will also be used to describe the twodimensional area (polygon) regulated by a municipal storm sewer system (MS4) NPDES permit through use of multiple latitude and longitude coordinates. For MS4 the polygon data 

should provide a reasonable estimate of the 

MS4 boundaries. This data element can also be 

system generated when the Facility Site Address, Facility Site City, and Facility Site State 

data elements can be used to generate accurate longitude and latitude values. (Note: ‘‘Post 

Office Box’’ addresses and ‘‘Rural Route’’ addresses are generally not geocodable).

122.21, 122.21(q), 

122.28(b)(2)(ii), 503.18, 

503.28, 503.48.

1, 2, and 4. 

Facility Site Latitude ................. The measure of the angular distance on a meridian north or south of the equator for the facility. 

The format for this data element is decimal degrees (e.g., 38.893829) and the WGS84 standard coordinate system. This data element will 

also be used to describe the two-dimensional 

area (polygon) regulated by a municipal storm 

sewer system (MS4) NPDES permit through 

use of multiple latitude and longitude coordinates. This data element can also be system 

generated when the Facility Site Address, Facility Site City, and Facility Site State data elements can be used to generate accurate longitude and latitude values. (Note: ‘‘Post Office 

Box’’ addresses and ‘‘Rural Route’’ addresses 

are generally not geocodable).

122.21, 122.21(q), 

122.28(b)(2)(ii), 503.18, 

503.28, 503.48.

1, 2, and 4. 

Facility Contact Affiliation Type The affiliation of the contact with the facility (e.g., 

‘‘Owner,’’ ‘‘Operator,’’ or ‘‘Main Contact’’). This 

is a unique code/description that identifies the 

nature of the individual’s affiliation to the facility.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.8(f), 403.10, 403.12(i), 

503.18, 503.28, 503.48.

1, 2, 4, and 7. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64111 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Facility Contact First Name ...... The given name of an individual affiliated with this 

facility.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.8(f), 403.10, 403.12(i), 

503.18, 503.28, 503.48.

1, 2, 4, and 7. 

Facility Contact Last Name ...... The surname of an individual affiliated with this 

facility.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.8(f), 403.10, 403.12(i), 

503.18, 503.28, 503.48.

1, 2, 4, and 7. 

Facility Contact Title ................. The title held by an individual in an organization 

affiliated with this facility.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.8(f), 403.10, 403.12(i), 

503.18, 503.28, 503.48.

1, 2, 4, and 7. 

Facility Contact EMail Address The business email address of the designated individual affiliated with this facility.122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.8(f), 403.10, 403.12(i), 

503.18, 503.28, 503.48.

1, 2, 4, and 7. 

Facility Organization Formal 

Name.

The legal name of the person, firm, public organization, or other entity that operates the facility. 

This name may or may not be the same name 

as the facility. The operator of the facility is the 

legal entity that controls the facility’s operation 

rather than the facility or site manager. This 

data element should not use a colloquial name. 

This field is optional for MS4 permittees.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.8(f), 403.10, 403.12(i), 

503.18, 503.28, 503.48.

1, 2, 4, and 7. 

Basic Permit Information 

[Note: As indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, some of these data elements also apply to Significant Industrial Users 

(SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe 

or other means of transportation) to one or more POTWs and to regulated entities or locations that generate, process, or receive biosolids or 

sewage sludge.] 

NPDES ID ................................ This is the unique identifier for the NPDES permit 

or control mechanism for NPDES regulated entities or Unpermitted ID for an unpermitted facility. This data elements is used for compliance 

monitoring activities, violation determinations, 

and enforcement actions. This data element 

also applies to Significant Industrial Users 

(SIUs) and Categorical Industrial Users (CIUs) 

that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated 

pipe or other means of transportation) to one or 

more POTWs in states where the POTW is the 

Control Authority.

122.2, 122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

122.34(g)(3), 122.41(l)(4)(i), 

122.41(l)(6) and (7), 

122.41(m)(3), 122.42(c), 

122.42(e)(4), 123.26, 

123.41(a), 125.96, 

125.97(g), 125.98, 

125.138(b), 401.14, 403.10, 

403.12(e), 403.12(h), 

403.12(i), 503.18, 503.28, 

503.48.

1, 2, 3, 4, 5, 6, 7, 8, 9, 

10. 

Master General Permit Number The unique identifier of the master general permit, 

which is linked to a General Permit Covered 

Facility. This data element only applies to facilities regulated by a master general permit.

122.2, 122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

122.34(g)(3), 122.41(l)(4)(i), 

122.41(l)(6) and (7), 

122.41(m)(3), 122.42(c), 

122.42(e)(4), 123.26, 

123.41(a), 403.10, 

403.12(e), 403.12(h), 

403.12(i), 503.18, 503.28, 

503.48.

1, 2. 

Permit Type .............................. The unique code/description identifying the type 

of permit [e.g., NPDES Individual Permit, 

NPDES Master General Permit, General Permit 

Covered Facility, State Issued Non-NPDES 

General Permit, Individual IU Permit (NonNPDES), Individual State Issued Permit (NonNPDES)].

122.2, 122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.10.

1, 2. 

Permit Component ................... This will identify one or more applicable NPDES 

subprograms (e.g., pretreatment, CAFO, CSO, 

POTW, biosolids/sewage sludge, stormwater) 

for the permit record. This field is only required 

when the permit includes one or more NPDES 

subprograms.

122.2, 122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.10.

1, 2. 

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64112 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Permit Issue Date .................... This is the date the permit was issued. The date 

must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

122.46 .................................... 1. 

Permit Effective Date ............... This is the date on which the permit is effective. 

The date must be provided in YYYY–MM–DD 

format where YYYY is the year, MM is the 

month, and DD is the day.

122.46, 122.21, 122.21(j)(6), 

122.21(q), 403.10.

1. 

Permit Modification/Amendment Date.This is the date on which the permit was modified 

or amended. The date must be provided in 

YYYY–MM–DD format where YYYY is the year, 

MM is the month, and DD is the day.

122.62, 122.63, 403.10 .......... 1. 

Permit Expiration Date ............. This is the date the permit will expire. The date 

must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

122.46, 122.21, 122.21(j)(6), 

122.21(q), 403.10.

1. 

Permit Termination Date .......... This is the date the permit was terminated. The 

date must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

122.64, 403.10 ....................... 1. 

Permit Major/Minor Status Indicator.This code/description identifies the permit status 

as ‘‘Major’’ or ‘‘Nonmajor’’ (a.k.a. ‘‘Minor’’). This 

data element is initially system generated and 

defaults to ‘‘Minor’’. The most recent permit status is copied when the permit is reissued.

122.2 ...................................... 1. 

Permit Major/Minor Status Start 

Date.

The date that the permit became its current 

Major/Minor status. Initially system-generated to 

match effective date. The date must be provided in YYYY–MM–DD format where YYYY is 

the year, MM is the month, and DD is the day.

122.2 ...................................... 1. 

Permit Application Total Design 

Flow.

This is the design flow rate that a permitted facility was designed to accommodate, in millions of 

gallons per day (MGD). This is only required for 

wastewater treatment plants.

122.21, 122.28(b)(2)(ii), 

403.10(f).

1, 2. 

Permit Application Total Actual 

Average Flow.

This is the annual average daily flow rate that a 

permitted facility will likely accommodate at the 

start of its permit term, in MGD. This is only required for wastewater treatment plants.

122.21,122.28(b)(2)(ii), 

122.41, 403.10(f).

1, 2. 

Complete Permit Application/

NOI Received Date.

This is the date on which the complete application 

for an individual NPDES permit was received or 

a complete Notice of Intent (NOI) for coverage 

under a master general permit was received. 

The date must be provided in YYYY–MM–DD 

format where YYYY is the year, MM is the 

month, and DD is the day. This data element 

can be system generated when the complete 

NOI is electronically received by the NPDES 

program.

122.21, 122.28(b)(2)(ii), 

403.10(f).

1. 

Permit Application/NOI Received Date.This is the date on which the application for an individual NPDES permit was received or a Notice of Intent (NOI) for coverage under a master 

general permit was received. The date must be 

provided in YYYY–MM–DD format where YYYY 

is the year, MM is the month, and DD is the 

day. This data element can be system generated when the NPDES permit application or 

NOI is electronically received by the NPDES 

program.

122.21, 122.28(b)(2)(ii), 

403.10(f).

1. 

Permit Status ............................ This is a unique code/description that identifies 

the permit status (e.g., Effective, Expired, Administratively Continued, Pending, Not Needed, 

Retired, Denied, and Terminated). This is system generated for all statuses except ‘‘Not 

Needed,’’ which must be user entered.

122.21, 122.21(j)(6), 

122.21(q), 122.64, 122.46, 

403.10(f).

1. 

Master General Permit Industrial Category.These are the one or more unique codes/descriptions that identify the one or more industrial categories covered by the master general permit. 

This field is required for master general permits 

only.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.10(f).

1. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64113 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Permit Issuing Organization 

Type.

This is the type of organization issuing a permit 

(e.g., County, Federal, Local, Municipal, Regional, State, Tribal).

122.21, 122.21(j)(6), 

122.21(q), 123.41, 403.10(f).

1. 

DMR Non-Receipt .................... Turns non-receipt tracking for compliance monitoring submissions [e.g., discharge monitoring 

reports (DMRs)] ‘‘on’’ or ‘‘off’’ for non-major permits (a.k.a. ‘‘minors’’). This field is always ‘‘on’’ 

for major permits. This data element is initially 

system generated (defaults to ‘‘on’’) and the 

most recent value is copied when the permit is 

reissued. . This data element will also be used 

to track non-receipt tracking of periodic compliance monitoring data [40 CFR 403.12(e) and 

(h)] for Significant Industrial Users (SIUs) and 

Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or 

other means of transportation) to one or more 

POTWs in states where EPA or the State is the 

Control Authority).

123.45, 403.10(f) ................... 1. 

DMR Non-Receipt Start Date .. This is the date on which the permit’s ‘‘on’’ or 

‘‘off’’ period for DMR Non-Receipt tracking status began. Initially system-generated to match 

effective date. The date must be provided in 

YYYY–MM–DD format where YYYY is the year, 

MM is the month, and DD is the day. This data 

element will also be used to track non-receipt 

tracking of periodic compliance monitoring data 

[40 CFR 403.12(e) and (h)] for Significant Industrial Users (SIUs) and Categorical Industrial 

Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and 

dedicated pipe or other means of transportation) to one or more POTWs in states where 

EPA or the State is the Control Authority).

123.45, 403.10(f) ................... 1. 

Reportable Noncompliance 

Tracking.

Turns reportable noncompliance (RNC) tracking 

‘‘on’’ or ‘‘off’’ for non-major permits (a.k.a. ‘‘minors’’). This data element is initially system 

generated (defaults to ‘‘on’’) and the most recent value is copied when the permit is reissued.

123.45, 403.10(f) ................... 1. 

Reportable Noncompliance 

Tracking Start Date.

This is the date on which the permit’s ‘‘on’’ or 

‘‘off’’ period for Reportable Noncompliance 

Tracking status began. Initially system-generated to match effective date. The date must 

be provided in YYYY–MM–DD format where 

YYYY is the year, MM is the month, and DD is 

the day.

123.45, 403.10(f) ................... 1. 

Applicable Effluent Limitations 

Guidelines.

The applicable effluent limitations guidelines and 

new source performance standards in the 

NPDES permit (e.g., part 414—Organic chemicals, plastics, and synthetic fibers point source 

category). This data element also applies to 

SIUs and CIUs that discharge (including nondomestic wastewater delivered by truck, rail, 

and dedicated pipe or other means of transportation) to one or more POTWs in states where 

the POTW is the Control Authority.

122.21, 122.21(j)(6), 

122.21(q), 122.44, 403.10(f).

1. 

Permit Compliance Tracking 

Status.

This is a unique code/description that indicates 

whether the permit is currently ‘‘on’’ or ‘‘off’’ for 

compliance tracking purposes. This data element is initially system generated (defaults to 

‘‘on’’) and the most recent value is copied when 

the permit is reissued.

122.21, 122.21(j)(6), 

122.21(q), 123.45, 403.10(f).

1. 

Permit Compliance Tracking 

Status Start Date.

This is the date on which the permit’s ‘‘on’’ or 

‘‘off’’ period for compliance tracking status 

began. Initially system-generated to match effective date. The date must be provided in 

YYYY–MM–DD format where YYYY is the year, 

MM is the month, and DD is the day.

122.21, 122.21(j)(6), 

122.21(q), 123.45, 403.10(f).

1. 

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64114 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

RNC Status (Manual) ............... The status of reportable noncompliance (RNC) as 

it was entered by the regulatory authority for 

the official Quarterly Noncompliance Report 

(QNCR) or NPDES Noncompliance Report 

(NNCR). This data element can also be revised 

by the regulatory authority.

122.21, 122.21(j)(6), 

122.21(q), 123.45, 403.10(f).

1. 

RNC Status (Manual) Year ...... The year associated with the RNC Status (Manual) being reported. This data element is used 

for the official Quarterly Noncompliance Report 

(QNCR) or NPDES Noncompliance Report 

(NNCR). This data element can also be revised 

by the regulatory authority.

122.21, 122.21(j)(6), 

122.21(q), 123.45, 403.10(f).

1. 

RNC Status (Manual) Quarter The quarter associated with the RNC Status 

(Manual) being reported. This data element is 

used for the official Quarterly Noncompliance 

Report (QNCR) or NPDES Noncompliance Report (NNCR). This data element can also be revised by the regulatory authority.

122.21, 122.21(j)(6), 

122.21(q), 123.45, 403.10(f).

1. 

Associated NPDES ID Number If applicable, the unique identifier for each 

NPDES Permit that is related to another 

NPDES Permit. For example, this data element 

identifies the recipient POTW’s NPDES ID for 

each satellite collection system, the suppliers of 

biosolids and sewage sludge to a land application site, and the one or more NPDES IDs for 

other permitted operators at the same construction site or industrial facility. This data element 

does not apply to municipal storm sewer systems (MS4s) as other data elements create 

linkages between these entities.

122.2, 122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

122.41(l)(4)(i), 122.41(l)(6) 

and (7), 122.41(m)(3), 

122.42(e)(4), 123.26, 

123.41(a), 503.18, 503.28, 

503.48.

1 through 5, 7, 8, and 9. 

Associated NPDES ID Number 

Reason.

The unique code/description that identifies the 

reason for the association between two NPDES 

IDs (e.g., ETP = Effluent Trade Partner, APR = 

Associated Permit Record, SIP = Switched To 

An Individual Permit, SGP = Switched To A 

General Permit. This data element does not 

apply to municipal storm sewer systems (MS4s) 

as other data elements create linkages between 

these entities.

122.2, 122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

122.41(l)(4)(i), 122.41(l)(6) 

and (7), 122.41(m)(3), 

122.42(e)(4), 123.26, 

123.41(a), 503.18, 503.28, 

503.48.

1 through 5, 7, 8, and 9. 

Receiving POTW ID ................. This data element will identify for each Significant 

Industrial Users (SIUs) and Categorical Industrial Users (CIUs) the unique identifier of the 

one or more POTWs receiving the discharge. 

This includes non-domestic wastewater delivered by truck, rail, and dedicated pipe or other 

means of transportation to the one or more receiving POTWs. This data element only applies 

to SIUs and CIUs and will link the industrial discharger to the one or more receiving POTWs.

122.21, 122.21(j)(6), .............. 1, 2, and 7. 

SIC Code .................................. The one or more four-digit Standard Industrial 

Classification (SIC) codes that represent the 

economic activities of the facility. This data element also applies to SIUs and CIUs that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or 

other means of transportation) to one or more 

POTWs in states where the POTW is the Control Authority. A value of ‘‘4952’’ can be system 

generated for POTWs and TWTDS.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.10(f), 403.12(e), 

403.12(h), 403.12(i), 

503.18, 503.28, 503.48.

1, 2, and 7. 

SIC Code Primary Indicator ..... This data element will identify the primary economic activity, SIC code, of the facility. This 

data element is required for electronic data 

transfer between state and EPA systems. This 

data element also applies to SIUs and CIUs 

that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated 

pipe or other means of transportation) to one or 

more POTWs in states where the POTW is the 

Control Authority.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.10(f), 403.12(e), 

403.12(h), 403.12(i), 

503.18, 503.28, 503.48.

1, 2, and 7. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64115 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

NAICS Code ............................. The six-digit North American Industry Classification System (NAICS) code/description that represents the economic activity of the facility. This 

field is optional if the ‘‘SIC Code’’ data element 

is provided for the facility.

EPA SIC/NAICS Data Standard, Standard No. 

EX000022.2, 6 January 

2006, Office of Management and Budget, Executive Office of the President, 

Final Decision on North 

American Industry Classification System (62 FR 

17288), 403.10(f).

1, 2, and 7. 

NAICS Code Primary Indicator This data element will identify the primary economic activity, NAICS code, of the facility. This 

data element is required for electronic data 

transfer between state and EPA systems. This 

field is optional if the ‘‘SIC Code’’ data element 

is provided for the facility.

EPA SIC/NAICS Data Standard, Standard No. 

EX000022.2, 6 January 

2006, Office of Management and Budget, Executive Office of the President, 

Final Decision on North 

American Industry Classification System (62 FR 

17288), 403.10(f).

1, 2, and 7. 

Permittee Mailing Address ....... The mailing address of the permit holder .............. 122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.10(f).

1, 2. 

Permittee Organization Formal 

Name.

The legal, formal name of the organization that 

holds the permit.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.10(f).

1, 2. 

Permittee City ........................... The name of the city, town, or village where the 

mail is delivered for the permit holder.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.10(f).

1, 2. 

Permittee State ........................ The U.S. Postal Service abbreviation that represents the state or state equivalent for the 

U.S. for the permit holder.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.10(f).

1, 2. 

Permittee Zip Code .................. The combination of the 5-digit Zone Improvement 

Plan (ZIP) code and the 4-digit extension code 

(if available) that represents the geographic 

segment that is a sub-unit of the ZIP Code assigned by the U.S. Postal Service to a geographic location for the permit holder.

122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

403.10(f).

1, 2. 

Residual Designation Determination Code.Under section 402(p)(2)(E) and (6) and 40 CFR 

122.26(a)(9)(i)(C) and (D), the authorized 

NPDES program or the EPA Regional Administrator may specifically designate stormwater 

discharges as requiring an NPDES permit. In 

this ‘residual designation’ process the NPDES 

permitting authority regulates stormwater discharges based on: (1) Wasteload allocations 

that are part of ‘‘total maximum daily loads’’ 

(TMDLs) that address the pollutant(s) of concern in the stormwater discharges [see 40 CFR 

122.26(a)(9)(i)(C)]; or (2) the determination that 

the stormwater discharge, or category of 

stormwater discharges within a geographic 

area, contributes to a violation of a water quality standard or is a significant contributor of pollutants to waters of the United States [see 40 

CFR 122.26(a)(9)(i)(D)]. This data element is 

the unique code/description that identifies the 

main basis for this residual designation determination. This data element only applies to 

stormwater permits.

122.26(a)(9)(i)(C) and (D) and 

CWA section 402(p).

1. 

Electronic Reporting Waiver 

Type.

The unique code/description that identifies whether the authorized NPDES program has granted 

the permittee a waiver from electronic reporting 

in compliance with this part (1 = temporary 

waiver; 2 = permanent waiver). This data element should be left blank if the permittee does 

not have a waiver from electronic reporting in 

compliance with this part.

123.26, 123.41(a) and CWA 

section 308.

1. 

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64116 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Electronic Reporting Waiver 

Expiration Date.

This is the expiration date for a temporary waiver 

from electronic reporting in compliance with this 

part. This data element should be left blank if 

the permittee has a permanent waiver from 

electronic reporting or if the permittee does not 

have a waiver from electronic reporting in compliance with this part.

123.26, 123.41(a) and CWA 

section 308.

1. 

Electronic Submission Type 

(General Permit Reports).

This is the unique code/description for each general permit report submitted by the facility or 

entity. Notices, certifications, and waiver requests covered by this data element are listed 

in Table 1 in this appendix (i.e., NPDES Data 

Group 2). This data element describes how 

each submission was electronically collected or 

processed by the initial recipient [see 

§ 127.2(b)]. For example, these unique codes/

descriptions include: (1) NPDES regulated entity submits NPDES program data using an EPA 

electronic reporting system; (2) NPDES regulated entity submits NPDES program data using 

an authorized NPDES program electronic reporting system; (3) NPDES regulated entity has 

temporary waiver from electronic reporting and 

submits NPDES program data on paper to the 

authorized NPDES program who then electronically uses manual data entry to electronically 

process these data; (4) NPDES regulated entity 

has a permanent waiver from electronic reporting and submits NPDES program data on paper 

to the authorized NPDES program who then 

electronically uses manual data entry to electronically process these data; (5) NPDES regulated entity has an episodic waiver from electronic reporting and submits NPDES program 

data on paper to the authorized NPDES program who then electronically uses manual data 

entry to electronically process these data; (6) 

NPDES regulated entity submits NPDES program data on paper in a form that allows the 

authorized NPDES program to use of automatic 

identification and data capture technology to 

electronically process these data; (7) NPDES 

regulated entity submits NPDES program data 

using another electronic reporting system (e.g., 

third-party). This data element can sometimes 

be system generated (e.g., incorporated into an 

electronic reporting tool). This data element 

does not identify the electronic submission type 

of other reports (NPDES Data Groups = 3 

through 10 in Table 1), which is tracked by the 

‘‘Electronic Submission Type (Compliance Monitoring Activity)’’ data element.

123.26, 123.41(a) and CWA 

section 308.

1. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64117 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

NPDES Data Group Number ... This is the unique code/description that identifies 

the types of NPDES program data that are required to be reported by the facility. This corresponds to Table 1 in this appendix (e.g., 3 = 

Discharge Monitoring Report [40 CFR 

122.41(l)(4)]). This data element can be system 

generated. This data element will record each 

NPDES Data Group that the facility is required 

to submit. For example, when a POTW is required to submit a Discharge Monitoring Report, 

Sewage Sludge/Biosolids Annual Program Report, Pretreatment Program Report, and Sewer 

Overflow/Bypass Event Report, the values for 

this data element for this facility will be 3, 4, 7, 

and 9. The following general permit reports will 

have the following values for this data element: 

2a = Notice of Intent to discharge (NOI); 2b = 

Notice of Termination (NOT); 2c = No Exposure 

Certification (NOE); and 2d = Low Erosivity 

Waiver or Other Waiver from Stormwater Controls (LEW).

122.2, 122.21, 122.21(j)(6), 

122.21(q), 122.28(b)(2)(ii), 

122.34(g)(3), 122.41(l)(4)(i), 

122.41(l)(6) and (7), 

122.41(m)(3), 122.42(c), 

122.42(e)(4), 123.26, 

123.41(a), 403.10, 

403.12(e), 403.12(h), 

403.12(i), 503.18, 503.28, 

503.48 and CWA section 

308.

1. 

Narrative Conditions and Permit Schedules Information 

[Note: As indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, these data elements also apply to Significant Industrial Users (SIUs) 

and Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or 

other means of transportation) to one or more POTWs in states where EPA or the State is the Control Authority]. 

Permit Narrative Condition 

Code.

The unique code/description that identifies the 

type of narrative condition.

122.47, 403.10(f) ................... 1. 

Permit Narrative Condition 

Number.

This number uniquely identifies a narrative condition and its elements for a permit.122.47, 403.10(f) ................... 1. 

Permit Schedule Date .............. The date on which a permit schedule event is due 

to be completed and against which compliance 

will be measured. The date must be provided in 

YYYY–MM–DD format where YYYY is the year, 

MM is the month, and DD is the day.

122.47, 403.10(f) ................... 1. 

Permit Schedule Actual Date ... The date on which the permittee achieved the 

schedule event. The date must be provided in 

YYYY–MM–DD format where YYYY is the year, 

MM is the month, and DD is the day.

122.47, 403.10(f) ................... 1. 

Required Report Received 

Date.

The date on which the regulatory authority receives a report from the permittee indicating 

that a scheduled event was completed (e.g., 

the start of construction) or the date on which 

the regulatory authority received the required 

report. The date must be provided in YYYY– 

MM–DD format where YYYY is the year, MM is 

the month, and DD is the day.

122.47, 403.10(f) ................... 1. 

Permit Schedule Event Code ... The unique code/description indicating the one or 

more events with which the permittee is scheduled to comply.

122.47, 403.10(f) ................... 1. 

Permitted Feature Information 

[Note: These ‘Permitted Feature’ data elements are only required to be submitted for permits that require limits or outfall monitoring for stationary point sources. Additionally, as indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, some of these data elements apply to 

Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by 

truck, rail, and dedicated pipe or other means of transportation) to one or more POTWs in states where EPA or the State is the Control Authority]. 

Permitted Feature Application 

Actual Average Flow (MGD).

The average flow that a permitted feature will actually discharge or transmit, in MGD, at the 

start of its permit term. This data element does 

not apply to regulated entities that do not discharge (e.g., some biosolids/sewage sludge 

generators) and entities that only discharge 

stormwater. This data element may also not 

apply to some intermittent dischargers.

122.21, 122.28(b)(2)(ii), 

403.10(f).

1, 2. 

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64118 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Permitted Feature Identifier 

(Permit).

The identifier assigned for each location at which 

conditions are being applied (e.g., external outfall). This data element also identifies cooling 

water intake structures.

122.21, 122.28(b)(2)(ii), 

403.10(f).

1, 2. 

Permitted Feature Type ........... The code/description that uniquely identifies the 

type of permitted feature (e.g. external outfall, 

sum, intake structure, cooling water intake 

structure).

122.21, 122.28(b)(2)(ii), 

403.10(f).

1, 2. 

Receiving Waterbody Name for 

Permitted Feature.

The name of the waterbody that is or will likely receive the discharge from each permitted feature.122.21, 122.28(b)(2)(ii) .......... 1, 2. 

Permitted Feature Longitude ... The measure of the angular distance on a meridian east or west of the prime meridian for the 

permitted feature. The format for this data element is decimal degrees (e.g., -77.029289) and 

the WGS84 standard coordinate system.

122.21, 122.28(b)(2)(ii) .......... 1, 2. 

Permitted Feature Latitude ...... The measure of the angular distance on a meridian north or south of the equator for the permitted feature. The format for this data element 

is decimal degrees (e.g., 38.893829) and the 

WGS84 standard coordinate system.

122.21, 122.28(b)(2)(ii) .......... 1, 2. 

Limit Set Information 

[Note: These ‘Limit Set’ data elements are only required to be submitted for permits that require limits or outfall monitoring for stationary point 

sources. Additionally, as indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, these data elements apply to Significant Industrial 

Users (SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or other means of transportation) to one or more POTWs in states where EPA or the State is the Control Authority]. 

Limit Set Designator ................. The alphanumeric field that is used to designate a 

particular grouping of parameters within a limit 

set.

122.45, 403.10(f) ................... 1. 

Limit Set Type .......................... The unique code/description identifying the type 

of limit set (e.g., scheduled, unscheduled).

122.45, 403.10(f) ................... 1. 

Modification Effective Date 

(Limit Set).

The effective date of the permit modification that 

updated or created a limit set. The date must 

be provided in YYYY–MM–DD format where 

YYYY is the year, MM is the month, and DD is 

the day.

122.45, 403.10(f) ................... 1. 

Modification Type (Limit Set) ... The type of permit modification that updated or 

created this limit set (e.g., major modification, 

minor modification, permit authorized change).

122.45, 403.10(f) ................... 1. 

Initial Monitoring Date .............. The date on which monitoring starts for the first 

monitoring period for the limit set. This date will 

be blank for unscheduled limit sets. The date 

must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

122.45, 403.10(f) ................... 1. 

Initial DMR Due Date ............... The date that the first compliance monitoring submission (e.g., DMR) for the limit set is due to 

the regulatory authority. This date will be blank 

for unscheduled limit sets. The date must be 

provided in YYYY–MM–DD format where YYYY 

is the year, MM is the month, and DD is the 

day. This data element will also be used to 

track non-receipt tracking of periodic compliance monitoring data [40 CFR 403.12(e) and 

(h)] for Significant Industrial Users (SIUs) and 

Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or 

other means of transportation) to one or more 

POTWs in states where EPA or the State is the 

Control Authority).

122.45, 403.10(f) ................... 1. 

Number of Report Units ........... The number of months covered in each compliance monitoring period (e.g., monthly = 1, 

semi-annually = 6, quarterly = 3).

122.45, 403.10(f) ................... 1. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64119 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Number of Submission Units ... The number of months between compliance monitoring submissions (e.g., monthly = 1, semi-annually = 6, quarterly = 3). This data element will 

be blank for unscheduled limit sets For example, if the permittee was required to submit 

monthly reports every quarter, the number of 

report units would be one (i.e., monthly) and 

the number of submission units would be three 

(i.e., three months of information in each submission)..

122.45, 403.10(f) ................... 1. 

Limit Set Status ........................ The status of the limit set (e.g., active, inactive). 

Limit sets will not have violations generated 

when a limit set is inactive unless an enforcement action limit is present.

subpart C of 122, 403.10(f) ... 1. 

Limit Set Status Start Date ...... The date that the Limit Set Status started. The 

date must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

123.45, 403.10(f) ................... 1. 

Limit Information 

[Note: These ‘Limit’ data elements are only required to be submitted for permits that require limits or outfall monitoring for stationary point 

sources. Additionally, as indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, some of these data elements apply to Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and 

dedicated pipe or other means of transportation) to one or more POTWs in states where EPA or the State is the Control Authority]. 

Monitoring Location Code ........ The unique code/description of the monitoring location at which sampling should occur for a 

limit parameter.

122.45, 403.10(f) ................... 1. 

Limit Season Number .............. Indicates the season of a limit and is used to 

enter different seasonal limits for the same parameter within a single limit start and end date.

122.45, 403.10(f) ................... 1. 

Limit Start Date ........................ The date on which a limit starts being in effect for 

a particular parameter in a limit set. The date 

must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

122.45, 403.10(f) ................... 1. 

Limit End Date ......................... The date on which a limit stops being in effect for 

a particular parameter in a limit set. The date 

must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

122.45, 403.10(f) ................... 1. 

Change of Limit Status Indicator.The unique code/description that describes circumstances affecting limits, such as formal enforcement actions or permit modifications.subpart C of 122, 403.10(f) ... 1. 

Limit Stay Type ........................ The unique identifier of the type of stay applied to 

a limit (e.g., X, Y, Z), which indicates whether 

the limits do not appear on the compliance 

monitoring report (e.g., DMR) at all, are treated 

as monitor only, or have a stay value in effect 

during the period of the stay.

122.45, 403.10(f) ................... 1. 

Limit Stay Start Date ................ The date on which a limit stay begins. The date 

must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

124.19, 403.10(f) ................... 1. 

Limit Stay End Date ................. The date on which a limit stay is lifted. The date 

must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

124.19, 403.10(f) ................... 1. 

Reason for Limit Stay .............. The text that represents the reason a stay was 

applied to a permit.

124.19, 403.10(f) ................... 1. 

Stay Limit Value ....................... The numeric limit value imposed during the period 

of the stay for the limit; if entered, during the 

stay period, the system will use this limit value 

for calculating compliance, rather than the actual limit value that was stayed.

124.19, 403.10(f) ................... 1. 

Limit Type ................................. The unique code/description that indicates whether a limit is an enforceable, or alert limit (e.g., 

action level, benchmark) that does not receive 

effluent violations.

122.45, 403.10(f) ................... 1. 

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64120 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Enforcement Action ID ............. The unique identifier for the enforcement action 

that imposed the enforcement action limit; this 

data element helps uniquely tie the limit record 

to the final order record.

122.45, 403.10(f) ................... 1. 

Final Order ID .......................... The unique identifier for the Final Order that imposed the Enforcement Action limit; this data 

element ties the limit record to the Final Order 

record in the database.

122.45, 403.10(f) ................... 1. 

Modification Effective Date ...... The effective date of the permit modification that 

created this limit. The date must be provided in 

YYYY–MM–DD format where YYYY is the year, 

MM is the month, and DD is the day.

122.62, 403.10(f) ................... 1. 

Modification Type ..................... The type of permit modification that created this 

limit (e.g. major, minor, permit authorized 

change).

122.62, 403.10(f) ................... 1. 

Limit Parameter Code .............. The unique code/description identifying the parameter being limited and/or monitored.122.41(j), 403.10(f) ................ 1. 

Limit Months ............................. The months that the limit applies ........................... 122.46, 403.10(f) ................... 1. 

Limit Value Type ...................... The indication of the limit value type (e.g., Quantity 1, Concentration 2).122.45(f), 403.10(f) ................ 1. 

Limit Quantity or Concentration 

Units.

The unique code/description representing the 

unit(s) of measure applicable to quantity or concentration limits as entered by the user.

122.45(f), 403.10(f) ................ 1. 

Statistical Base Code ............... The unique code/description representing the unit 

of measure applicable to the limit and compliance monitoring activity (e.g., DMR) values entered by the user (e.g., 30-day average, daily 

maximum).

122.45(d), 403.10(f) ............... 1. 

Optional Monitoring Code ........ The code/description that indicates when monitoring is optional but not required (e.g., DMR 

Non-Receipt violation generation will be suppressed for optional monitoring).

122.45, 403.10(f) ................... 1. 

Limit Value Qualifier ................. The unique code identifying the limit value operator (e.g., ‘‘<’’, ‘‘=’’, ‘‘>’’).122.45, 403.10(f) ................... 1. 

Limit Value ............................... The actual limit value number from the Permit or 

Enforcement Action Final Order.

122.45, 403.10(f) ................... 1. 

Sewage Sludge/Biosolids Information on NPDES Permit Application or Notice of Intent 

[Note: As indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, these data elements apply to Treatment Works Treating Domestic 

Sewage whose sewage sludge use or disposal practices are regulated by part 503.] 

Biosolids/Sewage Sludge Management Facility Type.The unique code/description that identifies whether the facility was issued a permit as a biosolids/sewage sludge generator, processor, or 

end user (e.g., land application site, surface 

disposal site, incinerator). For the Sewage 

Sludge/Biosolids Annual Report this data element is also the unique code/description that 

identifies an off-site facility or location receives 

biosolids or sewage sludge from this facility. 

This data element is also required for the Sewage Sludge/Biosolids Annual Report.

122.21(q), 122.28(b)(2)(ii), 

503.18, 503.28, 503.48.

1, 2, and 4. 

Biosolids or Sewage Sludge 

Treatment Processes (Permit).

The one or more unique codes/descriptions that 

identifies the biosolids or sewage sludge treatment process or processes at the facility. For 

example, this may include treatment processes 

in the following categories: preliminary operations (e.g., sludge grinding and degritting), 

thickening (concentration), stabilization, anaerobic digestion, aerobic digestion, composting, 

conditioning, disinfection (e.g., beta ray irradiation, gamma ray irradiation, pasteurization), 

dewatering (e.g., centrifugation, sludge drying 

beds, sludge lagoons), heat drying, thermal reduction, and methane or biogas capture and recovery.

122.21(q)(6), 122.28(b)(2)(ii) 1, 2. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64121 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Biosolids or Sewage Sludge 

Form (Permit).

The one or more unique codes/descriptions that 

identify the nature of each biosolids and sewage sludge material generated by the facility in 

terms of whether the material is a biosolid or 

sewage sludge and whether the material is ultimately conveyed off-site in bulk or in bags. The 

facility will separately report the form for each 

biosolids or sewage sludge management practice and pathogen class.

122.21(q)(6), 122.28(b)(2)(ii) 1, 2. 

Biosolids or Sewage Sludge 

Management Practice (Permit).

The one or more unique codes/descriptions that 

identify the type of biosolids or sewage sludge 

management practice or practices (e.g., land 

application, surface disposal, incineration) used 

by the facility. The facility will separately report 

the practice for each different form of biosolids 

and sewage sludge generated by the facility 

and pathogen class.

122.21(q)(6), 122.28(b)(2)(ii) 1, 2. 

Biosolids or Sewage Sludge 

Pathogen Class (Permit).

The one or more unique codes/descriptions that 

identify the pathogen class or classes (e.g., 

Class A, Class B, Not Applicable) for biosolids 

or sewage sludge generated by the facility. The 

facility will separately report the pathogen class 

for each biosolids or sewage sludge management practice used by the facility and for each 

biosolids or sewage sludge form.

122.21(q)(6), 122.28(b)(2)(ii) 1, 2. 

Biosolids or Sewage Sludge 

Vector Attraction Reduction 

Options (Permit).

The one or more unique codes/descriptions that 

identify the option(s) used by the facility for vector attraction reduction. See a listing of these 

vector attraction reduction options at 40 CFR 

503.33(b)(1) through (11). The facility will separately report the vector attraction reduction options for each biosolids or sewage sludge management practice used by the facility and for 

each biosolids or sewage sludge form as well 

as by each biosolids or sewage sludge pathogen class.

122.21(q)(6), 122.28(b)(2)(ii) 1, 2. 

Biosolids or Sewage Sludge 

Pathogen Reduction Options 

(Permit).

The one or more unique codes/descriptions that 

identify the option(s) used by the facility to control pathogens (e.g., Class A—Alternative 1, 

Class A—Alternative 2, Class A—Alternative 3, 

Class A—Alternative 4, Class A—Alternative 5, 

Class A—Alternative 6, Class B—Alternative 1, 

Class B—Alternative 2, Class B—Alternative 3, 

or pH Adjustment (Domestic Septage). The facility will separately report the pathogen reduction options for each biosolids or sewage 

sludge management practice used by the facility and by each biosolids or sewage sludge 

form as well as by each biosolids or sewage 

sludge pathogen class.

122.21(q)(6), 122.28(b)(2)(ii) 1, 2. 

Biosolids or Sewage Sludge 

Amount (Permit).

This is the amount (in dry metric tons) of biosolids 

or sewage sludge applied to the land, prepared 

for sale or give-away in a bag or other container for application to the land, or placed on 

an active sewage sludge unit in the preceding 

365-day period. This identification will be made 

for each biosolids or sewage sludge management practice used by the facility and by each 

biosolids or sewage sludge form as well as by 

each biosolids or sewage sludge pathogen 

class.

122.21 (q), 122.28(b)(2)(ii) ..... 1, 2. 

Animal Feeding Operation Information on NPDES Permit Application or Notice of Intent 

Facility CAAP Designation ....... A unique code (e.g., ‘‘Yes’’, ‘‘No’’) to indicate 

whether the facility includes Concentrated 

Aquatic Animal Production (CAAP).

122.21(i)(2), 122.24, 122.25, 

122.28(b)(2)(ii).

1, 2. 

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64122 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Facility CAFO Type .................. The unique code/description that identifies whether the facility includes a small, medium or large 

Concentrated Animal Feeding Operation 

(CAFO).

122.21(i)(1), 122.23, 

122.28(b)(2)(ii).

1, 2. 

CAFO Designation Date .......... The date on which the facility is designated as a 

small or medium Concentrated Animal Feeding 

Operation (CAFO). The date must be provided 

in YYYY–MM–DD format where YYYY is the 

year, MM is the month, and DD is the day.

122.23 .................................... 1. 

CAFO Designation Reason ...... The reason(s) the State Director or the Regional 

Administrator used to designate an animal feeding operation as a small or medium CAFO. [Ed 

note: Large and medium CAFO definitions are 

in 40 CFR 122.23(b)]. This text field can include 

the following factors: (1) the size of the AFO 

and the amount of wastes reaching waters of 

the United States; (2) the location of the AFO 

relative to waters of the United States; (3) the 

means of conveyance of animal wastes and 

process waste waters into waters of the United 

States; (4) the slope, vegetation, rainfall, and 

other factors affecting the likelihood or frequency of discharge of animal wastes manure 

and process waste waters into waters of the 

United States; and (5) other relevant factors.

122.23(c) ................................ 1. 

CAFO Animal Types ................ The unique code/description that identifies the 

animal type(s) at the facility (e.g., beef cattle, 

broilers, layers, swine weighing 55 pounds or 

more, swine weighing less than 55 pounds, mature dairy cows, dairy heifers, veal calves, 

sheep and lambs, horses, ducks, turkeys, 

other).

122.21(i)(1)(v), 122.28(b)(2)(ii) 1, 2. 

CAFO Animal Maximum Numbers.The estimated maximum number of each type of 

animal in open confinement or housed under 

roof (either partially or totally) which are held at 

the facility for a total of 45 days or more in a 12 

month period.

122.21(i)(1)(v), 122.28(b)(2)(ii) 1, 2. 

CAFO Animal Maximum Numbers in Open Confinement.The estimated maximum number of each type of 

animal in open confinement which are held at 

the facility for a total of 45 days or more in a 12 

month period.

122.21(i)(1)(v), 122.28(b)(2)(ii) 1, 2. 

CAFO MLPW ........................... The unique code/description that identifies the 

type of CAFO manure, litter, and process 

wastewater generated by the facility i.e. in a 12 

month period.

122.21(i)(1)(viii), 

122.28(b)(2)(ii).

1, 2. 

CAFO MLPW Amounts ............ The estimated amount of CAFO manure, litter, 

and process wastewater generated by the facility i.e.in a 12 month period.

122.21(i)(1)(viii), 

122.28(b)(2)(ii).

1, 2. 

CAFO MLPW Amounts Units ... The unit (e.g., tons, gallons) for the estimated 

maximum amount of CAFO manure, litter, and 

process wastewater generated by the facility 

i.e. in a 12 month period.

122.21(i)(1)(viii), 

122.28(b)(2)(ii).

1, 2. 

CAFO MLPW Transferred ........ The estimated maximum amount of CAFO manure, litter, and process wastewater generated 

by the facility i.e.in a 12 month period that is 

transferred to other persons. The units for this 

data element will be the same as the units for 

the ‘‘CAFO MLPW Amounts’’ data element.

122.21(i)(1)(ix), 

122.28(b)(2)(ii).

1, 2. 

Total Number of Acres Available for Land Application.Total number of acres under the control of the applicant that are available for land application of 

CAFO manure, litter, and process wastewater.

122.21(i)(1)(vii), 

122.28(b)(2)(ii).

1, 2. 

CAFO MLPW Containment and 

Storage Type.

The unique code/description describing the one or 

more types of CAFO manure, litter, and process wastewater containment and storage (e.g., 

lagoon, holding pond, evaporation pond, anaerobic lagoon, storage lagoon, evaporation pond, 

aboveground storage tanks, belowground storage tanks, roofed storage shed, concrete pad, 

impervious soil pad, other) at the facility.

122.21(i)(1)(vi), 

122.28(b)(2)(ii).

1, 2. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64123 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

CAFO MLPW Containment and 

Storage Maximum Capacity 

Amounts.

The estimated maximum capacity of each CAFO 

manure, litter, and process wastewater containment and storage type at the facility.

122.21(i)(1)(vi), 

122.28(b)(2)(ii).

1, 2. 

CAFO MLPW Containment and 

Storage Maximum Capacity 

Amounts Unit.

The unit for the estimated maximum capacity of 

each CAFO manure, litter, and process wastewater containment and storage type at the facility (e.g., gallons).

122.21(i)(1)(vi), 

122.28(b)(2)(ii).

1, 2. 

Construction and Industrial Stormwater Information [from the permitting authority derived from the No Exposure Certification, Low 

Erosivity Waiver, and Other Waiver From Stormwater Controls (see Exhibit 1 to 40 CFR 122.26(b)(15)] 

No Exposure Certification Approval Date.This is the date on which the No Exposure Certification (NOE) was authorized by the NPDES 

permitting authority. Submission of a No Exposure Certification means that the facility does 

not require NPDES permit authorization for its 

stormwater discharges due to the existence of 

a condition of ‘‘no exposure.’’ A condition of no 

exposure exists at an industrial facility when all 

industrial materials and activities are protected 

by a storm resistant shelter to prevent exposure 

to rain, snow, snowmelt, and/or runoff and the 

operator complies with all requirements at 40 

CFR 122.26(g)(1) through (4). This date is provided by the permitting authority. The date must 

be provided in YYYY–MM–DD format where 

YYYY is the year, MM is the month, and DD is 

the day.

122.26(g) ................................ 1. 

Low Erosivity Waiver or Other 

Waiver From Stormwater 

Controls Approval Date.

The NPDES Stormwater Phase II Rule allows 

NPDES permitting authorities to accept low 

erosivity waivers and other waivers from 

stormwater controls (LEWs) for small construction sites. The waiver process exempts small 

construction sites (disturbing under five acres) 

from NPDES permitting requirements when the 

rainfall erosivity factor is less than five during 

the period of construction activity as well as 

other criteria [see Exhibit 1 to 40 CFR 

122.26(b)(15)]. This is the date when the 

NPDES permitting authority granted such waiver, based on information from the entity requesting the waiver; this date is provided by the 

permitting authority. The date must be provided 

in YYYY–MM–DD format, where YYYY is the 

year, MM is the month, and DD is the day.

Exhibit 1 to 40 CFR 

122.26(b)(15).

1. 

Construction Stormwater Information on NPDES Permit Application, Notice of Intent, or Waiver Request [including construction activity 

requiring permit coverage under 40 CFR 122.26(b)(14)(x)] 

Total Area of the Site ............... This is an estimate of the total area of the construction site at the time of permit application 

(in acres). This data element is only required 

for individual construction stormwater permit applications. Values under 5 acres will be reported to the nearest tenth of an acre or nearest quarter acre. Authorized NPDES programs 

will have the discretion to choose whether permittees should report to the nearest tenth of an 

acre or nearest quarter acre for values under 5 

acres.

122.26(c)(1)(ii)(B) ................... 1. 

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64124 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Total Activity Area (Construction).This is the estimate of the total area of the construction activities at the time of permit application or filing of notice of intent to be covered 

under a general permit (in acres). Areas of construction activity include areas of clearing, grading, and/or excavation and areas of construction support activity (e.g., concrete or asphalt 

batch plants, equipment staging yards, material 

storage areas, excavated materials disposal 

areas, borrow areas). Values under 5 acres will 

be reported to the nearest tenth of an acre or 

nearest quarter acre. Authorized NPDES programs will have the discretion to choose whether permittees should report to the nearest tenth 

of an acre or nearest quarter acre for values 

under 5 acres.

122.26, 122.28(b)(2)(ii) .......... 1, 2. 

Post-Construction Total Impervious Area.This is the estimate of total impervious area of the 

site after the construction addressed in the permit application is completed (in acres). This estimate is made at the time of the permit application. This data element is only required for individual construction stormwater permit applications. Values under 5 acres will be reported to 

the nearest tenth of an acre or nearest quarter 

acre. Authorized NPDES programs will have 

the discretion to choose whether permittees 

should report to the nearest tenth of an acre or 

nearest quarter acre for values under 5 acres.

122.26(c)(1)(ii)(E) ................... 1. 

Proposed Stormwater Best 

Management Practices for 

Construction Activities.

This is the one or more unique codes that list the 

most important proposed measures, including 

best management practices, to control pollutants in stormwater discharges from construction 

activities. This data element includes temporary 

structural measures (e.g., check dams, construction road stabilization, silt fences), vegetative measures (e.g., mulching, seeding, sodding, straw/hay bale dikes), and permanent 

structures (e.g., land grading, riprap slope protection, streambank protection). This data element field is only required for individual construction stormwater permit applications.

122.26(c)(1)(ii)(C) .................. 1. 

Post-Construction Stormwater 

Best Management Practices 

for Construction Activities.

This is the one or more unique codes that list the 

most important proposed long-term measures 

and permanent structures to control pollutants 

in stormwater discharges, which will occur after 

the completion of construction operations. The 

codes for this data element include long-term 

control measures (e.g., cleaning and removal of 

debris after major storm events, harvesting 

vegetation when a 50 percent reduction in the 

original open water surface area occurs, sediment cleanout, repairing embankments, side 

slopes, and control structures) and permanent 

structures (e.g., land grading, riprap slope protection, streambank protection, ponds, wetlands, infiltration basins, sand filters, filter 

strips). This data element is only required for individual construction stormwater permit applications.

122.26(c)(1)(ii)(D) ................... 1. 

Soil and Fill Material Description.This is a text field describes the nature of fill material and existing data describing soils or the 

quality of the discharge. This data element is 

only required for individual construction 

stormwater permit applications.

122.26(c)(1)(ii)(E) ................... 1. 

Runoff Coefficient of the Site 

(Post-Construction).

This is an estimate of the overall runoff coefficient 

of the site after the construction addressed in 

the permit application is completed. This data 

element is only required for individual construction stormwater permit applications.

122.26(c)(1)(ii)(E) ................... 1. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64125 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Estimated Construction Project 

Start Date.

The estimated start date for the construction 

project covered by the NPDES permit. The date 

must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

122.26, 122.28(b)(2)(ii) .......... 1, 2. 

Estimated Construction Project 

End Date.

The estimated end date for the construction 

project covered by the NPDES permit. The date 

must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

122.26, 122.28(b)(2)(ii) .......... 1, 2. 

Industrial Stormwater Information on NPDES Permit Application [excluding construction activity requiring permit coverage under 40 

CFR 122.26(b)(14)(x)] 

Total Surface Area Drained (Industrial).This is an estimate of the total surface area 

drained at the facility at the time of permit application (in acres). This data field is only required 

for individual industrial stormwater permit applications. Values under 5 acres will be reported 

to the nearest tenth of an acre or nearest quarter acre. Authorized NPDES programs will have 

the discretion to choose whether permittees 

should report to the nearest tenth of an acre or 

nearest quarter acre for values under 5 acres.

122.26(c)(1)(i)(B) ................... 1. 

Total Impervious Surface Area 

(Industrial).

This is the estimate of the total impervious area at 

the facility at the time of permit application (in 

acres). This data element is only required for 

individual industrial stormwater permit applications. Values under 5 acres will be reported to 

the nearest tenth of an acre or nearest quarter 

acre. Authorized NPDES programs will have 

the discretion to choose whether permittees 

should report to the nearest tenth of an acre or 

nearest quarter acre for values under 5 acres.

122.26(c)(1)(i)(B) ................... 1. 

Proposed Stormwater Best 

Management Practices (Industrial).

This is the one or more codes that identify the 

structural and non-structural control measures 

(including treatment) to control pollutants in 

stormwater discharges from industrial activities. 

This data element includes long-term measures 

(e.g., good housekeeping of waste-handling 

and waste-storage areas, collecting debris and 

yard material, proper management of vehicle 

wash and equipment maintenance areas) and 

permanent structures (e.g., covers, pads, diversion berms or channels, vegetative buffer strips, 

erosion prevention and sediment control such 

as land grading, riprap slope protection, 

streambank protection) to control pollutants in 

stormwater discharges. This data element is 

only required for individual industrial stormwater 

permit applications.

122.26(c)(1)(i)(B) ................... 1. 

Municipal Separate Storm Sewer System (MS4) Information on NPDES Permit Application or Notice of Intent 

MS4 Permit Class .................... The unique code/description that identifies the 

size of the MS4 permit holder (e.g., Phase I = 

large or medium MS4s, Phase II = small MS4s).

122.26, 122.28(b)(2)(ii) .......... 1, 2. 

Unique Identifier for Each Municipality Covered Under 

MS4 Permit.

The unique identifier for each municipality covered under MS4 permit. Use of this identifier allows for greater geographic resolution for the 

MS4 components being tracked. This unique 

identifier does not change over time. Use of this 

unique identifier is similar to how the ‘Permitted 

Feature Identifier (Permit)’ data element is used 

to distinguish between permitted features.

122.21(f), 122.26(d) 

122.28(b)(2)(ii), 

122.34(g)(3), and 122.42(c).

1, 2, 6. 

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64126 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

MS4 Public Education Program The one or more unique codes/descriptions that 

identifies the educational materials the permittee intends to distribute or equivalent outreach activities the permittee will implement to 

inform the target audience about the impacts of 

stormwater discharges and the steps the public 

can take to reduce stormwater pollutants.

122.21(f), 

122.26(d)(2)(iv)(A)(6), 

(B)(5) and (6), and (D)(4); 

122.28(b)(2)(ii), 

122.34(b)(1), 122.34(d)(1)(i).

1, 2. 

MS4 Measurable Goals Associated With Public Education 

Program.

The one or more unique codes/descriptions that 

identifies measurable goals associated with the 

public education programs including, as appropriate, the months and years in which the permittee will undertake required actions, including 

interim milestones and the frequency of the action. This data element only applies to Phase II 

MS4s.

122.34(d)(1)(ii), 

122.28(b)(2)(ii).

1, 2. 

MS4 Public Involvement and 

Participation Program.

The one or more unique codes/descriptions that 

identifies how the permittee intends to involve 

the public and at minimum comply with State, 

Tribal, and local public notice requirements to 

implement its public involvement and participation program.

122.21(f), 122.26(d)(2)(iv), 

122.28(b)(2)(ii), 

122.34(b)(2), 122.34(d)(1)(i).

1, 2. 

MS4 Measurable Goals for the 

Public Involvement and Participation Program.

The one or more unique codes/descriptions that 

identifies the measurable goals associated with 

the public involvement and participation program including, as appropriate, the months and 

years in which the permittee will undertake required actions, including interim milestones and 

the frequency of the action. This data element 

only applies to Phase II MS4s.

122.28(b)(2)(ii) 122.34(d)(1)(ii) 1, 2. 

MS4 Illicit Discharge Detection 

and Elimination.

The one or more unique codes/descriptions that 

identify how the permittee will comply with Illicit 

Discharge Detection and Elimination requirements, including (at a minimum): (1) The status 

of the permittee’s storm sewer system map 

showing the location of all outfalls and names 

and locations of all waters of the U.S. that receive discharges from those outfalls; (2) the 

status of the ordinance or other regulatory 

mechanism to prohibit non-stormwater discharges into the permittee’s MS4; (3) the procedures and actions the permittee takes to enforce the prohibition of non-stormwater discharges to the permittee’s MS4; (4) the status 

of the program that identifies the procedures 

and actions the permittee will take to detect and 

address non-stormwater discharges, including 

illegal dumping, to the permittee’s MS4; and (5) 

the status of procedures and actions the permittee will take to inform public employees, 

businesses and the general public of hazards 

associated with illegal discharges and improper 

disposal of waste.

122.21(f), 122.26(d)(1)(iii)(B), 

122.26(d)(2)(i)(B) and (C), 

122.26(d)(2)(iv)(B), 

122.28(b)(2)(ii), 

122.34(b)(3)(ii)(A)–(D), 

122.34(d)(1)(i).

1, 2. 

MS4 Measurable Goals Associated With Illicit Discharge 

Detection and Elimination 

Program.

The one or more unique codes/descriptions that 

identifies the measurable goals associated with 

the illicit discharge detection and elimination 

program, including, as appropriate, the months 

and years in which the permittee will undertake 

required actions, including interim milestones 

and the frequency of the action. This data element only applies to Phase II MS4s.

122.34(d)(1)(ii) ....................... 1, 2. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64127 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

MS4 Construction Site 

Stormwater Runoff Control.

The one or more unique codes/descriptions that 

identify how the permittee will comply with the 

Construction Site Runoff Control requirements, 

including (at a minimum): (1) status of the ordinance or other regulatory mechanism to require 

erosion and sediment controls, including sanctions to ensure compliance; (2) status of requirements for construction site operators to implement appropriate erosion and sediment control BMPs and control waste at the construction 

site that may cause adverse impacts to water 

quality; (3) status of procedures for site plan review that incorporate consideration of potential 

water quality impacts; (4) status of procedures 

for receipt and consideration of information submitted by the public; and (5) status of procedures for site inspection and enforcement of 

control measures.

122.21(f), 122.26(d)(2)(iv)(D), 

122.28(b)(2)(ii), 

122.34(b)(4)(ii), 

122.34(d)(1)(i).

1, 2. 

MS4 Measurable Goals Associated with the Construction 

Site Stormwater Runoff Control Program.

The one or more unique codes/descriptions that 

identify the measurable goals associated with 

the construction program, including, as appropriate, the months and years in which the permittee will undertake required actions, including 

interim milestones and the frequency of the action. This data element only applies to Phase II 

MS4s.

122.34(d)(1)(ii) ....................... 1, 2. 

MS4 Post-Construction 

Stormwater Management In 

New Development And Redevelopment.

The one or more unique codes/descriptions that 

identify how the permittee will comply with the 

Post-Construction Stormwater Management in 

New Development and Redevelopment requirements, including (at a minimum): (1) Status of 

ordinance or other regulatory mechanism to address post-construction runoff from new development and redevelopment projects; (2) how 

the permittee plans to address stormwater runoff from new development and redevelopment 

projects that disturb a minimum of greater than 

or equal to one acre (including if the permittee 

requires on-site retention of stormwater; and (3) 

status of a plan to ensure adequate long-term 

operation and maintenance of BMPs for controlling runoff from new development and redevelopment projects.

122.21(f), 

122.26(d)(2)(iv)(A)(2), 

122.28(b)(2)(ii), 

122.34(b)(5), 122.34(d)(1)(i).

1, 2. 

MS4 Measurable Goals Associated with the Post-Construction: Stormwater Management Program.The one or more unique codes/descriptions that 

identify the measurable goals associated with 

the post-construction program, including, as appropriate, the months and years in which the 

permittee will undertake required actions, including interim milestones and the frequency of 

the action. This data element only applies to 

Phase II MS4s.

122.34(d)(1)(ii) ....................... 1, 2. 

MS4 Pollution Prevention/Good 

Housekeeping for Municipal 

Operations Program.

The one or more unique codes/descriptions that 

identify how the permittee will comply with the 

Pollution Prevention/Good Housekeeping requirements.

122.21(f), 

122.26(d)(2)(iv)(A)(1), (2) 

and (3), 122.28(b)(2)(ii), 

122.34(b)(6)(i), 

122.34(d)(1)(i).

1, 2. 

MS4 Additional Measures ........ The one or more unique codes/descriptions that 

identify any other additional measures that are 

required by the permit such as controls to be 

consistent with the assumptions and requirements of any available wasteload allocation 

prepared by a state and approved by EPA. This 

data element is optional if there are no MS4 additional measures.

122.28(b)(2)(ii), 122.34(b), 

122.34(d) 

122.44(d)(1)(vii)(B).

1, 2. 

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64128 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

POTW Information on NPDES Permit Application or Notice of Intent 

Name of Collection System ..... This is the unique name of each collection system 

that provides flow to the permittee. This includes unincorporated connector districts and 

satellite collection systems, which are sanitary 

sewers owned or operated by another entity 

that conveys sewage or industrial wastewater to 

this permittee. This data element applies to 

POTWs.

122.1(b) and 122.21(j)(1)(iv), 

122.28(b)(2)(ii).

1, 2. 

Owner Type of Collection System.The unique code/description that identifies the 

ownership type for each unique collection system that provides flow to the permittee (e.g., 

municipality owned, privately owned). This includes unincorporated connector districts and 

satellite collection systems. This data element 

applies to POTWs.

122.1(b) and 122.21(j)(1)(iv), 

122.28(b)(2)(ii).

1, 2. 

Collection System Identifier ..... This is the NPDES permit number (‘‘NPDES ID’’) 

for each unique collection system that provides 

flow to the permittee. If there is no NPDES permit number for the collection system this data 

element will be a unique identifier for each collection system that provides flow to the permittee. This includes unincorporated connector 

districts and satellite collection systems. This 

data element applies to POTWs.

122.1(b) and 122.21(j)(1)(iv), 

122.28(b)(2)(ii).

1, 2. 

Population of Collection System.This is the estimated population for each unique 

collection system that provides flow to the permittee. This includes unincorporated connector 

districts and satellite collection systems. This 

data element applies to POTWs.

122.1(b) and 122.21(j)(1)(iv), 

122.28(b)(2)(ii).

1, 2. 

Percentage of Collection System That Is a Combined 

Sewer System.

For each unique collection system that provides 

flow to the permittee, this is the estimated percentage of the collection system that is a combined sewer system. This includes unincorporated connector districts and satellite collection systems. This estimated percentage is calculated separately for each unique collection 

system that provides flow to the permittee and 

is based on the service population of each 

unique collection system. This data element applies to POTWs.

122.1(b) and 122.21(j)(1)(iv) 

and (vii), 122.28(b)(2)(ii).

1, 2. 

POTW Wastewater Treatment 

Technology Level Description.

This data element describes the level of wastewater treatment technology [e.g., raw discharge 

(no treatment), primary treatment, secondary 

wastewater treatment, advanced treatment] 

used at the facility. This data element only applies to POTWs.

122.21(j)(3)(iii), 

122.28(b)(2)(ii) and CWA 

section 516.

1, 2. 

POTW Wastewater Disinfection 

Technology.

The one or more unique codes/descriptions that 

describe the types of disinfection technology 

that are used at the facility (e.g., chlorination, 

ozonation, ultraviolet disinfection). This data 

element will also use a code/description to 

identify if this facility is using dechlorination, 

which may be required if the facility uses 

chlorination for disinfection. This data element 

only applies to POTWs.

122.21(j)(3)(iii), 

122.28(b)(2)(ii).

1, 2. 

POTW Wastewater Treatment 

Technology Unit Operations.

The one or more unique codes/descriptions that 

describe the wastewater treatment technology 

unit operations (e.g., grit removal, flow equalization, complete mix activated sludge secondary treatment, trickling filter, facultative lagoon, biological nitrification) used at the facility. 

This data element is required for POTWs that 

have a design flow capacity equal to or above 

10 million gallons per day (MGD) and is optional for POTWs with a design flow capacity 

below 10 MGD.

122.21(j)(2)(ii)(A), 

122.28(b)(2)(ii) and CWA 

section 516.

1, 2. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64129 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Combined Sewer Overflow Information 

[Note: All Phase II and post-Phase II combined sewer system NPDES permittees are required to complete and implement a long-term CSO 

control plan (LTCP) as described in EPA’s Combined Sewer Overflow (CSO) Control Policy (19 April 1994; 59 Federal Register 18688– 

18698). These data will be updated by the authorized NPDES program on a timely basis as changes occur with the combined sewer system 

and the LTCP as well as with the POTW’s implementation and compliance with the LTCP.] 

Long-Term CSO Control Plan 

Permit Requirements and 

Compliance.

This data element uses a unique code/description 

that identifies whether the permit requires the 

permit holder to complete and implement a 

LTCP and whether the permit holder is in compliance with these permit requirements.

122.41(h), 122.43, 123.41(a) 

and CWA section 402(q)(1), 

Combined Sewer Overflow 

(CSO) Control Policy (59 

FR 18688–18698, 19 April 

1994).

1. 

Nine Minimum CSO Controls 

Developed.

This data element uses a unique code/description 

to identify by number each of the nine minimum 

control measures outlines in the CSO Control 

Policy that the permit holder has implemented 

in compliance with the applicable permit and/or 

enforcement mechanism. These unique codes 

are: (1) Proper operation and regular maintenance programs for the sewer system and the 

CSOs; (2) Maximum use of the collection system for storage; (3) Review and modification of 

pretreatment requirements to assure CSO impacts are minimized; (4) Maximization of flow to 

the publicly owned treatment works for treatment; (5) Prohibition of CSOs during dry weather; (6) Control of solid and floatable materials in 

CSOs; (7) Pollution prevention; (8) Public notification to ensure that the public receives adequate notification of CSO occurrences and CSO 

impacts; and (9) Monitoring to effectively characterize CSO impacts and the efficacy of CSO 

controls. For example, if the permit holder has 

only developed the ‘‘Maximum use of the collection system for storage’’ minimum control 

measure then the permitting authority will 

record ‘‘2’’ for this data element. Likewise, if the 

permit holder has developed all nine minimum 

control measures then permitting authority will 

record 1, 2, 3, 4, 5, 6, 7, 8, and 9 for this data 

element.

122.41(h), 122.43, 123.41(a) 

and CWA section 402(q)(1), 

Combined Sewer Overflow 

(CSO) Control Policy (59 

FR 18688–18698, 19 April 

1994).

1. 

Nine Minimum CSO Controls 

Implemented.

This data element uses a unique code/description 

to identify by number each of nine minimum 

control measures outlined in the CSO Control 

Policy that the permit holder has implemented 

in compliance with the applicable permit and/or 

enforcement mechanism. These unique codes 

are: (1) Proper operation and regular maintenance programs for the sewer system and the 

CSOs; (2) Maximum use of the collection system for storage; (3) Review and modification of 

pretreatment requirements to assure CSO impacts are minimized; (4) Maximization of flow to 

the publicly owned treatment works for treatment; (5) Prohibition of CSOs during dry weather; (6) Control of solid and floatable materials in 

CSOs; (7) Pollution prevention; (8) Public notification to ensure that the public receives adequate notification of CSO occurrences and CSO 

impacts; and (9) Monitoring to effectively characterize CSO impacts and the efficacy of CSO 

controls. For example, if the permit holder has 

only developed the ‘‘Maximum use of the collection system for storage’’ minimum control 

measure then the permitting authority will 

record ‘‘2’’ for this data element. Likewise, if the 

permit holder has developed all nine minimum 

control measures then permitting authority will 

record 1, 2, 3, 4, 5, 6, 7, 8, and 9 for this data 

element.

122.41(h), 122.43, 123.41(a) 

and CWA section 402(q)(1), 

Combined Sewer Overflow 

(CSO) Control Policy (59 

FR 18688–18698, 19 April 

1994).

1. 

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64130 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

LTCP Submission and Approval Type.This data element uses a unique code/description 

to identify whether the most recent version of 

the LTCP was received and approved by the 

permitting authority (e.g., most recent version of 

the LTCP was submitted by permit holder and 

was approved by the permitting authority, most 

recent version of the LTCP was submitted by 

permit holder but has not yet been approved by 

permitting authority, permit holder is required to 

submit a revised LTCP but the permitting authority has not yet received the revised LTCP 

from the permit holder, permit holder has not 

yet submitted a LTCP).

122.41(h), 122.43, 123.41(a) 

and CWA section 402(q)(1), 

Combined Sewer Overflow 

(CSO) Control Policy (59 

FR 18688–18698, 19 April 

1994).

1. 

LTCP Approval Date ................ This data element identifies the date when the 

permitting authority approved the most current 

version of the LTCP. This data element will be 

updated for each revision to the LTCP. The 

date must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

122.41(h), 122.43, 123.41(a) 

and CWA section 402(q)(1), 

Combined Sewer Overflow 

(CSO) Control Policy (59 

FR 18688–18698, 19 April 

1994).

1. 

Enforceable Mechanism and 

Schedule to Complete LTCP 

and CSO Controls.

This data element uses a unique code/description 

to identify whether the permit holder is on an 

enforceable schedule to complete all required 

LTCP and CSO controls and the type of enforcement mechanism.

122.41(h), 122.43, 123.41(a) 

and CWA section 402(q)(1), 

Combined Sewer Overflow 

(CSO) Control Policy (59 

FR 18688–18698, 19 April 

1994).

1. 

Actual Date Completed LTCP 

and CSO Controls.

This data element identifies the date by which the 

permit holder completed construction and implementation of all currently required LTCP and 

CSO controls. This data element will be updated for each revision to the LTCP and CSO 

controls. The date must be provided in YYYY– 

MM–DD format where YYYY is the year, MM is 

the month, and DD is the day.

122.41(h), 122.43, 123.41(a) 

and CWA section 402(q)(1), 

Combined Sewer Overflow 

(CSO) Control Policy (59 

FR 18688–18698, 19 April 

1994).

1. 

Approved Post-Construction 

Compliance Monitoring Program.

This data element uses a unique code/description 

to indicate whether the permit holder is currently implementing an approved post-construction compliance monitoring program.

122.41(h), 122.43, 123.41(a) 

and CWA section 402(q)(1), 

Combined Sewer Overflow 

(CSO) Control Policy (59 

FR 18688–18698, 19 April 

1994).

1. 

Other CSO Control Measures 

with Compliance Schedule.

This data element uses a unique code/description 

to identify whether the permit holder has other 

CSO control measures specified in a compliance schedule, beyond those identified in the 

nine minimum controls, long-term CSO control 

plan (LTCP), or a plan for sewer system separation.

122.41(h), 122.43, 123.41(a) 

and CWA section 402(q)(1), 

Combined Sewer Overflow 

(CSO) Control Policy (59 

FR 18688–18698, 19 April 

1994).

1. 

Pretreatment Information on NPDES Permit Application or Notice of Intent (this includes permit application data required for all new 

and existing POTWs [40 CFR 122.21(j)(6)] 

[Note: These data will be added or updated through the Annual Pretreatment Program Report, see 40 CFR 403.12(i), as needed. It is also important to note that the ‘Associated NPDES ID Number’ identifies the receiving POTW’s NPDES permit number for each industrial user.] 

Pretreatment Program Required Indicator.The unique code/description that describes 

whether the permitted municipality is required to 

develop or implement a pretreatment program 

(in accordance with 40 CFR 403).

122.28(b)(2)(ii), 122.44(j) ....... 1. 

Pretreatment Program Approval or Modification Date.The date the pretreatment program was approved 

or substantially modified. This data element can 

be system generated by carrying forward the 

most recent date (approval or modification). 

The date must be provided in YYYY–MM–DD 

format where YYYY is the year, MM is the 

month, and DD is the day.

122.28(b)(2)(ii), 403.8(a) and 

(b), 403.11.

1. 

Pretreatment Program Modification Type.The unique code describing the type of substantial modification to a POTW Pretreatment Program, which includes the initial start of a 

pretreatment program.

122.28(b)(2)(ii), 403.8(a) and 

(b), 403.11, 403.18.

1. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64131 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Industrial User Type ................. The unique code/description that identifies the 

type of each industrial user discharging to a 

POTW [e.g., Significant Industrial User (SIU), 

Standard Categorical Industrial Users (CIU), 

Non-Significant Categorical Industrial User 

(NSCIU), and Middle Tier Categorical Industrial 

User (MTCIU)]. This data element is at the permit or control mechanism level and is required 

for each SIU, CIU, NSCIU, and MTCIU. This 

data element also applies to SIUs and CIUs 

that discharge non-domestic wastewater by 

truck, rail, and dedicated pipe or other means 

of transportation to one or more POTWs.

122.21(j)(6), 122.28(b)(2)(ii), 

122.44(j), 403.12(i).

1, 2, 7. 

Significant Industrial User Subject to Local Limits.The unique code (e.g., ‘‘Yes’’, ‘‘No’’) that identifies 

for each Significant Industrial User (SIU) or Categorical Industrial User (CIU) discharging to a 

POTW (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or 

other means of transportation) whether the SIU 

is subject to local limits.

122.21(j)(6), 122.28(b)(2)(ii), 

122.44(j), 403.12(i).

1, 2, 7. 

Significant Industrial User Subject to Local Limits More 

Stringent Than Categorical 

Standards.

The unique code (e.g., ‘‘Yes’’, ‘‘No’’) that identifies 

for each Categorical Industrial User (CIU) discharging to a POTW (including non-domestic 

wastewater delivered by truck, rail, and dedicated pipe or other means of transportation) 

whether the CIU is subject to one or more local 

limits that are more stringent than the applicable categorical standards.

122.21(j)(6), 122.28(b)(2)(ii), 

122.44(j), 403.12(i).

1, 2, 7. 

Applicable Categorical Standards.This data element will identify for each Categorical Industrial User (CIU) discharging to a 

POTW (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or 

other means of transportation) the applicable 

categorical standard(s) by its 40 CFR part number (e.g., Metal Finishing—part 433, Electrical 

and Electronic Components—Part 469). This 

data element will track the one or more applicable categorical standards even when the CIU is 

subject to one or more local limits that are more 

stringent than the applicable categorical standards.

122.21(j)(6), 122.28(b)(2)(ii), 

122.44(j), 403.12(i).

1, 2, 7. 

Significant Industrial User 

Wastewater Flow Rate.

This data element will identify for each Significant 

Industrial User (SIU) or Categorical Industrial 

User (CIU) that is discharging to a POTW (including non-domestic wastewater delivered by 

truck, rail, and dedicated pipe or other means 

of transportation) the estimated maximum 

monthly average wastewater flow rate (in gallons per day).

122.21(j)(6), 122.28(b)(2)(ii), 

122.44(j).

1, 2. 

Industrial User Causing Problems at POTW.The unique code/description that identifies for 

each Significant Industrial User (SIU) or Categorical Industrial User (CIU) whether it caused 

or contributed to any problems (including upset, 

bypass, interference, pass-through) at a POTW 

within the past four and one-half calendar 

years. EPA regulations require the Control Authority to develop and enforce local limits when 

the discharge from an IU causes or contributes 

to any problems (including upset, interference, 

and bypass) at the receiving POTW’s effluent 

discharge or biosolids/sewage sludge management. This data element also applies to SIUs 

and CIUs that discharge non-domestic wastewater by truck, rail, and dedicated pipe or other 

means of transportation to one or more POTWs.

122.21(j)(6), 122.28(b)(2)(ii), 

122.44(j)(2)(ii), 403.5(c).

1, 2. 

Receiving RCRA Waste ........... The unique code/description that identifies whether a POTW has received RCRA hazardous 

waste by truck, rail, or dedicated pipe within the 

last three calendar years.

122.21(j)(7), 122.28(b)(2)(ii), 

122.44(j).

1, 2. 

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64132 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Receiving Remediation Waste The unique code/description that identifies whether the POTW has received RCRA or CERLCA 

waste from off-site remedial activities within the 

last three calendar years.

122.21(j)(7), 122.44(j) ............ 1, 2. 

Control Authority Identifier ....... This data element identifies the one or more Control Authorities for each Significant Industrial 

User (SIU) or Categorical Industrial User (CIU). 

When the Control Authority is a POTW this 

data element will use the POTW’s NPDES ID. 

There will also be a unique identifier for each 

state and EPA Region for SIUs and CIUs when 

they are the Control Authority.

122.28(b)(2)(ii), 122.44(j) ....... 1, 2. 

Cooling Water Intake Information on NPDES Permit Application or Notice of Intent 

Cooling Water Intake Applicable Subpart.The unique code/description that identifies the 

regulatory subpart the facility is subject to [e.g., 

1 = New Facility under 40 CFR part 125, subpart I, 2 = New Offshore Oil and Gas Facility 

under 40 CFR part 125, subpart N, 3 = Existing 

Facility under 40 CFR part 125, subpart J, 4 = 

BPJ Facility under 40 CFR 125.80(c), 40 CFR 

125.90(b), 40 CFR 125.130(c), or 40 CFR 

401.14].

122.21(r), 122.28(b)(2)(ii), 

subparts I, J, and N of 125, 

401.14, and CWA section 

316(b).

1, 2. 

Design Intake Flow for Cooling 

Water Intake Structure(s).

Design Intake Flow (DIF) means the value, in 

units of million gallons per day (MGD), assigned to each cooling water intake structure 

design that corresponds to the maximum instantaneous rate of flow of water the cooling 

water intake system is capable of withdrawing 

from a source waterbody. The facility’s DIF may 

be adjusted to reflect permanent changes to the 

maximum flow capability of the cooling water intake system to withdraw cooling water, including pumps permanently removed from service, 

flow limit devices, and physical limitations of the 

piping. DIF does not include values associated 

with emergency and fire suppression capacity 

or redundant pumps (i.e., back-up pumps). For 

new facilities this is the design maximum flow 

capacity of the cooling water intake structure. 

See 40 CFR 125.83 and 125.92. This data element will be reported for each cooling water intake structure, which will have a ‘‘Permitted 

Feature ID.’’ Specific monitoring protocols and 

frequency of monitoring will be determined by 

the Director.

122.21(r), 122.28(b)(2)(ii), 

125.80, 125.86, 125.90, 

125.92, 125.95, 125.131, 

125.136, 401.14, and CWA 

section 316(b).

1, 2. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64133 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Actual Intake Flow for Cooling 

Water Intake Structure(s).

This actual flow value, in units of MGD, is intended to represent on-the-ground intake flow 

for each cooling water intake structure at the facility, as opposed to the DIF, which is based on 

maximum design flow intake. For existing facility, Actual Intake Flow (AIF) means the average 

flow rate of water withdrawn on an annual basis 

by each cooling water intake structure over the 

past three years. After October 14, 2019, AIF 

means the average flow rate of water withdrawn on an annual basis by each cooling 

water intake structure over the previous five 

years. Actual intake flow is measured at a location within the cooling water intake structure 

that the Director deems appropriate. The calculation of actual intake flow includes days of 

zero flow. AIF does not include flows associated with emergency and fire suppression capacity. See 40 CFR 125.92. This data element 

will be reported for each cooling water intake 

structure, which will have a ‘‘Permitted Feature 

ID.’’ Specific monitoring protocols and frequency of monitoring will be determined by the 

Director.

122.21(r), 122.28(b)(2)(ii), 

125.86,125.92(a), 125.95, 

125.136, 401.14, and CWA 

section 316(b).

1, 2. 

Location Type for Cooling 

Water Intake Structure.

The unique code/description that identifies the location and description for each cooling water intake structure [e.g., 1 = shoreline intake description (flushed, recessed), 2 = intake canal, 

3 = embayment, bank, or cove, 4 = submerged 

offshore intake, 5 = near-shore submerged intake, 6 = shoreline submerged intake, 7 = Offshore Velocity Cap (800 foot minimum distance 

from shoreline), 8 = other]. Each cooling water 

intake structure will have its own ‘‘Permitted 

Feature ID’’.

122.21(r), 122.28(b)(2)(ii), 

125.86, 125.95, 125.136, 

401.14 and CWA section 

316(b).

1, 2. 

Actual Through-Screen Velocity This is the actual through-screen velocity (in feet/

second) of the water intake through the screen 

for each cooling water intake structure at an existing facility. This is the measured average intake velocity as water passes through the structural components of a screen measured perpendicular to the screen mesh during normal 

operations. See 40 CFR 125.94. This data element will be reported for each cooling water intake structure, which will have a ‘‘Permitted 

Feature ID.’’ Specific monitoring protocols and 

frequency of monitoring will be determined by 

the Director.

122.21(r), 122.28(b)(2), 

125.86, 125.94, 125.95, 

125.136, 401.14 and CWA 

section 316(b).

1, 2. 

Source Water for Cooling Purposes.The unique code/description that describes the 

one or more source water for cooling purpose 

for each cooling water intake structure [e.g., 1 = 

Ocean, 2 = Estuary, 3 = Great Lake, 4 = Fresh 

River, 5 = Lake/Reservoir, 6 = contract or arrangement with an independent supplier (or 

multiple suppliers)]. Each cooling water intake 

structure will have its own ‘‘Permitted Feature 

ID’’.

122.21(r), 122.28(b)(2)(ii), 

125.86, 125.95, 125.136, 

401.14 and CWA section 

316(b).

1, 2. 

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64134 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Cooling Water Intake Structure 

Chosen Compliance Method.

The unique code/description to indicate the one or 

more compliance method selected for each 

cooling water intake structure based on EPA’s 

CWA section 316(b) regulations or based on 

BPJ. For new facilities for example, Track I, 

Track II, alternative requirements, etc. For existing facilities, which of the 40 CFR 125.94(c) 

compliance options were chosen and reported 

as part of 40 CFR 122.21(r)(6), whether the facility has chosen to comply on an intake basis 

or facility wide, or whether alternative requirements were requested. Facilities have the option to comply on a facility wide or on an intake 

basis. Each cooling water intake structure will 

have its own ‘‘Permitted Feature ID’’.

122.21(r)(6), 122.28(b)(2)(ii), 

125.84, 125.85, 125.94, 

125.134, 125.135, 401.14 

and CWA section 316(b).

1, 2. 

Source Water Baseline Biological Characterization Data: 

Threatened or Endangered 

Status.

For new and existing facilities, a unique code/description that identifies whether there are Federally-listed threatened or endangered species (or 

relevant taxa) that might be susceptible to impingement and entrainment at the facility’s cooling water intake structures. This unique code/

description will also identify whether designated 

critical habitat is in the vicinity of facility’s cooling water intake structure.

122.21(r)(4), 122.28(b)(2), 

125.86, 125.95, 125.136, 

401.14 and CWA section 

316(b).

1, 2. 

CWA section 316(a) Thermal Variance Information on NPDES Permit Application or Notice of Intent 

Thermal Variance Request 

Type.

The unique code/description that describes the 

thermal variance request submitted by the discharger (e.g., 1 = new request, 2 = renewal request).

125, subpart H and CWA section 316(a).1. 

Public Notice of Section 316(a) 

Requests.

This is the unique code that describes whether 

the NPDES permitting authority included the information required under 40 CFR 124.57(a) in 

the public notice regarding the CWA section 

316(a) request.

124.57, 125, subpart H and 

CWA section 316(a).

1. 

Thermal Variance Granted 

Date.

This is the most recent date when the NPDES 

permitting authority granted or renewed a CWA 

section 316(a) variance for the controlling 

NPDES permit. The date must be provided in 

YYYY–MM–DD format where YYYY is the year, 

MM is the month, and DD is the day.

122.28(b)(2)(ii), subpart H of 

125 and CWA section 

316(a).

1. 

Compliance Monitoring Activity Information (General) 

Compliance Monitoring Identifier.The unique identifier for the compliance monitoring activity performed by the authorized 

NPDES program and EPA (e.g., inspections). 

This data element can be system generated.

123.26, 123.41(a) and CWA 

section 308.

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64135 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Permitted Feature Identifier 

(Compliance Monitoring Activity).

The unique identifier for the permitted feature 

number(s) entered by the user for the inspected 

or monitored permitted feature(s). This data element will use the same number used by ‘Permitted Feature Identifier (Permit)’ data element 

for each compliance monitoring activity permitted feature. This will provide a unique link 

between each compliance monitoring activity 

permitted feature and the corresponding 

NPDES permitted feature. This data element 

can be left blank if the compliance monitoring 

activity does not involve a permitted feature. 

For Sewer Overflow/Bypass Event Reports this 

data element will identify the permitted feature(s), if any, for each Sewer Overflow/Bypass 

Identifier. The POTW can leave this data element blank on the Sewer Overflow/Bypass 

Event Report if the sewer overflows are caused 

by an extreme weather event (e.g., hurricane) 

that floods the entire sewer system and are too 

numerous to count. This data element applies 

to compliance monitoring activities performed 

by the authorized NPDES program and EPA 

(e.g., inspections) as well as compliance monitoring reports submitted by the NPDES regulated entity (e.g., DMRs, program reports).

122.34(g)(3), 122.41(l)(4)(i), 

122.41(l)(6) and (7), 

122.41(m)(3), 123.26, 

123.41(a), 122.42(c), 

403.12(e), 403.12(h) and 

CWA section 308.

1, 3, 4, 6, 8, and 9. 

Electronic Submission Type 

(Compliance Monitoring Activity).

This is the unique code/description for each report 

submitted by the NPDES regulated entity. Report submissions covered by the data element 

are listed in Table 1 in this appendix (i.e., 

NPDES Data Groups 3 through 10). This data 

element describes how each submission was 

electronically collected or processed by the initial recipient [see § 127.2(b)]. For example, 

these unique codes/descriptions include: (1) 

NPDES regulated entity submits NPDES program data using an EPA electronic reporting 

system; (2) NPDES regulated entity submits 

NPDES program data using an authorized 

NPDES program electronic reporting system; 

(3) NPDES regulated entity has temporary 

waiver from electronic reporting and submits 

NPDES program data on paper to the authorized NPDES program who then electronically 

uses manual data entry to electronically process these data; (4) NPDES regulated entity has 

a permanent waiver from electronic reporting 

and submits NPDES program data on paper to 

the authorized NPDES program who then electronically uses manual data entry to electronically process these data; (5) NPDES regulated 

entity has an episodic waiver from electronic reporting and submits NPDES program data on 

paper to the authorized NPDES program who 

then electronically uses manual data entry to 

electronically process these data; (6) NPDES 

regulated entity submits NPDES program data 

on paper in a form that allows the authorized 

NPDES program to use of automatic identification and data capture technology to electronically process these data; (7) NPDES regulated 

entity submits NPDES program data using another electronic reporting system (e.g., thirdparty). This data element can sometimes be 

system generated (e.g., incorporated into an 

electronic reporting tool). This data element 

does not identify the electronic submission type 

123.26, 123.41(a) and CWA 

section 308.

1. 

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64136 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

of general permit reports (NPDES Data Group 

=2 in Table 1), which is tracked by the ‘‘Electronic Submission Type (General Permit Reports)’’ data element. This data element applies 

to information submitted by NPDES regulated 

entities and does not apply to compliance monitoring information generated by authorized 

NPDES programs and EPA (e.g., inspection 

data).

Compliance Monitoring Activity Information (General Data Generated from Authorized NPDES Programs and EPA) 

Compliance Monitoring Activity 

Actual End Date.

The actual date on which the compliance monitoring activity ended. For example, the date of 

an authorized NPDES program inspection of a 

facility can be used for this data element. The 

date must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

123.26, 123.41(a) and CWA 

section 308.

1. 

Compliance Monitoring Activity The unique code/description that identifies each 

compliance monitoring activity taken by the authorized NPDES program (e.g., inspection, investigation, information request, offsite records 

review).

123.26, 123.41(a) and CWA 

section 308.

1. 

Compliance Monitoring Type ... The unique code/description that identifies each 

compliance monitoring activity type taken by a 

regulatory Agency (e.g., audit, biomonitoring, 

case development, diagnostic, evaluation, reconnaissance with sampling, reconnaissance 

without sampling, sampling).

123.26, 123.41(a) and CWA 

section 308.

1. 

Biomonitoring Test Type .......... The unique code/description that identifies the 

type of biomonitoring inspection method (e.g., 

acute, chronic, or flow through) and sample 

type (e.g., grab, composite). This data element 

supplements the Compliance Monitoring Type 

data element. This data element only applies to 

compliance monitoring activities that involve 

biomonitoring.

123.26, 123.41(a) and CWA 

section 308.

1. 

Compliance Monitoring Action 

Reason.

The unique code/description that identifies the 

reason for the initiation of the compliance monitoring activity (e.g., Agency Priority, Citizen 

Complaint/Tip, Core Program).

123.26, 123.41(a) and CWA 

section 308.

1. 

Was this a State, Federal or 

Joint (State/Federal) Inspection? 

This data element identifies if the inspection is a 

joint inspection by federal, state, tribal, or territorial personnel. Only one value for this data 

element may be used for each compliance 

monitoring activity [e.g., State, Federal, Joint 

(State/Federal)].

123.26, 123.41(a) and CWA 

section 308.

1. 

Programs Evaluated ................. The unique code/description for the one or more 

programs evaluated or related to the compliance monitoring activity (e.g., NPDES Base 

Program, Biosolids/Sewage Sludge, 

Pretreatment, and MS4).

123.26, 123.41(a) and CWA 

section 308.

1. 

Compliance Monitoring Activity Information (Program Data Generated from Authorized NPDES Programs and EPA) 

Deficiencies Identified Through 

the Biosolids/Sewage Sludge 

Compliance Monitoring.

This is the unique code/description that that identifies each deficiency in the facility’s biosolids 

and sewage sludge program (40 CFR part 503) 

for each compliance monitoring activity (e.g., inspections, audits) by the regulatory authority. 

This data element includes unique codes to 

identify when the facility failed to comply with 

any applicable permit requirements or enforcement actions. The values for this data element 

will distinguish between noncompliance and significant noncompliance (SNC).

123.26, 123.41(a), 123.45 

and CWA section 308.

1. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64137 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Deficiencies Identified Through 

the MS4 Compliance Monitoring.

This is the unique code/description that that identifies each deficiency in the MS4’s program to 

control stormwater pollution for each compliance monitoring activity (e.g., inspections, audits) by the regulatory authority. This data element includes unique codes to identify when 

the MS4 failed to comply with any applicable 

permit requirements or enforcement actions. 

The values for this data element will distinguish 

between noncompliance and significant noncompliance (SNC).

123.26, 123.41(a), 123.45 

and CWA section 308.

1. 

Deficiencies Identified Through 

the Pretreatment Compliance 

Monitoring.

This is the unique code/description that that identifies each deficiency in the POTW’s authorized 

pretreatment program for each pretreatment 

compliance monitoring activity (e.g., inspections, audits) by the regulatory authority. The 

values for this data element will distinguish between noncompliance and significant noncompliance (SNC). These unique codes include: (1) Failure to enforce against pass 

through and/or interference; (2) failure to submit 

required reports within 30 days; (3) failure to 

meet compliance schedule milestones within 90 

days; (4) failure to issue/reissue control mechanisms to 90% of SIUs within 6 months; (5) failure to inspect or sample 80% of SIUs within the 

past 12 months; and (6) failure to enforce 

standards and reporting requirements.

123.26, 123.41(a), 123.45, 

403.10, and CWA section 

308.

1. 

Deficiencies Identified Through 

the Sewer Overflow/Bypass 

Compliance Monitoring.

This is the unique code/description that that identifies each deficiency in the POTW’s control of 

combined sewer overflows, sanitary sewer 

overflows, or bypass events for each compliance monitoring activity (e.g., inspections, audits) by the regulatory authority. This data element includes unique codes to identify when a 

POTW has failed to provide 24-hour notification 

to the NPDES permitting authority or failed to 

submit the Sewer Overflow/Bypass Event Report within the required 5-day period. This data 

element also includes unique codes to identify 

when the POTW failed to comply with any applicable long-term CSO control plan, permit requirements, or enforcement actions. The values 

for data element will distinguish between noncompliance and significant noncompliance 

(SNC).

122.41(h), 122.41(l)(6) and 

(7), 122.43, 123.26, 

123.41(a), and CWA sections 308 and 402(q)(1).

1. 

Compliance Monitoring Activity Information (AFO/CAFO Program Data Generated from Authorized NPDES Programs and EPA) 

Animal Types (Inspection) ....... The unique code/description that identifies the 

animal type(s) at the facility at the time of inspection (e.g., beef cattle, broilers, layers, 

swine weighing 55 pounds or more, swine 

weighing less than 55 pounds, mature dairy 

cows, dairy heifers, veal calves, sheep and 

lambs, horses, ducks, turkeys, other).

122.23, 123.26, 123.41(a), 

and CWA section 308.

1. 

Animal Numbers (Inspection) ... The number of each type of animal in open confinement or housed under roof (either partially 

or totally) which are held at the facility at the 

time of inspection.

122.23, 123.26, 123.41(a) 

and CWA section 308.

1. 

Animal Numbers in Open Confinement (Inspection).The number of each type of animal in open confinement which are held at the facility at the 

time of inspection.

122.23, 123.26, 123.41(a) 

and CWA section 308.

1. 

MLPW Containment and Storage Type (Inspection).The one or more types of containment and storage (e.g., anaerobic lagoon, roofed storage 

shed, storage ponds, underfloor pits, above 

ground storage tanks, below ground storage 

tanks, concrete pad, impervious soil pad, other) 

at the facility at the time of inspection.

122.23, 123.26, 123.41(a) 

and CWA section 308.

1. 

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64138 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

MLPW Containment and Storage Type Within Design Capacity (Inspection).The one or more unique codes/descriptions that 

identifies whether or not the facility is operating 

within the design capacity for each type of containment and storage used by the facility for 

MLPW at the time of inspection.

122.23, 123.26, 123.41(a) 

and CWA section 308.

1. 

AFO/CAFO Unauthorized Discharges (Inspection).A unique code (e.g., ‘‘Yes’’, ‘‘No’’) that indicates 

whether there evidence of unauthorized discharge(s) of pollutants from the facility’s production area and/or land application area(s) to 

a water of the U.S. 

122.23, 123.26, 123.41(a) 

and CWA section 308.

1. 

Permit Requirements Implementation (Inspection).The unique code/description that identifies whether or not the facility is properly implementing its 

NPDES permit requirements, including the applicable Nutrient Management Plan (NMP) or 

other nutrient management planning, at the 

time of inspection.

122.23, 123.26, 123.41(a) 

and CWA section 308.

1. 

Compliance Monitoring Activity Information (Discharge Monitoring Report, and Pretreatment Periodic Compliance Reports for Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) when EPA or the State is the Control Authority) [Note: Authorized NPDES programs will identify in the applicable NPDES permits will identify whether MS4 regulated entities are required to 

submit DMRs.] 

Limit Set Designator (Compliance Monitoring Activity).The unique identifier tying the compliance monitoring activity (e.g., DMR submission) to the 

corresponding Limit Set record.

122.41(l)(4)(i), 123.26, 

123.41(a), 403.12(e), 

403.12(h).

3, 6, 8. 

Parameter Code (Compliance 

Monitoring Activity).

The unique code/description identifying the parameter reported on the compliance monitoring 

activity (e.g., DMR submission).

122.41(l)(4)(i), 123.26, 

123.41(a), 403.12(e), 

403.12(h).

3, 6, 8. 

Monitoring Location Code 

(Compliance Monitoring Activity).

The unique code/description that identifies the 

monitoring location at which the sampling occurred for a compliance monitoring activity parameter (e.g., DMR submission).

122.41(l)(4)(i), 123.26, 

123.41(a), 403.12(e), 

403.12(h).

3, 6, 8. 

Limit Season Number (Compliance Monitoring Activity).The unique identifier tying the compliance monitoring activity (e.g., DMR submission) to the 

Limit Season Number of the corresponding 

limit. This data element is necessary as a parameter can have different seasonal limits within a single limit start and end date.

122.41(l)(4)(i), 123.26, 

123.41(a), 403.12(e), 

403.12(h).

3, 6, 8. 

Monitoring Period End Date 

(Compliance Monitoring Activity).

The monitoring period end date for the values 

covered by the compliance monitoring activity 

(e.g., DMR submission). The date must be provided in YYYY–MM–DD format where YYYY is 

the year, MM is the month, and DD is the day.

122.41(l)(4)(i), 123.26, 

123.41(a), 403.12(e), 

403.12(h).

3, 6, 8. 

No Data Indicator (NODI) 

(Compliance Monitoring Activity).

The unique code/description that indicates the 

reason that ‘‘No Discharge’’ or ‘‘No Data’’ was 

reported on the compliance monitoring activity 

(e.g., DMR submission) (e.g., B = Below Detection Limit, C = No Discharge).

122.41(l)(4)(i), 123.26, 

123.41(a), 403.12(e), 

403.12(h).

3, 6, 8. 

Value (Compliance Monitoring 

Activity).

The number value reported on the compliance 

monitoring activity (e.g., DMR form).

122.41(l)(4)(i), 123.26, 

123.41(a), 403.12(e), 

403.12(h).

3, 6, 8. 

Quantity or Concentration Units 

(Compliance Monitoring Activity).

The unique code/description that identifies the 

one or more units of measure that are applicable to quantity or concentration limits and 

measurements as entered on the compliance 

monitoring activity (e.g., DMR submission). This 

field is optional if the units are the same as the 

limit units.

122.41(l)(4)(i), 123.26, 

123.41(a), 403.12(e), 

403.12(h).

3, 6, 8. 

Value Received Date (Compliance Monitoring Activity).The date the compliance monitoring value was received by the regulatory authority (e.g., DMR 

submission). The date must be provided in 

YYYY–MM–DD format where YYYY is the year, 

MM is the month, and DD is the day.

122.41(l)(4)(i), 123.26, 

123.41(a), 403.12(e), 

403.12(h).

1. 

Value Type (Compliance Monitoring Activity).The unique code/description identifying a value 

type (e.g., Quantity 1, Quantity 2, Concentration 

1, Concentration 2, Concentration 3) on a compliance monitoring activity (e.g., DMR submission).

122.41(l)(4)(i), 123.26, 

123.41(a), 403.12(e), 

403.12(h).

3, 6, 8. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64139 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Value Qualifier (Compliance 

Monitoring Activity).

The unique code identifying the qualifier for the 

reported value (e.g., ‘‘<’’, ‘‘=’’, ‘‘>’’) on a compliance monitoring activity (e.g., DMR submission). This field is optional if the qualifier is ‘‘=’’.

122.41(l)(4)(i), 123.26, 

123.41(a), 403.12(e), 

403.12(h).

3, 6, 8. 

Compliance Monitoring Activity Information (Periodic Program Reports) 

Program Report Received Date The date the program report was received. The 

date must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

These are data elements that 

are common to reports required in parts 122, 123, 

403, and 503.

1. 

Program Report Event ID ........ The unique identifier for each program report submission. This will provide for unique tracking of 

program report submissions. This data element 

can be system generated.

These are data elements that 

are common to reports required in parts 122, 123, 

403, and 503.

1. 

Start Date of Reporting Period 

(Program Report).

The start date of the reporting period for the program report. The date must be provided in 

YYYY–MM–DD format where YYYY is the year, 

MM is the month, and DD is the day. For the 

Sewer Overflow/Bypass Event Report this is the 

start or best estimate of the start date for each 

Sewer Overflow/Bypass Identifier.

These are data elements that 

are common to reports required in parts 122, 123, 

403, and 503.

4, 5, 6, 7, 9, 10. 

End Date of Reporting Period 

(Program Report).

The end date of the reporting period for the program report. The date must be provided in 

YYYY–MM–DD format where YYYY is the year, 

MM is the month, and DD is the day. For the 

Sewer Overflow/Bypass Event Report this is the 

end or best estimate of the end date for each 

Sewer Overflow/Bypass Identifier.

These are data elements that 

are common to reports required in parts 122, 123, 

403, and 503.

4, 5, 6, 7, 9, 10. 

NPDES Data Group Number 

(Program Report).

This data element identifies the NPDES Data 

Group for each program report submission. 

This corresponds to Table 1 in this appendix 

{e.g., 7 = Pretreatment Program Reports [40 

CFR 403.12(i)]}.This data element also applies 

to Significant Industrial User Compliance Reports in Municipalities Without Approved 

Pretreatment Programs [40 CFR 403.12(e) and 

(h)], which is NPDES Data Group Number 8 

(Table 1 in this appendix). This can be a system generated data element.

These are data elements that 

are common to reports required in parts 122, 123, 

403, and 503.

4 through 10. 

Compliance Monitoring Activity Information (Data Elements Specific to Sewage Sludge/Biosolids Annual Program Reports) 

Biosolids or Sewage Sludge 

Treatment Processes.

The one or more unique codes/descriptions that 

identify the biosolids or sewage sludge treatment process or processes at the facility. For 

example, this data element uses codes to identify treatment processes in the following categories: preliminary operations (e.g., sludge 

grinding and degritting), thickening (concentration), stabilization, anaerobic digestion, aerobic 

digestion, composting, conditioning, disinfection 

(e.g., beta ray irradiation, gamma ray irradiation, pasteurization), dewatering (e.g., centrifugation, sludge drying beds, sludge lagoons), 

heat drying, thermal reduction, and methane or 

biogas capture and recovery.

503.18, 503.28, 503.48 .......... 4. 

Biosolids or Sewage Sludge 

Analytical Methods.

The one or more unique codes/descriptions that 

identify each of the analytic methods used by 

the facility to analyze enteric viruses, fecal coliforms, helminth ova, Salmonella sp., and other 

regulated parameters. For example, EPA requires facilities to monitor for the certain parameters, which are listed in Tables 1, 2, 3, and 4 

at 40 CFR 503. 13 and Tables 1 and 2 at 40 

CFR 503.23. This data element stores each 

analytic methods used by the facility only once 

for each annual report (not for each parameter 

measurement).

503.8(b), 503.18, 503.28, 

503.48.

4. 

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64140 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Biosolids or Sewage Sludge 

Form.

The one or more unique codes/descriptions that 

identify the nature of each biosolids and sewage sludge material generated by the facility in 

terms of whether the material is a biosolid or 

sewage sludge and whether the material is ultimately conveyed off-site in bulk or in bags. The 

facility will separately report the form for each 

biosolids or sewage sludge management practice or practices used by the facility and pathogen class.

503.18, 503.28, 503.48 .......... 4. 

Biosolids or Sewage Sludge 

Management Practice.

The one or more unique codes/descriptions that 

identify the type of biosolids or sewage sludge 

management practice or practices (e.g., land 

application, surface disposal, incineration) used 

by the facility. The facility will separately report 

the management practice for each biosolids or 

sewage sludge form and pathogen class. This 

data element will also identify the management 

practices used by surface disposal site owners/

operators (see 40 CFR 503.24).

503.18, 503.28, 503.48 .......... 4. 

Biosolids or Sewage Sludge 

Pathogen Class.

The one or more unique codes/descriptions that 

identify the pathogen class or classes [e.g., 

Class A, Class B, Not Applicable (Incineration)] 

for biosolids or sewage sludge generated by 

the facility. The facility will separately report the 

pathogen class for each biosolids or sewage 

sludge management practice used by the facility and by each biosolids or sewage sludge 

form.

503.18, 503.28, 503.48 .......... 4. 

Biosolids or Sewage Sludge 

Amount (Program Report).

This is the amount (in dry metric tons) of biosolids 

or sewage sludge applied to the land, prepared 

for sale or give-away in a bag or other container for application to the land, or placed on 

an active sewage sludge unit. This identification 

will be made for each biosolids or sewage 

sludge management practice used by the facility and by each biosolids or sewage sludge 

form as well as by each biosolids or sewage 

sludge pathogen class.

503.18, 503.28, 503.48 .......... 4. 

Biosolids or Sewage Sludge 

Pathogen Reduction Options.

The one or more unique codes/descriptions that 

identify the options used by the facility to control pathogens (e.g., Class A—Alternative 1, 

Class A—Alternative 2, Class A—Alternative 3, 

Class A—Alternative 4, Class A—Alternative 5, 

Class A—Alternative 6, Class B—Alternative 1, 

Class B—Alternative 2, Class B—Alternative 3, 

or pH Adjustment (Domestic Septage). The facility will separately report the pathogen reduction options for each biosolids or sewage 

sludge management practice used by the facility and by each biosolids or sewage sludge 

form as well as by each biosolids or sewage 

sludge pathogen class.

503.18, 503.28, 503.48 .......... 4. 

Biosolids or Sewage Sludge 

Vector Attraction Reduction 

Options.

The one or more unique codes/descriptions that 

identify the options used by the facility for vector attraction reduction. See a listing of these 

vector attraction reduction options at 40 CFR 

503.33(b)(1) through (11). The facility will separately report the vector attraction reduction options for each biosolids or sewage sludge management practice used by the facility and by 

each biosolids or sewage sludge form as well 

as by each biosolids or sewage sludge pathogen class.

503.18, 503.28, 503.48 .......... 4. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64141 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Biosolids or Sewage Sludge 

Monitored Parameter.

This is the biosolids or sewage sludge parameter 

that is monitored by the facility. If there is more 

than one class, then the facility will separately 

report each monitored parameter for each biosolids or sewage sludge management practice 

used by the facility and by each biosolids or 

sewage sludge form. EPA requires facilities to 

monitor for the certain parameters, which are 

listed in Tables 1, 2, 3, and 4 at 40 CFR 503. 

13 and Tables 1 and 2 at 40 CFR 503.23, 

pathogens (e.g., fecal coliform, Salmonella sp., 

enteric viruses, helminth ova), and vector attraction reduction parameters (e.g., specific oxygen uptake rate, and total, fixed, and volatile 

solids).

503.18, 503.28, 503.48 .......... 4. 

Biosolids or Sewage Sludge 

Monitored Parameter Value.

This is the value of the Biosolids or Sewage 

Sludge Monitored Parameter.

503.18, 503.28, 503.48 .......... 4. 

Biosolids or Sewage Sludge 

Monitored Parameter Units.

This is the measurement unit (e.g., mg/kg) associated with the Biosolids or Sewage Sludge Monitored Parameter Value.503.18, 503.28, 503.48 .......... 4. 

Biosolids or Sewage Sludge 

Monitored Parameter End 

Date.

This is the end date of the monthly monitoring period for the biosolids or sewage sludge sampling (e.g., 1/31/2015 for biosolids or sewage 

sludge monitoring data in January 2015). This 

data element is used to track the frequency of 

biosolids or sewage sludge monitoring in the reporting period (e.g., annual, quarterly, bi-monthly, or monthly). For example, see Table 1 of 40 

CFR 503.16 (Land Application), Table 1 of 40 

CFR 503.26 (Surface Disposal).

503.18, 503.28, 503.48 .......... 4. 

Biosolids or Sewage Sludge— 

Surface Disposal Maximum 

Allowable Pollutant Concentration.

This data element is applicable to facilities that 

use an active surface disposal sites (e.g., 

monofills, surface impoundments, lagoons, 

waste piles, dedicated disposal sites, and dedicated beneficial use sites) without a liner. This 

data element identifies the maximum allowable 

pollutant concentration for each of the three 

pollutants: Arsenic, chromium, and nickel (in 

units of mg/kg). This data element will use Tables 1 and 2 of 40 CFR 503.23 or the procedures identified in 40 CFR 503.23(b).

503.23, 503.28 ....................... 4. 

Biosolids or Sewage Sludge— 

Land Application or Surface 

Disposal Deficiencies.

This data element is applicable to facilities that 

use land application and/or an active surface 

disposal site (e.g., monofills, surface impoundments, lagoons, waste piles, dedicated disposal 

sites, and dedicated beneficial use sites). This 

data element uses one or more unique codes/

descriptions to identify all deficiencies in the 

biosolids or sewage sludge program within the 

reporting period. For example, this data element uses a unique code/description to identify 

when a biosolids or sewage sludge pollutant 

concentration exceed a ceiling concentration 

(e.g., Table 1 of 40 CFR 503.13 for facilities utilizing land application). This data element also 

uses a unique code/description to identify when 

the facility failed to properly collect and analyze 

its biosolids or sewage sludge in accordance 

with the approved analytical methods (including 

appropriate method holding times). This data 

element also uses a unique code/description to 

identify deficiencies with pathogen reduction 

and/or vector attraction reduction. For facilities 

that use an active surface disposal site this 

data element will use a unique code/description 

to identify any deficiencies in meeting the applicable surface disposal requirements [see 40 

CFR 503.24(a) through (n)].

503.18, 503.28 ....................... 4. 

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64142 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Compliance Monitoring Activity Information (Data Elements Specific to CAFO Annual Program Reports) 

CAFO Animal Types (Program 

Report).

The unique code/description that identifies the 

permittee’s applicable animal sector(s) in the 

previous 12 months. This includes (but not limited to) beef cattle, broilers, layers, swine 

weighing 55 pounds or more, swine weighing 

less than 55 pounds, mature dairy cows, dairy 

heifers, veal calves, sheep and lambs, horses, 

ducks, and turkeys.

122.42(e)(4)(i) ........................ 5. 

CAFO Animal Maximum Number (Program Report).The estimated maximum number of each type of 

animal in open confinement or housed under 

roof (either partially or totally) which are held at 

the facility for a total of 45 days or more in the 

previous 12 months.

122.42(e)(4)(i) ........................ 5. 

CAFO Animal Maximum Number in Open Confinement 

(Program Report).

The estimated maximum number of each type of 

animal in open confinement which are held at 

the facility for a total of 45 days or more in the 

previous 12 months.

122.42(e)(4)(i) ........................ 5. 

CAFO MLPW (Program Report).The unique code/description that identifies the 

type of CAFO manure, litter, and process 

wastewater generated by the facility i.e. in the 

previous 12 months.

122.42(e)(4)(ii) ....................... 5. 

CAFO MLPW Amounts (Program Report).The estimated total amount of CAFO manure, litter, and process wastewater generated by the 

facility in the previous 12 months.

122.42(e)(4)(ii) ....................... 5. 

CAFO MLPW Amounts Units 

(Program Report).

The unit (e.g., tons, gallons) for the estimated 

total amount of CAFO manure, litter, and process wastewater generated by the facility i.e.in 

the previous 12 months.

122.42(e)(4)(ii) ....................... 5. 

CAFO MLPW Transferred (Program Report).The estimated total amount of CAFO manure, litter, and process wastewater generated by the 

facility i.e. in the previous 12 months that is 

transferred to other persons. The units for this 

data element will be the same as the units for 

the ‘‘CAFO MLPW Amounts (Program Report)’’ 

data element.

122.42(e)(4)(iii) ...................... 5. 

Total Number of Acres for 

Land Application Covered by 

the Nutrient Management 

Plan (Program Report).

Total number of acres for land application covered by the current nutrient management plan.122.42(e)(4)(iv) ...................... 5. 

Total Number of Acres Used 

for Land Application (Program Report).

The total number of acres under control of the 

CAFO and used for land application in the previous 12 months.

122.42(e)(4)(v) ....................... 5. 

Discharge Type (Program Report).The unique code/description that identifies for 

each discharge from the permittee’s production 

area in the previous 12 month whether a 25- 

year, 24-hour rainfall event was the cause for 

the discharge. These data are optional if permittee uses a Discharge Monitoring Report 

(DMR) to provide the permitting authority with 

information on their discharges.

122.42(e)(4)(vi), 412 .............. 5. 

Discovery Dates of Discharges 

from Production Area (Program Report).

The date of each discharge from the permittee’s 

production area in the previous 12 months. The 

date must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day. These data are optional if permittee uses a Discharge Monitoring Report 

(DMR) to provide the permitting authority with 

information on their discharges.

122.42(e)(4)(vi) ...................... 5. 

Duration of Discharges from 

Production Area (Program 

Report).

The estimated duration time (in hours) of each 

discharge from the permittee’s production area 

in the previous 12 months. These data are optional if permittee uses a Discharge Monitoring 

Report (DMR) to provide the permitting authority with information on their discharges.

122.42(e)(4)(vi) ...................... 5. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64143 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Approximate Volume of Discharge from Production Area 

(Program Report).

The approximate volume (in gallons) of each discharge from the permittee’s production area in 

the previous 12 months. These data are optional if permittee uses a Discharge Monitoring 

Report (DMR) to provide the permitting authority with information on their discharges.

122.42(e)(4)(vi) ...................... 5. 

Whether NMP Approved or Developed by Certified Planner 

(Program Report).

The unique code/description that identifies whether the current version of the NMP was approved or developed by a certified nutrient 

management planner.

122.42(e)(4)(vii) ..................... 5. 

CAFO MLPW Nitrogen Content 

(Program Report).

The nitrogen content of CAFO manure, litter, and 

process wastewater used or generated by the 

facility i.e. in the previous 12 months.

122.42(e)(4)(viii) ..................... 5. 

CAFO MLPW Phosphorus 

Content (Program Report).

The phosphorus content of CAFO manure, litter, 

and process wastewater used or generated by 

the facility i.e. in the previous 12 months.

122.42(e)(4)(viii) ..................... 5. 

CAFO MLPW Nitrogen or 

Phosphorus Units (Program 

Report).

The unit(s) (e.g., lbs/tons, lbs/1,000-gallons) for 

the nitrogen and phosphorus content of CAFO 

manure, litter, and process wastewater used or 

generated by the facility i.e. in the previous 12 

months.

122.42(e)(4)(viii) ..................... 5. 

CAFO MLPW Nitrogen or 

Phosphorus Form (Program 

Report).

The form (e.g., total nitrogen, ammonium-nitrogen, total phosphorus) for the nitrogen and 

phosphorus content of CAFO manure, litter, 

and process wastewater used or generated by 

the facility i.e.in the previous 12 months.

122.42(e)(4)(viii) ..................... 5. 

Field Identification Number 

(Program Report).

A unique field number to which CAFO MLPW was 

applied in the previous 12 months. This data 

element will be used when the term ‘‘for each 

field’’ is used in the CAFO Annual Program Report.

122.42(e)(4)(viii) ..................... 5. 

Actual Crop(s) Planted for 

Each Field (Program Report).

Actual crop(s) planted for each field ...................... 122.42(e)(4)(viii) ..................... 5. 

Actual Crop Yield(s) for Each 

Field (Program Report).

Actual crop yield(s) for each field .......................... 122.42(e)(4)(viii) ..................... 5. 

Actual Crop Yield(s) for Each 

Field Units (Program Report).

The unit(s) for the actual crop yield(s) for each 

field (e.g., bushels per acre).

122.42(e)(4)(viii) ..................... 5. 

Method for Calculating Maximum Amounts of Manure, 

Litter, and Process Wastewater (Program Report).

The unique code/description that identifies whether the CAFO used the Linear Approach [40 

CFR 122.42(e)(5)(i)] or the Narrative Rate Approach [40 CFR 122.42(e)(5)(ii)].

122.42(e)(4)(viii) ..................... 5. 

CAFO MLPW Land Application 

For Each Field (Program Report).

The unique code/description that identifies for 

each field the type of CAFO manure, litter, and 

process wastewater i.e. in the previous 12 

months and used for land application.

122.42(e)(4)(viii) ..................... 5. 

CAFO MLPW Land Application 

Maximum Amount For Each 

Field (Program Report).

The maximum amount of CAFO manure, litter, 

and process wastewater for each field in the 

previous 12 months and used for land application. The maximum amounts of CAFO manure, 

litter, and process wastewater is calculated in 

accordance with procedures in the Linear Approach [40 CFR 122.42(e)(5)(i)(B)] or the Narrative Rate Approach [40 CFR 

122.42(e)(5)(ii)(D)].

122.42(e)(4)(viii) ..................... 5. 

CAFO MLPW Land Application 

Actual Amount For Each 

Field (Program Report).

The actual amount of CAFO manure, litter, and 

process wastewater for each field in the previous 12 months and used for land application.

122.42(e)(4)(viii) ..................... 5. 

CAFO MLPW Land Application 

For Each Field Unit (Program Report).

The unit (e.g., tons, gallons) for the maximum and 

actual amount of CAFO manure, litter, and 

process wastewater for each field in the previous 12 months and used for land application.

122.42(e)(4)(viii) ..................... 5. 

Nitrogen Soil Test Measurement (Narrative Rate Approach) (Program Report).For each field used for land application, the results of the most recent soil nitrogen analysis 

for any soil test taken in the preceding 12 

months (i.e., amount of nitrogen in the soil). 

This data element is only applicable to facilities 

using the Narrative Rate Approach as described in 40 CFR 122.42(e)(5)(ii).

122.42(e)(4)(viii) ..................... 5. 

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64144 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Phosphorus Soil Test Measurement (Narrative Rate Approach) (Program Report).For each field used for land application, the results of the most recent soil phosphorus analysis for any soil test taken in the preceding 12 

months (i.e., amount of phosphorus in the soil). 

This data element is only applicable to facilities 

using the Narrative Rate Approach as described in 40 CFR 122.42(e)(5)(ii).

122.42(e)(4)(viii) ..................... 5. 

Soil Test Measurement Form 

(Narrative Rate Approach) 

(Program Report).

The form (e.g., total nitrogen, ammonium-nitrogen, total phosphorus) for each soil test measurement. This data element is only applicable to 

facilities using the Narrative Rate Approach as 

described in 40 CFR 122.42(e)(5)(ii).

122.42(e)(4)(viii) ..................... 5. 

Soil Test Measurement Unit(s) 

(Narrative Rate Approach) 

(Program Report).

The unit(s) for the amounts of nitrogen and/or 

phosphorus for any soil test results. This data 

element is only applicable to facilities using the 

Narrative Rate Approach, as described in 40 

CFR 122.42(e)(5)(ii).

122.42(e)(4)(viii) ..................... 5. 

Nitrogen Amount of Any Supplemental Fertilizer Applied 

(Program Report).

For each field used for land application, provide 

the amount of nitrogen in supplemental fertilizer 

applied in the previous 12 months. This data 

element is only applicable to facilities using the 

Narrative Rate Approach as described in 40 

CFR 122.42(e)(5)(ii).

122.42(e)(4)(viii) ..................... 5. 

Phosphorus Amount of Any 

Supplemental Fertilizer Applied (Program Report).

For each field used for land application, provide 

the amount of phosphorus in supplemental fertilizer applied in the previous 12 months. This 

data element is only applicable to facilities that 

are using the Narrative Rate Approach as described in 40 CFR 122.42(e)(5)(ii).

122.42(e)(4)(viii) ..................... 5. 

Supplemental Fertilizer Applied 

Units (Program Report).

The unit(s) for the amount(s) of nitrogen and/or 

phosphorus in any supplemental fertilizer applied in the previous 12 months (e.g., ppm, 

pounds per acre). This data element is only applicable to facilities using the Narrative Rate 

Approach, as described in 40 CFR 

122.42(e)(5)(ii).

122.42(e)(4)(viii) ..................... 5. 

Compliance Monitoring Activity Information (Data Elements Specific to Municipal Separate Storm Sewer System Program Reports) 

[Note: The MS4 permit may require one report for each unique governmental entity or one report per permit]. 

MS4 Reliance on Other Government Entities Status.This is a unique code (e.g., ‘‘Yes’’, ‘‘No’’) that 

identifies whether the permittee relies on another unique governmental entity to satisfy any 

of the permit requirements.

122.26(d)(2)(vii), ....................

122.34(g)(3)(v) .......................

6. 

MS4 Reliance on Other Government Entities: Permit 

Component Status.

For each MS4 permit component this data element identifies the responsible government entity. This data element uses the ‘Unique Identifier 

for Each Municipality Covered Under MS4 Permit’ data element. Use of this identifier allows 

for greater geographic resolution for the MS4 

components being tracked. This unique identifier does not change over time. The number 

identifies the entity taking responsibility for complying with each MS4 permit component.

122.34(g)(3)(i) and (v), 

122.35(a) and 122.42(c).

6. 

MS4 Permit Components Descriptions and Measurable 

Goals.

The one or more codes/descriptions that identify 

for each unique municipality all of the permitted 

components and measurable goals that are included in the MS4 permit. For Phase II MS4s, 

these components will be pre-populated from 

the BMPs each Phase II MS4 permittee indicated it will implement in its NOI or permit application. The groupings of these MS4 components will include public education and outreach 

on stormwater impacts; public involvement/participation; illicit discharge detection and elimination; construction site stormwater runoff; 

post-construction stormwater management in 

new development and redevelopment; and pollution prevention/good housekeeping for municipal operations.

122.34(g)(3) and 122.42(c) .... 6. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64145 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Changes to MS4 Permit Components and Measurable 

Goals.

The one or more codes/descriptions that describe 

for each unique municipality any changes made 

to MS4 permit components (e.g., BMPs) during 

the reporting period.

122.34(g)(3)(iv) and 122.42(c) 6. 

Status of Compliance with 

each Minimum Control 

Measure.

The unique code (e.g., ‘‘Yes’’, ‘‘No’’) that identifies 

if the permittee has completed each 

measureable goal associated with each MS4 

permit component.

122.34(g)(3) and 122.42(c) .... 6. 

Progress and Summary of Results with Each Minimum 

Control Measure.

This is a text summary describing the permittee’s 

compliance and progress toward meeting each 

measurable goal including a summary of results 

for each unique municipality.

122.34(g)(3) and 122.42(c) .... 6. 

MS4 Enforcement Action Type For each unique municipality covered under a 

Phase I MS4 permit, this data element identifies 

the one or more types of enforcement actions 

taken during the past reporting period (e.g., notice of violations, stop work orders, administration orders, administrative fines, civil penalties, 

criminal actions). The unique municipality covered under the MS4 permit will identify ‘‘No Authority’’ for this data element if the municipality 

does not have the authority to conduct enforcement actions. This data element is optional for 

Phase II MS4s.

122.34(g)(3) and 122.42(c) .... 6. 

MS4 Enforcement Action Number.For each unique municipality covered under a 

Phase II MS4 permit and for each MS4 Enforcement Action Type, this data element identifies the number of enforcement actions taken 

by responsible MS4 Municipal Enforcement 

Agency. The unique municipality covered under 

the MS4 permit will identify ‘‘No Authority’’ for 

this data element if the municipality does not 

have the authority to conduct enforcement actions. For Phase II MS4s this data element will 

be the total number of enforcement actions 

taken during the reporting period.

122.34(g)(3) and 122.42(c) .... 6. 

MS4 Municipality Enforcement 

Agency.

For each unique municipality covered under the 

MS4 permit and for each MS4 Enforcement Action Type, this data element identifies the corresponding MS4 Municipal Enforcement Agency 

by its unique municipality number (‘‘Unique 

Identifier for Each Municipality Covered Under 

MS4 Permit’’). This data element is only required for permittees that have co-permittees 

under their unique MS4 permit.

122.34(g)(3) and 122.42(c) .... 6. 

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64146 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

MS4 Industrial Stormwater 

Control.

The one or more unique codes/descriptions that 

identify how the MS4 permittee will comply with 

industrial stormwater control requirements, including (at a minimum): (1) Status of the ordinance or other regulatory mechanism to control 

the contribution of pollutants by stormwater discharges associated with industrial activity, including authority to carry out all inspection, surveillance and monitoring procedures necessary 

to determine compliance and noncompliance, 

and including sanctions to ensure compliance; 

(2) status of the MS4 permittee industrial 

stormwater inventory, which identifies facilities 

with industrial activities and assesses the quality of the stormwater discharged from each facility with an industrial activity; (3) status of program to monitor and control pollutants in 

stormwater discharges from municipal landfills, 

hazardous waste treatment, disposal and recovery facilities, industrial facilities that are subject 

to Toxics Release Inventory (TRI) reporting requirements (Emergency Planning and Community Right-To-Know Act Section 313), and industrial facilities that are contributing a substantial pollutant loading to the MS4; and (4) status 

of monitoring program for discharges associated with industrial facilities. This data element 

is optional for Phase II MS4s.

40 CFR 122.26(d)(2)(i)(A, B, 

C, E, and F) and 40 CFR 

122.26(d)(2)(ii) and 

(iv)(A)(5) and (iv)(C), 

122.42(c).

6. 

Compliance Monitoring Activity Information (Data Elements Specific to Pretreatment Program Reports, SIU Periodic Compliance 

Reports in Municipalities without an Approved Pretreatment Program) 

[Note: These data elements do not apply to the development, evaluation, or compliance monitoring activities supporting wastewater surcharge 

rates.] 

SNC Published ......................... A unique code (e.g., ‘‘Yes’’, ‘‘No’’) that identifies 

for each Significant Industrial User (SIU) and 

Non-Significant Categorical Industrial Users 

(NSCIU) in SNC whether the Control Authority 

published a public notice within the reporting 

period.

403.8(f)(2)(viii), 403.12(i)(2) ... 7. 

SNC with Pretreatment Enforceable Compliance 

Schedule Status.

The unique code/description that identifies for 

each Significant Industrial User (SIU) and NonSignificant Categorical Industrial User (NSCIU) 

in SNC whether the industrial user in SNC is 

subject to one or more enforceable compliance 

schedules within the reporting period.

403.8(f)(2)(viii), 403.12(i)(2) ... 7. 

Local Limits Adoption Date ...... This is the most recent date on which the Control 

Authority adopted new local limits within the reporting period. The date must be provided in 

YYYY–MM–DD format where YYYY is the year, 

MM is the month, and DD is the day. The Control Authority can leave this data element blank 

on the Pretreatment Program Report if the Control Authority did not adopt any new local limits 

within the reporting period.

122.44(j)(2)(ii), 403.5(c), 

403.8(f)(4) and (5), 

403.12(i)(4).

7. 

Local Limits Evaluation Date ... This is the most recent date on which the Control 

Authority completed an evaluation on the potential need for local limits within the reporting period. The date must be provided in YYYY–MM– 

DD format where YYYY is the year, MM is the 

month, and DD is the day. The Control Authority can leave this data element blank on the 

Pretreatment Program Report if the Control Authority did not evaluate any local limits within 

the reporting period.

122.44(j)(2)(ii), 403.5(c), 

403.8(f)(4) and (5), 

403.12(i)(4), 403.8(f)(4).

7. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64147 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Local Limits Pollutants ............. This is the list of the pollutants for which the Control Authority adopted local limits. The Control 

Authority will only need to enter each pollutant 

once no matter how many treatment works are 

managed by the Control Authority. The Control 

Authority can leave this data element blank on 

the Pretreatment Program Reports if the Control Authority did not change the pollutants for 

which the Control Authority derived local limits.

403.5(c), 403.12(i)(4) ............. 7. 

POTW Discharge Contamination Indicator (Program Report).The one or more unique codes/descriptions that 

identify any problems (e.g., pass-through, interference, violation of NPDES permit limits) with 

the receiving POTW’s effluent discharge within 

the reporting period. See 40 CFR 403.3(k) and 

(p). EPA regulations require the Control Authority to develop and enforce local limits when the 

discharge from an IU causes or contributes to 

any problems at the receiving POTW.

403.8(f), 403.12(i) .................. 7. 

POTW Biosolids or Sewage 

Sludge Contamination Indicator (Program Report).

The one or more unique codes/descriptions that 

identify any problems (e.g., interference with 

the use or disposal of biosolids or sewage 

sludge, violation of NPDES permit requirements 

or EPA’s regulations at 40 CFR part 503) with 

the receiving POTW’s biosolids or sewage 

sludge within the reporting period. See 40 CFR 

403.3(k). EPA regulations require any Control 

Authority that must develop a Pretreatment Program also to develop and enforce local limits to 

ensure that the discharge from an IU does not 

cause or contribute a disruption of biosolids’ 

use or disposal at the receiving POTW.

403.8(f), 403.12(i) .................. 7. 

Industrial User Control Mechanism Status.A unique code/description that identifies whether 

the Industrial User is subject to an effective 

Control Mechanism within the reporting period.

403.3(k), 403.5(c), 403.8(f), 

403.12(i).

7. 

Industrial User Control Mechanism Effective Date.The date when the active Control Mechanism for 

the Industrial User became effective. The date 

must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

403.8(f)(1)(iii)(B)(1), 403.12(i) 7. 

Industrial User Control Mechanism Expiration Date.The date when the active Control Mechanism for 

the Industrial User will expire. The date must be 

provided in YYYY–MM–DD format where YYYY 

is the year, MM is the month, and DD is the 

day.

403.8(f), 403.12(i) .................. 7. 

SNC With Pretreatment Standards or Limits (Program Report).This data element will identify for each Significant 

Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) whether the IU 

was in Significant Non-Compliance (SNC) with 

any pretreatment standard or local limits applicable to the industrial user’s discharge within 

the reporting period.

403.8(f), 403.12(i) .................. 7. 

SNC With Pretreatment Standards or Limits Pollutants 

(Program Report).

This data element will identify for each Significant 

Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) the pollutants 

that related to the industrial user’s Significant 

Non-Compliance (SNC) status with any applicable pretreatment standard or local limits within 

the reporting period.

403.8(f), 403.12(i) .................. 7. 

SNC With Reporting Requirements (Program Report).This data element will identify for each Significant 

Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) whether the IU 

was in Significant Non-Compliance (SNC) with 

reporting requirements (including baseline monitoring reports, notice of potential problems, 

periodic self-monitoring reports, notice of 

change in Industrial User discharge, hazardous 

waste notification and BMP certification) within 

the reporting period.

123.26, 123.41(a), 123.45, 

403.8(f), 403.10, 403.12(i).

1, 7. 

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64148 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

SNC with Other Control Mechanism Requirements (Program Report).This data element will identify for each Significant 

Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) whether the IU 

was in Significant Non-Compliance (SNC) with 

any other control mechanism requirements 

within the reporting period. This data element 

does not include instances of SNC that relate to 

the industrial user’s applicable discharge standards or local limits or reporting requirements.

123.26, 123.41(a), 123.45, 

403.8(f), 403.10, 403.12(i).

1, 7. 

Listing of Months in SNC ......... This data element will identify for each Significant 

Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) the month or 

months the IU is in SNC within the reporting 

period. These data must be provided in YYYY– 

MM format where YYYY is the year and MM is 

the month.

123.26, 123.41(a), 123.45, 

403.8(f), 403.10, 403.12(i).

1, 7. 

Number of Industrial User Inspections by Control Authority.This data element will identify for each Significant 

Industrial User (SIU) the number of inspections 

conducted by the Control Authority within the 

reporting period.

403.8(f), 403.12(i) .................. 7. 

Number of Industrial User 

Sampling Events by Control 

Authority.

This data element will identify for each Significant 

Industrial User (SIU) the number of complete 

sampling events conducted by the Control Authority within the reporting period.

403.8(f), 403.12(i) .................. 7. 

Number of Required Industrial 

User Self-Monitoring Events.

This data element will identify for each Significant 

Industrial User (SIU) the number of required 

self-monitoring sampling events within the reporting period that must be reported to the Control Authority.

403.8(f), 403.12(i) .................. 7. 

Actual Number of Industrial 

User Self-Monitoring Events.

This data element will identify for each Significant 

Industrial User (SIU) the actual number of selfmonitoring sampling events within the reporting 

period submitted to the Control Authority.

403.8(f), 403.12(i) .................. 7. 

Types of Industrial User Enforcement Action.This data element will identify for each Significant 

Industrial User (SIU) the type(s) of formal enforcement action(s) (e.g., formal notices of violation or equivalent actions, administrative orders, civil suits, criminal suits) issued by the 

Control Authority within the reporting period. 

The Control Authority can also optionally use 

this data element to track informal actions that 

they issued within the reporting period.

403.8(f), 403.12(i) .................. 7. 

Number of Industrial User Enforcement Actions.This data element will identify for each Significant 

Industrial User (SIU) and for each type of enforcement action the total number of formal enforcement actions issued by the Control Authority within the reporting period. The Control Authority can also optionally use this data element 

to track informal actions that they issued within 

the reporting period.

403.8(f), 403.12(i) .................. 7. 

Industrial User Cash Civil Penalty Amount Assessed.For civil judicial Enforcement Actions, the dollar 

amount of the penalty assessed against each 

Significant Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) 

within the reporting period as specified in the 

final entered Consent Decree or Court Order. 

For Administrative Enforcement Actions, it is 

the dollar amount of the penalty assessed in 

the Consent/Final Order.

CWA section 309 ................... 7. 

Industrial User Cash Civil Penalty Amount Collected.For civil judicial Enforcement Actions, the dollar 

amount of the penalty collected from each Significant Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) within 

the reporting period. For Administrative Enforcement Actions, it is the dollar amount collected of the penalty assessed in the Consent/

Final Order.

CWA section 309 ................... 7. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64149 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Industrial User POTW Discharge Contamination Indicator (Program Report).The one or more unique codes/descriptions that 

identify for each Significant Industrial User 

(SIU) and Non-Significant Categorical Industrial 

User (NSCIU) whether the Industrial User 

caused or contributed to any problems (e.g., 

pass-through, interference, violation of NPDES 

permit limits) with the receiving POTW’s effluent 

discharge in the previous reporting period. See 

40 CFR 403.3(k) and (p). EPA regulations require the Control Authority to develop and enforce local limits when the discharge from an IU 

causes or contributes to any problems e.g.at 

the receiving POTW.

123.26, 123.41(a), 123.45, 

403.5(c), 403.8(f), 403.10, 

403.12(i).

1, 7. 

Industrial User Biosolids or 

Sewage Sludge Contamination Indicator (Program Report).

The one or more unique codes/descriptions that 

identify for each Significant Industrial User 

(SIU) and Non-Significant Categorical Industrial 

User (NSCIU) whether the Industrial User 

caused or contributed to any problems (e.g., interference with the use or disposal of biosolids 

or sewage sludge, violation of NPDES permit 

requirements or EPA’s regulations at 40 CFR 

part 503) with the receiving POTW’s biosolids 

or sewage sludge in the previous reporting period. See 40 CFR 403.3(k). EPA regulations require the Control Authority to develop and enforce local limits when the discharge from an IU 

causes or contributes to any problems e.g.at 

the receiving POTW.

123.26, 123.41(a), 123.45, 

403.5(c), 403.8(f), 403.10, 

403.12(i).

1, 7. 

Industrial User Wastewater 

Flow Rate (Program Report).

This data element will identify for each Significant 

Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) the maximum 

monthly average wastewater flow rate (in gallons per day) in the previous reporting period.

403.8(f), 403.12(e), 403.12(h), 

403.12(i).

7, 8. 

Middle-Tier Significant Industrial User Reduced Reporting 

Status.

The unique code/description that identifies for 

each Middle-Tier Significant Industrial User 

(MTSIU) whether the Control Authority has 

granted reduced reporting requirements in accordance with 40 CFR 403.12(e)(3).

123.26, 123.41(a), 123.45, 

403.10, 403.12(e)(3), 

403.12(i)(2).

1, 7. 

Non-Significant Categorical Industrial User (NSCIU) Certification Submitted to Control 

Authority.

The unique code/description that identifies for 

each Non-Significant Categorical Industrial User 

(NSCIU) whether the facility has reported its required annual compliance certification to the 

Control Authority within the reporting period.

123.26, 123.41(a), 123.45, 

403.10, 403.12(i)(2), 

403.12(q).

1, 7. 

Notification of Changed Discharge Submission.The unique code (e.g., ‘‘Yes’’, ‘‘No’’) that identifies 

for each Significant Industrial User (SIU) and 

Non-Significant Categorical Industrial User 

(NSCIU) whether the Industrial User submitted 

a notification within the reporting period to the 

Control Authority of a substantial change in the 

volume or character of pollutants in their discharge, including the listing or characteristic 

hazardous wastes for which the Industrial User 

previously submitted notice.

403.8(f), 403.12 (i), 403.12(j) 1, 7. 

Compliance Monitoring Activity Information (Data Elements Specific to Sewer Overflow/Bypass Event Reports) 

[Note: These data elements apply to sewer overflows and bypass events at POTWs. These data elements do not apply to industrial facilities. 

This report uses the ‘Permitted Feature Identifier (Compliance Monitoring Activity)’ data element to identify the location of each sewer overflow or bypass at a permitted feature. Each bypass location should be permitted and have an identifier in the ‘Permitted Feature Identifier 

(Permit)’ data element. This report will also identify the location of each sewer overflow at an unpermitted feature.] 

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64150 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Sewer Overflow/Bypass Identifier.This data element will allow the reporting of multiple sewer overflows or bypasses on one report. Each individualized sewer overflow or bypass will be given a unique identifier (e.g., 1, 2, 

3, and so on) for each Sewer Overflow/Bypass 

Event Report. This field can be system generated to accommodate one or more individual 

sewer overflows or bypasses. If the sewer overflows are caused by an extreme weather event 

(e.g., hurricane) that floods the entire sewer 

system the POTW can use this data element to 

indicate that the number of sewer overflows 

cannot be tabulated as they are too numerous 

to count.

122.41(l)(4), (6), and (7) and 

122.41(m)(3).

3, 9. 

Sewer Overflow Longitude for 

Unpermitted Feature (Sewer 

Overflow/Bypass Event Report).

This data element is required for each Sewer 

Overflow/Bypass Identifier without a corresponding identifier in the ‘Permitted Feature 

Identifier (Permit)’ data element, which is reported on the NPDES permit application or Notice of Intent for NPDES permit coverage. This 

data element is the measure of the angular distance on a meridian east or west of the prime 

meridian for the sewer overflow location. The 

format for this data element is decimal degrees 

(e.g., ¥77.029289) and the WGS84 standard 

coordinate system. The ‘Permitted Feature 

Identifier (Compliance Monitoring Activity)’ data 

element is used to identify the location of each 

sewer overflow at a permitted feature. If the 

sewer overflow is associated with a private residence the longitude of the nearest collection 

system structure (e.g., manhole) can be used 

for this data element to the extent that reporting 

is required. The POTW can leave this data element blank on the Sewer Overflow/Bypass 

Event Report if the sewer overflows are caused 

by an extreme weather event (e.g., hurricane) 

that floods the entire sewer system and are too 

numerous to count. This data element can also 

be system generated if the Sewer Overflow/Bypass Event Report collects the street location of 

the sewer overflow and the street location can 

be used to generate an accurate longitude 

value. (Note: ‘‘Post Office Box’’ addresses and 

‘‘Rural Route’’ addresses are generally not 

geocodable).

122.41(l)(4), (6), and (7) ........ 3, 9. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64151 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Sewer Overflow Latitude for 

Unpermitted Feature (Sewer 

Overflow/Bypass Event Report).

This data element is required for each Sewer 

Overflow/Bypass Identifier without a corresponding identifier in the ‘Permitted Feature 

Identifier (Permit)’ data element, which is reported on the NPDES permit application or Notice of Intent for NPDES permit coverage. This 

data element is the measure of the angular distance on a meridian north or south of the equator for the sewer overflow location. The format 

for this data element is decimal degrees (e.g., 

-77.029289) and the WGS84 standard coordinate system. The Permitted Feature Identifier 

(Compliance Monitoring Activity) data element 

is used to identify the location of each sewer 

overflow at a permitted feature. If the sewer 

overflow is associated with a private residence 

the latitude of the nearest collection system 

structure (e.g., manhole) can be used for this 

data element to the extent that reporting is required. The POTW can leave this data element 

blank on the Sewer Overflow/Bypass Event Report if the sewer overflows are caused by an 

extreme weather event (e.g., hurricane) that 

floods the entire sewer system and are too numerous to count. This data element can also be 

system generated if the Sewer Overflow/Bypass 

Event Report collects the street location of the 

sewer overflow and the street location can be 

used to generate an accurate longitude value. 

(Note: ‘‘Post Office Box’’ addresses and ‘‘Rural 

Route’’ addresses are generally not 

geocodable).

122.41(l)(4), (6), and (7) ........ 3, 9. 

Type of Sewer Overflow/Bypass (Sewer Overflow/Bypass Event Report).A unique code/description that identifies the type 

of sewer overflow or bypass (e.g., CSO or SSO 

from the POTW’s collection system, anticipated 

bypass from the treatment works, unanticipated 

bypass from the treatment works) for each 

Sewer Overflow/Bypass Identifier. For bypass 

events the permittee will also use this data element to identify if any NPDES effluent limitations were violated as a result of the bypass.

122.41(l)(4), (6), and (7) and 

122.41(m)(3).

3, 9. 

Type of Sewer Overflow/Bypass Structure.A unique code/description that identifies the type 

of sewer overflow or bypass structure (e.g., 

manhole, CSO outfall) for each Sewer Overflow/Bypass Identifier. The POTW can leave 

this data element blank on the Sewer Overflow/

Bypass Event Report if the sewer overflows are 

caused by an extreme weather event (e.g., hurricane) that floods the entire sewer system and 

are too numerous to count.

122.41(l)(4), (6), and (7) and 

122.41(m)(3).

3, 9. 

Sewer Overflow/Bypass Cause The one or more unique codes/descriptions that 

best represent the likely cause of the sewer 

overflow or bypass (e.g., broken pipe, fats/oil/

grease, mechanical failure, pump station electrical failure, wet weather, vandalism) for each 

Sewer Overflow/Bypass Identifier..

122.41(l)(4), (6), and (7) and 

122.41(m)(3).

3, 9 

Duration of Sewer Overflow/Bypass (hours) (Sewer Overflow/Bypass Event Report).Estimated duration of the sewer overflow or bypass (in hours) for each Sewer Overflow/Bypass Identifier. If the discharge has not been 

corrected, this is the best professional judgment 

from the sewer owner or in the case of a bypass, the treatment plant owner, of the time the 

sewer overflow or bypass is expected to continue. The POTW can leave this data element 

blank on the Sewer Overflow/Bypass Event Report if the sewer overflows are caused by an 

extreme weather event (e.g., hurricane) that 

floods the entire sewer system and are too numerous to count.

122.41(l)(4), (6), and (7) and 

122.41(m)(3).

3, 9. 

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64152 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Sewer Overflow/Bypass Discharge Volume (gallons) 

(Sewer Overflow/Bypass 

Event Report).

Best professional judgment from the sewer owner 

on the estimated number of gallons of sewer 

overflow or bypass for each Sewer Overflow/

Bypass Identifier. If the discharge has not been 

corrected, this is the best professional judgment 

from the sewer owner or in the case of a bypass, the treatment plant owner, of the volume 

of overflow or bypass prior to cessation. The 

POTW can leave this data element blank on 

the Sewer Overflow/Bypass Event Report if the 

sewer overflows are caused by an extreme 

weather event (e.g., hurricane) that floods the 

entire sewer system and are too numerous to 

count.

122.41(l)(4), (6), and (7) and 

122.41(m)(3).

3, 9. 

Receiving Waterbody Name for 

Unpermitted Feature (Sewer 

Overflow/Bypass Event Report).

This data element identifies the receiving 

waterbody name for each Sewer Overflow/Bypass Identifier that does not have a corresponding value in the ‘Permitted Feature 

Identifier (Permit)’ data element. This data element will use the best professional judgment of 

the sewer owner to identify the name of the 

waterbody that is or will likely receive the discharge from each Sewer Overflow/Bypass Identifier. The POTW can leave this data element 

blank on the Sewer Overflow/Bypass Event Report if the sewer overflows are caused by an 

extreme weather event (e.g., hurricane) that 

floods the entire sewer system and are too numerous to count.

122.41(l)(4), (6), and (7) ........ 3, 9. 

Wet Weather Occurrence for 

Sewer Overflow/Bypass Status.

The unique code (e.g., ‘‘Yes’’, ‘‘No’’) that represents the best professional judgment of the 

sewer owner, or in the case of a bypass, the 

treatment plant owner, regarding whether the 

sewer overflow or bypass, by Sewer Overflow/

Bypass Identifier, occurred during wet weather.

122.41(l)(4), (6), and (7) and 

122.41(m)(3).

3, 9. 

Corrective Actions Taken or 

Planned for Sewer Overflow/

Bypass (Sewer Overflow/Bypass Event Report).

The unique code/description that describes the 

steps taken or planned to reduce, eliminate, 

and prevent reoccurrence of future sewer overflows or bypasses for each Sewer Overflow/Bypass Identifier and the related impacts to health 

and the environment. This data element can be 

used to identify the portion of the sewer overflow or bypass that was contained and recovered prior to any discharge to waters of the 

U.S. This data element will also identify if any 

monitoring of the receiving waterbody was done 

during and/or after the sewer overflow or bypass to gauge the potential impact to health 

and the environment. The POTW can leave this 

data element blank on the Sewer Overflow/Bypass Event Report if the sewer overflows are 

caused by an extreme weather event (e.g., hurricane) that floods the entire sewer system and 

are too numerous to count.

122.41(l)(4), (6), and (7) and 

122.41(m)(3).

3, 9. 

Type of Potential Impact of 

Sewer Overflow/Bypass 

(Sewer Overflow/Bypass 

Event Report).

The unique code/description that describes the 

type of potential health or environmental impact(s) (e.g., beach closure) for each Sewer 

Overflow/Bypass Identifier. Under 40 CFR 

122.41(l)(6), ‘‘the permittee shall report any 

noncompliance which may endanger health or 

the environment.’’ This data element provides 

information regarding the nature of such potential endangerment. The POTW can leave this 

data element blank on the Sewer Overflow/Bypass Event Report if the sewer overflows are 

caused by an extreme weather event (e.g., hurricane) that floods the entire sewer system and 

are too numerous to count.

122.41(l)(4), (6), and (7) and 

122.41(m)(3).

3, 9. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64153 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Compliance Monitoring Activity Information (Data Elements Specific to CWA section 316(b) Annual Reports) 

[Note: Where the Director requires additional measures to protect Federally-listed threatened or endangered species or critical habitat pursuant 

to 40 CFR 125.94(g), the Director shall require reporting associated with those measures [see 40 CFR 125.97(g)]. The following data elements correspond to this reporting requirement. These data elements are only required for facilities that are required to report on their additional measures to protect Federally-listed threatened or endangered species or critical habitat.] 

CWA Section 316(b) Biological 

Monitoring—Species Name 

(Program Report).

For existing facilities, a listing of each Federallylisted threatened or endangered species (or relevant taxa) for all life stages that might be susceptible to impingement and entrainment at the 

facility’s cooling water intake structure(s). Specific monitoring protocols and frequency of 

monitoring will be determined by the Director.

125.96, 125.97(g), 125.98, 

125.138(b), 401.14 and 

CWA section 316(b).

10. 

CWA Section 316(b) Biological 

Monitoring—Species Number 

(Program Report).

For existing facilities, the number of each Federally-listed threatened or endangered species (or 

relevant taxa) that might be susceptible to impingement and entrainment at the facility’s cooling water intake structure(s). Specific monitoring protocols and frequency of monitoring will 

be determined by the Director.

125.96, 125.97(g), 125.98, 

125.138(b), 401.14 and 

CWA section 316(b).

10. 

CWA Section 316(b) Biological 

Monitoring—Threatened or 

Endangered Status (Program 

Report).

For existing facilities, a unique code/description 

that identifies for each Federally-listed threatened or endangered species (or relevant taxa) 

whether the species is threatened, endangered, 

or is an otherwise protected species that might 

be susceptible to impingement and entrainment 

at the facility’s cooling water intake structure(s). 

Specific monitoring protocols and frequency of 

monitoring will be determined by the Director.

125.96, 125.97(g), 125.98, 

125.138(b), 401.14 and 

CWA section 316(b).

10. 

CWA Section 316(b) Biological 

Monitoring—Species Impinged and Entrained (Program Report).

For existing facilities, the number of each Federally-listed threatened or endangered species (or 

relevant taxa) impinged and entrained per year 

by the facility’s cooling water intake structure(s). 

Specific monitoring protocols and frequency of 

monitoring will be determined by the Director.

125.96, 125.97(g), 125.98, 

125.138(b), 401.14 and 

CWA section 316(b).

10. 

CWA Section 316(b) Biological 

Monitoring—Applicable 

Measures to Protect Designated Critical Habitat (Program Report).

For existing facilities, a text summary of the 

measures taken by the permittee to protect 

designated critical habitat in the vicinity of impingement and entrainment at the facility’s cooling water intake structure(s).

125.96, 125.97(g), 125.98, 

125.138(b), 401.14 and 

CWA section 316(b).

10. 

Information Common to Violations, Enforcement Actions, and Final Orders 

[Note: Single Event Violation (SEV) data elements are mandatory for construction stormwater inspections that identify CWA violations that result in a regulatory authority taking a formal enforcement action. SEV data elements are optional for other construction stormwater inspections.] 

Violation Code .......................... The unique code/description that identifies each 

type of violation that has occurred at the facility 

(e.g., D80 = Required Monitoring DMR Value 

Non-Receipt, E90 = Effluent Violation, C20 = 

Schedule Event Achieved Late). This includes 

single event violations (SEVs) and violations 

that are system generated based upon DMRs, 

schedules, etc.

123.45 and CWA section 309 1. 

Violation Date ........................... This is the date of the violation, which varies depending on the type of violation. The date must 

be provided in YYYY–MM–DD format where 

YYYY is the year, MM is the month, and DD is 

the day. This data element may be system generated and does not apply to single event violation dates.

123.45 and CWA section 309 1. 

Violation Information 

Agency Identifying the Single 

Event Violation (SEV).

The unique code/description that identifies the 

agency that identified the single event violation 

(SEV).

123.26, 123.41(a), 123.45 ..... 1. 

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64154 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Single Event Violation Start 

Date.

The date the single event violation (SEV) began. 

If the SEV occurred on one date, this data element is optional as this date can be system 

generated to equal ‘‘Single Event Violation End 

Date’’ when left blank. The date must be provided in YYYY–MM–DD format where YYYY is 

the year, MM is the month, and DD is the day.

123.26, 123.41(a), 123.45 ..... 1. 

Single Event Violation End 

Date.

The date the single event violation (SEV) ended. 

This field will be left blank to denote an ongoing 

or unresolved SEV. The date must be provided 

in YYYY–MM–DD format where YYYY is the 

year, MM is the month, and DD is the day.

123.26, 123.41(a), 123.45 ..... 1. 

RNC Detection Code ............... The unique code/description that identifies the 

type of reportable noncompliance (RNC) detected by the regulatory authority.

123.26, 123.41(a), 123.45 ..... 1. 

RNC Detection Date ................ The date that reportable noncompliance (RNC) 

was detected. This date may vary according to 

the type of violation detected. The date must be 

provided in YYYY–MM–DD format where YYYY 

is the year, MM is the month, and DD is the 

day.

123.26, 123.41(a), 123.45 ..... 1. 

RNC Resolution Code .............. The unique code/description that identifies the reportable noncompliance (RNC) status (e.g., 

noncompliant, resolved pending, waiting resolution, resolved) for each violation. This data element can be entered manually or system generated.

123.26, 123.41(a), 123.45 ..... 1. 

RNC Resolution Date ............... The date reportable noncompliance (RNC) was 

marked to its current resolution status. This 

data element is entered manually. The date 

must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

123.26, 123.41(a), 123.45 ..... 1. 

Enforcement Action Information 

[Note: NPDES authorized programs will only need to share criminal action information with EPA when the criminal case is concluded.] 

Enforcement Action Identifier ... The unique identifier for each enforcement action. 

For EPA enforcement actions, this field will be 

have three components, each separated by a 

hyphen (e.g., 04–2014–4509). These three 

components are: (1) the EPA Region responsible for the enforcement action as identified by 

the EPA Region code (e.g., 04); (2) the fourdigit fiscal year during which the enforcement 

action is initiated (e.g., 2014); and (3) a fourdigit, user-assigned sequence number between 

0001 and 9999 (e.g., 4509). States will be able 

to use this same structure, or they will be able 

to use a different structure of their choosing 

provided that the first two characters of the 

identifier constitute the state code (e.g., Alabama = ‘‘AL’’).

123.27, 123.41(a), and CWA 

section 309.

1. 

Enforcement Action Forum ...... This identifies the forum of the formal enforcement action (e.g., administrative formal, judicial). This can be system generated.123.27, 123.41(a), and CWA 

section 309.

1. 

Enforcement Action Type ......... The unique code/description that identifies the 

type for each formal or informal enforcement 

action. This code/description identifies, for example, whether the enforcement action is a civil 

judicial referral, a notice of violation, an administrative penalty order, administrative order, or 

criminal prosecution.

123.27, 123.41(a), and CWA 

section 309.

1. 

Programs Violated (Enforcement Action).The unique code/description that identifies each 

program (e.g., pretreatment, biosolids/sewage 

sludge, MS4s, Core NPDES program) associated with each enforcement activity.

123.27, 123.41(a), and CWA 

section 309.

1. 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64155 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Enforcement Action Sub-activity Type.A unique code/description that identifies the type 

for each sub-activity associated with each enforcement activity (e.g., COMPS = compliance 

achieved, MECDJ = motion to enforce consent 

agreement, AHRG = administrative hearing, 

AMNCA = amended complaint). Some of these 

sub-activities are system required and some 

can be system generated. Data on sub-activities that are not milestones are optional.

123.27, 123.41(a), and CWA 

section 309.

1. 

Enforcement Action Sub-activity Completion Date.The date on which the sub-activity was completed. This data element is required for each 

sub-activity provided. The date must be provided in YYYY–MM–DD format where YYYY is 

the year, MM is the month, and DD is the day. 

Some of these dates can be system generated.

123.27, 123.41(a), and CWA 

section 309.

1. 

Final Order Information 

[Note: These data elements are linked to the ‘‘Enforcement Action Identifier’’. NPDES authorized programs will only need to share criminal action 

information with EPA when the criminal case is concluded.] 

Final Order Identifier ................ The unique identifier for each final order. This 

data element can be system generated.

123.27, 123.41(a), and CWA 

section 309.

1. 

Final Order Type ...................... A unique code that identifies the legal process 

used by the authorized NPDES program to settle the enforcement action (e.g., administrative 

compliance order, an administrative penalty 

order, consent decree, Federal facility agreement, criminal conviction or plea agreement).

123.27, 123.41(a), and CWA 

section 309.

1. 

Final Order Issued/Entered 

Date.

For a judicial enforcement action this is the date 

the Clerk of the Court stamps the document 

after it is signed by the presiding Judge. For an 

administrative formal enforcement action this is 

the date the Final Order was issued. For a 

criminal enforcement action, this is the date the 

sentence was imposed. The date must be provided in YYYY–MM–DD format where YYYY is 

the year, MM is the month, and DD is the day.

123.27, 123.41(a), and CWA 

section 309.

1. 

NPDES Closed Date ................ The date of closure for each NPDES final order. 

The date must be provided in YYYY–MM–DD 

format where YYYY is the year, MM is the 

month, and DD is the day.

123.27, 123.41(a), and CWA 

section 309.

1. 

Penalty Information 

[Note: These data elements are linked to the ‘‘Enforcement Action Identifier’’. NPDES authorized programs will only need to share criminal action information with EPA when the criminal case is concluded.] 

Penalty Amount Assessed ....... For civil judicial enforcement actions, the dollar 

amount of the penalty assessed against the defendant(s) as specified in the final entered Consent Decree or Court Order. For administrative 

enforcement actions, it is the dollar amount of 

the penalty assessed in the Consent Decree or 

Final Order. For criminal enforcement actions, it 

is the dollar amount of the fine agreed to by the 

defendant or sentenced by the Court and 

should include fields for prison time, probation, 

home confinement or monitoring periods, restitution, and special assessments.

123.27, 123.41(a), and CWA 

section 309.

1. 

Penalty Amount Collected ........ For civil judicial enforcement actions, the dollar 

amount of the penalty collected from the defendant(s). For administrative enforcement actions, it is the dollar amount collected of the 

penalty assessed in the Consent Decree or 

Final Order. For criminal enforcement actions, it 

is the dollar amount of the fine paid by the defendant as well as restitution and special assessments.

123.27, 123.41(a), and CWA 

section 309.

1. 

Supplemental Environmental 

Project Identifier.

The unique identifier for each supplemental environmental project. This data element can be 

system generated.

123.27, 123.41(a), and CWA 

section 309.

1. 

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64156 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued 

Data name Data description CWA, regulatory (40 CFR), or 

other citation 

NPDES data group No. 

(see Table 1) 

Supplemental Environmental 

Project Amount.

The assessed cost, in dollars, of the one or more 

of the defendant’s Supplemental Environmental 

Projects (SEPs). This is the dollar amount that 

is assessed either in addition to civil penalties 

or in lieu of civil penalties. This data element is 

only required if there is a SEP and may be entered at a later date when the data is available.

123.27, 123.41(a), and CWA 

section 309.

1. 

Supplemental Environmental 

Project Description.

This text field summarizes the Supplemental Environmental Projects (SEPs) that the respondent 

has completed in response to an enforcement 

action. This data element is only required if 

there is a SEP and may be entered at a later 

date when the data is available.

123.27, 123.41(a), and CWA 

section 309.

1. 

Compliance Schedule Information 

[Note: These data elements are linked to the ‘‘Enforcement Action Identifier’’.] 

Compliance Schedule Number This number that in combination with the Compliance Schedule Type and NPDES ID uniquely 

identifies a compliance schedule.

123.27, 123.41(a), and CWA 

section 309.

1. 

Compliance Schedule Type ..... The unique code/description that identifies the 

type of compliance schedule (e.g., an administrative formal action = ‘‘A’’, a judicial action = 

‘‘J’’).

123.27, 123.41(a), and CWA 

section 309.

1. 

Compliance Schedule Description.The unique code/description that identifies each 

type of condition or requirement (e.g., best 

management practices plan development) for 

the compliance schedule.

123.27, 123.41(a), and CWA 

section 309.

1. 

Compliance Schedule Event 

Code.

The unique code/description that identifies each 

event that is added within a compliance schedule.

123.27, 123.41(a), and CWA 

section 309.

1. 

Compliance Schedule Due 

Date.

The date the compliance schedule event is 

scheduled to be completed (i.e., the due date). 

The date must be provided in YYYY–MM–DD 

format where YYYY is the year, MM is the 

month, and DD is the day.

123.27, 123.41(a), and CWA 

section 309.

1. 

Compliance Schedule Actual 

Date.

The actual date on which the compliance schedule event was completed or achieved. The date 

must be provided in YYYY–MM–DD format 

where YYYY is the year, MM is the month, and 

DD is the day.

123.27, 123.41(a), and CWA 

section 309.

1. 

Compliance Schedule Report 

Received Date.

The date the regulatory agency received the report required by the compliance schedule report. The date must be provided in YYYY–MM– 

DD format where YYYY is the year, MM is the 

month, and DD is the day.

123.27, 123.41(a), and CWA 

section 309.

1. 

Notes: 

(1) The NPDES program authority may prepopulate these data elements and other data 

elements (e.g., Federal Registry System ID) in 

the NPDES electronic reporting systems in 

order to create efficiencies and 

standardization. For example, the NPDES 

program authority may configure their 

electronic reporting system to automatically 

generate NPDES IDs for control mechanisms 

for new facilities reported on a Pretreatment 

Program Report [40 CFR 403.12(i)]. 

Additionally, the NPDES program authority 

can decide whether to allow NPDES 

regulated entities to override these prepopulated data. 

(2) The data elements in this table conform 

to EPA’s policy regarding the application 

requirements for renewal or reissuance of 

NPDES permits for discharges from 

municipal separate storm sewer systems (see 

61 FR 41698; 6 August 1996). 

(3) The data elements in this table are also 

supported by the Office Management and 

Budget approved permit applications and 

forms for the NPDES program. 

(4) These data will allow EPA and the 

NPDES program authority to link facilities, 

compliance monitoring activities, 

compliance determinations, and enforcement 

actions. For example, these data will provide 

several ways to make the following linkages: 

linking violations to enforcement actions and 

final orders; linking single event violations 

and compliance monitoring activities; linking 

program reports to DMRs; linking program 

reports to compliance monitoring activities; 

and linking enforcement activities and 

compliance monitoring activities. 

PART 403—GENERAL 

PRETREATMENT REGULATIONS FOR 

EXISTING AND NEW SOURCES OF 

POLLUTION 

■ 24. The authority citation for part 403 

continues to read as follows: 

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

■ 25. Amend § 403.10 by adding 

paragraph (f)(2)(viii) to read as follows: 

§ 403.10 Development and submission of 

NPDES State pretreatment programs. 

* * * * * 

(f) * * * 

(2) * * * 

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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 64157 

(viii) Regularly notify all Control 

Authorities of electronic submission 

requirements of 40 CFR part 127. 

* * * * * 

■ 26. Amend § 403.12 by revising 

paragraphs (e)(1), (h), and (i) 

introductory text to read as follows: 

§ 403.12 Reporting requirements for 

POTW’s and industrial users. 

* * * * * 

(e) * * * 

(1) Any Industrial User subject to a 

categorical Pretreatment Standard 

(except a Non-Significant Categorical 

User as defined in § 403.3(v)(2)), after 

the compliance date of such 

Pretreatment Standard, or, in the case of 

a New Source, after commencement of 

the discharge into the POTW, shall 

submit to the Control Authority during 

the months of June and December, 

unless required more frequently in the 

Pretreatment Standard or by the Control 

Authority or the Approval Authority, a 

report indicating the nature and 

concentration of pollutants in the 

effluent which are limited by such 

categorical Pretreatment Standards. In 

addition, this report shall include a 

record of measured or estimated average 

and maximum daily flows for the 

reporting period for the Discharge 

reported in paragraph (b)(4) of this 

section except that the Control 

Authority may require more detailed 

reporting of flows. In cases where the 

Pretreatment Standard requires 

compliance with a Best Management 

Practice (or pollution prevention 

alternative), the User shall submit 

documentation required by the Control 

Authority or the Pretreatment Standard 

necessary to determine the compliance 

status of the User. At the discretion of 

the Control Authority and in 

consideration of such factors as local 

high or low flow rates, holidays, budget 

cycles, etc., the Control Authority may 

modify the months during which the 

above reports are to be submitted. For 

Industrial Users for which EPA or the 

authorized state, tribe, or territory is the 

Control Authority, as of December 21, 

2020 all reports submitted in 

compliance with this section must be 

submitted electronically by the 

industrial user to the Control Authority 

or initial recipient, as defined in 40 CFR 

127.2(b), in compliance with this 

section and 40 CFR part 3 (including, in 

all cases, subpart D to part 3), 40 CFR 

122.22, and 40 CFR part 127. Part 127 

is not intended to undo existing 

requirements for electronic reporting. 

Prior to this date, and independent of 

part 127, the Industrial Users for which 

EPA or the authorized state, tribe, or 

territory is the Control Authority may be 

required to report electronically if 

specified by a particular control 

mechanism or if required to do so by 

state law. 

* * * * * 

(h) Reporting requirements for 

Industrial Users not subject to 

categorical Pretreatment Standards. The 

Control Authority must require 

appropriate reporting from those 

Industrial Users with Discharges that are 

not subject to categorical Pretreatment 

Standards. Significant Non-categorical 

Industrial Users must submit to the 

Control Authority at least once every six 

months (on dates specified by the 

Control Authority) a description of the 

nature, concentration, and flow of the 

pollutants required to be reported by the 

Control Authority. In cases where a 

local limit requires compliance with a 

Best Management Practice or pollution 

prevention alternative, the User must 

submit documentation required by the 

Control Authority to determine the 

compliance status of the User. These 

reports must be based on sampling and 

analysis performed in the period 

covered by the report, and in 

accordance with the techniques 

described in part 136 of this chapter and 

amendments thereto. This sampling and 

analysis may be performed by the 

Control Authority in lieu of the 

significant non-categorical Industrial 

User. For Industrial Users for which 

EPA or the authorized state, tribe, or 

territory is the Control Authority, as of 

December 21, 2020 all reports submitted 

in compliance with this section must be 

submitted electronically by the 

industrial user to the Control Authority 

or initial recipient, as defined in 40 CFR 

127.2(b), in compliance with this 

section and 40 CFR part 3 (including, in 

all cases, subpart D to part 3), 40 CFR 

122.22, and 40 CFR part 127. Part 127 

is not intended to undo existing 

requirements for electronic reporting. 

Prior to this date, and independent of 

part 127, the Industrial Users for which 

EPA or the authorized state, tribe, or 

territory is the Control Authority may be 

required to report electronically if 

specified by a particular control 

mechanism or if required to do so by 

state law. 

(i) Annual POTW reports. POTWs 

with approved Pretreatment Programs 

shall provide the Approval Authority 

with a report that briefly describes the 

POTW’s program activities, including 

activities of all participating agencies, if 

more than one jurisdiction is involved 

in the local program. The report 

required by this section shall be 

submitted no later than one year after 

approval of the POTW’s Pretreatment 

Program, and at least annually 

thereafter, and must include, at a 

minimum, the applicable required data 

in appendix A to 40 CFR part 127. The 

report required by this section must also 

include a summary of changes to the 

POTW’s pretreatment program that have 

not been previously reported to the 

Approval Authority and any other 

relevant information requested by the 

Approval Authority. As of December 21, 

2020 all annual reports submitted in 

compliance with this section must be 

submitted electronically by the POTW 

Pretreatment Program to the Approval 

Authority or initial recipient, as defined 

in 40 CFR 127.2(b), in compliance with 

this section and 40 CFR part 3 

(including, in all cases, subpart D to part 

3), 40 CFR 122.22, and 40 CFR part 127. 

Part 127 is not intended to undo 

existing requirements for electronic 

reporting. Prior to this date, and 

independent of part 127, the Approval 

Authority may also require POTW 

Pretreatment Programs to electronically 

submit annual reports under this section 

if specified by a particular permit or if 

required to do so by state law. 

* * * * * 

PART 501—STATE SLUDGE 

MANAGEMENT PROGRAM 

REGULATIONS 

■ 27. The authority citation for part 501 

continues to read as follows: 

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

■ 28. Revise § 501.21 to read as follows: 

§ 501.21 Program reporting to EPA. 

As of December 21, 2020, state sludge 

management programs must comply 

with 40 CFR part 3 and 40 CFR part 127 

(including the applicable required data 

elements in appendix A to part 127). 

PART 503—STANDARDS FOR THE 

USE OR DISPOSAL OF SEWAGE 

SLUDGE 

■ 29. The authority citation for part 503 

continues to read as follows: 

Authority: Sections 405 (d) and (e) of the 

Clean Water Act, as amended by Pub. L. 95– 

217, sec. 54(d), 91 Stat. 1591 (33 U.S.C. 1345 

(d) and (e)); and Pub. L. 100–4, title IV, sec. 

406(a), (b), 101 Stat., 71, 72 (33 U.S.C. 1251 

et seq.). 

■ 30. Amend § 503.18 by revising 

paragraph (a) introductory text to read 

as follows: 

§ 503.18 Reporting. 

(a) Class I sludge management 

facilities, POTWs (as defined in § 501.2 

of this chapter) with a design flow rate 

equal to or greater than one million 

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64158 Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations 

gallons per day, and POTWs that serve 

10,000 people or more shall submit a 

report on February 19 of each year. As 

of December 21, 2016 all reports 

submitted in compliance with this 

section must be submitted electronically 

by the operator to EPA when the 

Regional Administrator is the Director 

in compliance with this section and 40 

CFR part 3 (including, in all cases, 

subpart D to part 3), 40 CFR 122.22, and 

40 CFR part 127. As of December 21, 

2020 all reports submitted in 

compliance with this section must be 

submitted electronically in compliance 

with this section and 40 CFR part 3 

(including, in all cases, subpart D to part 

3), 40 CFR 122.22, and 40 CFR part 127. 

Part 127 is not intended to undo 

existing requirements for electronic 

reporting. Prior to the start dates for 

electronic reporting (see Table 1 in 40 

CFR 127.16), the Director may also 

require operators to electronically 

submit annual reports under this section 

if required to do so by state law. 

* * * * * 

■ 31. Revise § 503.28 to read as follows: 

§ 503.28 Reporting. 

Class I sludge management facilities, 

POTWs (as defined in 40 CFR 501.2) 

with a design flow rate equal to or 

greater than one million gallons per day, 

and POTWs that serve 10,000 people or 

more shall submit a report on February 

19 of each year. As of December 21, 

2016 all reports submitted in 

compliance with this section must be 

submitted electronically by the operator 

to EPA when the Regional 

Administrator is the Director in 

compliance with this section and 40 

CFR part 3 (including, in all cases, 

subpart D to part 3), 40 CFR 122.22, and 

40 CFR part 127. As of December 21, 

2020 all reports submitted in 

compliance with this section must be 

submitted electronically in compliance 

with this section and 40 CFR part 3 

(including, in all cases, subpart D to part 

3), 40 CFR 122.22, and 40 CFR part 127. 

Part 127 is not intended to undo 

existing requirements for electronic 

reporting. Prior to the start dates for 

electronic reporting (see Table 1 in 40 

CFR 127.16), the Director may also 

require operators to electronically 

submit annual reports under this section 

if required to do so by state law. 

■ 32. Revise § 503.48 to read as follows: 

§ 503.48 Reporting. 

Class I sludge management facilities, 

POTWs (as defined in § 501.2 of this 

chapter) with a design flow rate equal to 

or greater than one million gallons per 

day, and POTWs that serve a population 

of 10,000 people or greater shall submit 

a report on February 19 of each year. As 

of December 21, 2016 all reports 

submitted in compliance with this 

section must be submitted electronically 

by the operator to EPA when the 

Regional Administrator is the Director 

in compliance with this section and 40 

CFR part 3 (including, in all cases, 

subpart D to part 3), 40 CFR 122.22, and 

40 CFR part 127. As of December 21, 

2020 all reports submitted in 

compliance with this section must be 

submitted electronically in compliance 

with this section and 40 CFR part 3 

(including, in all cases, subpart D to part 

3), 40 CFR 122.22, and 40 CFR part 127. 

Part 127 is not intended to undo 

existing requirements for electronic 

reporting. Prior to the start dates for 

electronic reporting (see Table 1 in 40 

CFR 127.16), the Director may also 

require operators to electronically 

submit annual reports under this section 

if required to do so by state law. 

[FR Doc. 2015–24954 Filed 10–21–15; 8:45 am] 

BILLING CODE 6560–50–P 

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