# ICIS-NPDES Policy Statement

DRAFT

U.S. Environmental Protection Agency

April 30, 2007

# ICIS-NPDES Policy Statement April 30, 2007 draft ii 

# ICIS-NPDES Policy Statement

Table of Contents Page

A. Introduction 1

B. Relationship of this ICIS-NPDES Polic y Statement to the PCS 3

Policy Statemen t (as revised since i ssuance in October 1985)

C. RIDE and Key Data Groupings 3

D. Efficient Options to Provide Data into ICIS-NPDES 5

E. ICIS-NPDES Data Entry Expectations 7

F. Data Entry Targets for National Consistency 10

G. Development and Implementation of Transition Plans 12

H. Additional Operational Activi ties 13

I. Policy Revision and Relationship to Other Policies 14

J. Appendices

1. RIDE by Data Area and Program Area

2a. Detailed RIDE Table for States, Territories, Tribes and Regions

2b. Additional Federal-only RIDE table for Regions

3. RIDE Data Entry Considerations by Program Area

3a. Revised EPA RIDE Data Entry Model

4. Key National Targets for Data in ICIS-NPDES

5. Template for a Transition Plan

6 Roles and Responsibilities

7. Definitions of Terms and Acronyms

a. Terms

b. Acronyms

# ICIS-NPDES Policy Statement April 30, 2007 draft 1 A. Introduction

The U.S. Environmental Protection Agency (EPA) has the primary responsibility

to ensure that the Clean Water Act’s (CWA ) National Pollutant Discharge Elimination

System (NPDES) program is effectively and consistently implemented across the

country. In order for EPA to manage th e NPDES national program, EPA needs ready

access to information on the facilities that are regulated by the NPDES program. Some

of EPA’s national NPDES information needs are described below:

• Timely access to facility-specific permit, discharge, compliance and

enforcement information in a nationally consistent format is critical for EPA

to 1) develop effective regulations, such as national effl uent guidelines for

specific industrial sectors, 2) identi fy non-compliance problems, trends, and

their associated environmental impacts on both an intra-stat e and inter-state

basis, and 3) develop effective nation al strategies for improving compliance

and environmental protection.

• EPA needs information to demonstrate results achieved by effectively using

resources to meet NPDES program goals, including the Government

Performance and Results Act (GPRA) meas ures reported to Congress. Under

this Act, EPA and other agencies are required to develop long-range Strategic

Plans, Annual Performance Plans with measures and targets, and Annual

Performance Reports describing how well targets are met. 1 

# OMB is now

linking Agency budgets, including funding fo r State grants, directly to each

program’s strategic plans and targets.

• EPA needs facility-specific data to inform the Program Assessment Rating

Tool (PART) process, which is now used to assess 20% of all Federal

programs each year. In combination, GP RA and PART require EPA to align

program activities to annual perfor mance plans, clar ify organizational

expected outcomes, manage outcomes ra ther than inputs and activities, and

design measurement systems that accurately track results. In the PART

process, OMB evaluates performa nce in program purpose and design,

strategic planning, program manage ment, and program results and

accountability. State and Federal funding le vels, including State grants, in the

President’s budget are now linked to PART and have been significantly

impacted by the PART rating.

1 

# Examples of GPRA measures for the NPDES program include tracking of schedules for combined sewer

overflow (CSO) long-term control plans; percent of permits that are current; percent of scheduled highpriority permits that are current; number of fac ilities covered by storm water permits for municipalities

(MS4s) and for construction; percent of concentrated animal feeding operations (CAFOs) covered by an

NPDES permit; percent of significant industrial user s (SIUs) in publicly-owned treatment works (POTWs)

with pretreatment programs that implement applicable pretreatment requirements; and percent of known

categorical industrial us ers in non-pretreatment POTWs that have control mechanisms that cover

pretreatment requirements.

# ICIS-NPDES Policy Statement April 30, 2007 draft 2 • EPA needs detailed information for its pr ogram oversight res ponsibilities. For

example, Permitting for Environmental Results (PER) was established to

analyze how the NPDES programs could improve integrity, efficiency, and

environmental results in the face of d eclining resources, increasing backlogs,

expansion of the NPDES program, and th ird-party petitions and lawsuits to

withdraw NPDES Programs. Another ex ample, the State Review Framework

process is used to ensure minimum national consistency in State NPDES

compliance and enforcement programs.

• EPA responds to frequent NPDES inqui ries from various Congressional

members, regarding certain facilities, companies, or activities that may be

national in scope, particularly in conjunction with oversight hearings,

requiring immediate access to multi-State, facility-specific data on particular

pollutant discharges.

In the past, EPA primarily obtained this information from the Permit Compliance

System (PCS). Since 1985, PCS served as th e official national information system used

for management of the NPDES program. Th e NPDES program has evolved considerably

since the creation of PCS. In recent year s, there has been an increasing realization,

confirmed by State water quality reports, that , in addition to traditional major sources,

smaller and/or non-traditional sources also cont ribute significantly to the pollution of our

nation's waters. These smaller and non-traditiona l sources include facilities in particular

program areas such as biosolids, concentrated animal feeding operations (CAFOs),

combined sewer systems (CSSs), separate sani tary sewer systems (SSSs), stormwater and

pretreatment.

The evolution of the NPDES program sin ce the inception of PCS has created an

increasing need to better reflect a more comp lete picture of the NPDES program and the

diverse universe of regulate d sources. PCS no longer meets the national needs of EPA to

manage the NPDES program and no longer meets the NPDES program needs of

individual States that use PCS to implem ent the NPDES program in their States.

During the past several years, EPA has work ed closely with its State partners in

an effort to modernize PCS as an NPDE S component of EPA’s existing Integrated

Compliance Information System (ICIS). To accurately reflect the NPDES program,

ICIS-NPDES was designed to include data a nd functionality for th e full breadth of the

NPDES program for a variety of pe rmit types and program areas.

This Policy Statement describes the e ssential information (defined as the

Requisite ICIS-NPDES Data Elements [RID E]) EPA needs nationally to effectively

manage the national NPDES program. Thes e RIDE and the information that they

represent are also essential to the indi vidual permitting authorities for effective

implementation and enforcement of the NPDES program.

# ICIS-NPDES Policy Statement April 30, 2007 draft 3 This ICIS-NPDES Policy Statement establishes ICIS-NPDES as the database of

record for the national NPDES program and s eeks to ensure that ICIS-NPDES contains

accurate, complete, consistent, and timely info rmation, in accordance with the Data Entry

Protocols specified in Section E.1. of this Policy Statement. Through implementation of

this Policy Statement, EPA can effectively manage the NPDES national program to

ensure that the human health and environmen tal protection goals of the CWA are met.

This Policy Statement does not substitute for any CWA statutory provisions or EPA

regulations and is intended as guidance pursuant to a pplicable regulations (e.g., 40

CFR§123.41(a)) .

B. Relationship of this ICIS-NPDES Policy Statement to the PCS Policy

Statement (as revised since issuance in October 1985)

The PCS Policy Statement (issued in October 1985 2 

# and later revised) remains the

Agency policy for use of PCS for those States , Territories and Tribes currently using or

transferring data into PCS. The States, Terri tories and Tribes curre ntly transferring data

into PCS should review this ICIS-NPDES Po licy Statement as certain steps should be

taken now for a successful tran sition from PCS to ICIS-NPDES . As set forth in Section

G, the transition plans for hybrid and non-di rect (batch) users of ICIS-NPDES are

intended to address this need for advance planning.

As a State, Territory or Tribe moves into ICIS-NPDES (whether as a direct user,

hybrid user or as a non-direct us er) and data is entered direct ly or is made available for

batch transfer into ICIS-NPDES, the data entry roles, activities and responsibilities of that

permitting authority are covered by this ICIS-NPDES Policy Statement. Water

Enforcement National Data Base (WENDB) is the minimum required data when using

PCS; Requisite ICIS-NPDES Data Elements (RIDE) have been identified as the

minimum data that should be available in ICIS-NPDES.

C. RIDE and Key Data Groupings

This Policy Statement designates the speci fic set of data elements that are

essential for EPA to effectively manage the national NPDES program. These data

elements are the Requisite ICIS-NPDES Data Elements or RIDE for ICIS-NPDES. EPA

has consulted with States and Regions extens ively in developing and refining RIDE. In

FY 2002, EPA and State staff and managers id entified the data need ed to successfully

implement and manage the NPDES program. Their recommendations were discussed by

the State and EPA members of the PCS Steer ing Committee, and subsequently adopted

2 

# As issued in 1985, the PCS Policy Statement specified that: 1) PCS would be the national data base of

record for the NPDES program; 2) the EPA Regions mu st use PCS directly; and 3) all NPDES authorized

States must either use PCS directly or develop and main tain an interface that transfers the State’s data to

PCS. The PCS Policy Statement further defined the minimum required data necessary to enable PCS to

function as a useful operational and management t ool for the NPDES program; in PCS, this list of

minimum required data was called WENDB.

# ICIS-NPDES Policy Statement April 30, 2007 draft 4 by the PCS Modernization Executiv e Council as the first draft of what later came to be

called RIDE.

EPA sought additional state input into RI DE and the development of this Policy

Statement by expanding the Steering Co mmittee to add representatives from the

Environmental Council of Stat es (ECOS) and the Associatio n of State and Interstate

Water Pollution Control Administrators (A SIWPCA). In 2006 and 2007, this Expanded

Steering Committee held three face-to-face meetings, conducted numerous conference

calls, and created several workgroups. Based on those efforts, EPA has made significant

reductions in the initial RIDE list and other re visions to reduce the data entry burden.

RIDE can be grouped into four main data areas and several data sub-areas, as

identified in Table 1 below.

Table 1: RIDE Overview by Data Areas

ICIS-NPDES

Data Area Sub-Areas Customary

Entry

Frequency Additional

Permit

Component

Information

Facility Basic Information, Contacts,

Addresses, Latitude, Longitude Once

(updated if

necessary) None

Permit Basic Information, Narrative

Condition, Permit Schedule, Permitted

Feature, Limit Once/

permit cycle

Inspections Once/ year

or less

Discharge Monitoring Reports

(DMRs) Once/

month/ limit Compliance

Monitoring

Violations As they

occur Biosolids,

CAFOs,

CSSs, SSSs,

Stormwater,

Pretreatment

Enforcement Basic Information, Milestones,

Sub-activities, Final Orders, Penalties,

Compliance Schedules As they

occur None

The data element organization shown in Ta ble 1 is reflected in Appendix 1, which

is a chart that identifies how many RIDE ar e associated with each data area. For

example, Appendix 1 indicates that there are 25 RIDE associated with facility data, 82

RIDE associated with permitting data, 125 RIDE associated with special program areas,

and 53 RIDE associated with compliance monitoring and enforcement.

# ICIS-NPDES Policy Statement April 30, 2007 draft 5 Appendix 1 also indicates that, of the 285 RIDE 3 

# to be entered or transferred into

ICIS-NPDES by permitting authorities, 43 are cond itional in that data entry or transfer is

only expected under rare circumstances or if another RIDE is entere d with a particular

code. An example of such a conditional RI DE would be “Animal: Other” in the CAFO

component sub-area of RIDE permit inform ation; this data element would only be

necessary if the entry of the RIDE “Anima l: Type” (also in the CAFO component subarea of permit information) was answered with something other than one of the animal

types listed in the “drop-down menu” of the data entry scr een in ICIS-NPDES.

A detailed list of all 285 RIDE, w ith columns providing information regarding

data element descriptions, equi valent data elements in PCS, permit types for which that

data element is needed, and comments is prov ided in Appendix 2a. Appendix 2a also

identifies each of the 43 conditional RIDE by means of shaded rows on the table.

For a specific facility, not all of the 285 RIDE are likely to apply. The number of

RIDE that will apply to a particular NPDES facility will vary based on facility-specific

factors, such as the type of permit(s), th e activities undertaken by the State, Territory,

Tribe or EPA at the facility (e.g., inspections , enforcement actions), and the particular

operations and processes engaged in by the faci lity in the particular program area (e.g.,

biosolids, CAFOs, CSSs, SSSs, stormwater a nd pretreatment). A ppendix 3 describes the

data entry considerations for various speci al program areas; Appendix 3a indicates the

estimated data entry resources for various program areas and permit types.

As Table 1 indicates, the frequency of da ta entry for RIDE will vary depending on

the type of data. Many data elements are en tered once (e.g., those asso ciated with facility

identification); permit specific information is usually entered only once every five years;

Discharge Monitoring Reports (DMRs) are generally entered monthly; inspection,

violations and enforcement data are entered onl y if or as those activities occur. Some

other data elements are system-generated for di rect users. In addition, in an effort to

reduce the resource burden of ICIS-NPDES startup, EPA is working with the individual

States, Territories or Tribes to ensure that existing facility, permit, compliance

monitoring and enforcement data is mi grated from PCS to ICIS-NPDES.

D. Efficient Options to Provide Data into ICIS-NPDES

ICIS-NPDES is a user-friendly system , providing desktop access, real-time data

and powerful reporting tools. ICIS-NPD ES utilizes new technology and promotes

integrated processing of information. Two efficient methods for States, Territories and

Tribes to provide EPA with RIDE are through:

3 

# An additional 27 RIDE are required for data en try into ICIS-NPDES by EPA Regions for Federal

activities (e.g., inspections, enforcement actions) and for non-authorized States, Territories and Tribes for

which the Region is manually entering RIDE. See Appendix 2b for a list of these additional Federal-only

RIDE.

# ICIS-NPDES Policy Statement April 30, 2007 draft 6 • direct data entry via user-friendly web interfaces, with point and click features

and drop down menus, including easy-to- use DMR data entry screens; and,

• batch transferring of data, using appr oved ICIS-NPDES XML schema, via the

Agency's Central Data Exchange (CDX) portal and the National Environmental

Information Exchange Network, and possi ble utilization of an electronic DMR

tool, such as NetDMR for facilities.

Data transfer to ICIS-NPDES is expected to be seamless and transparent. EPA

recognizes that some States, Territories or Tribes may use both methods of data entry,

depending on the type of data and their own needs. Because consistent and objective

compliance tracking is a central component of an effective and credible enforcement

program, States, Territories and Tribes are en couraged to use ICIS-N PDES directly as a

primary management system for their NPDES programs. (EPA Regions are required to

directly use IC IS-NPDES.)

However, because some States already ha ve their own NPDES databases and plan

to continue using them to manage the program, these States may batch transfer data to

ICIS-NPDES. EPA is working with non-direct-user (batch) States through an Integrated

Project Team (IPT) to develop, te st and implement the batch tran sfer of RIDE to

ICIS-NPDES. Batch transf er programs from States, Te rritories and Tribes should

conform to EPA Central Data Exchange pr ocedures and should use approved ICISNPDES XML schema formats.

EPA has provided grants to assist States in making the transition from PCS to

ICIS-NPDES. For example, during FY 2004- 2005, ICIS-NPDES was addressed in

13 Exchange Network grants to facilitate batc h information exchange from States that are

not direct users of ICIS-NPD ES. During that same period, EPA’s Office of Enforcement

and Compliance Assurance (OECA) also provided 21 grants totaling $3.57 million in

preparations at the State level to migrate data from PCS into ICIS-N PDES or to otherwise

transition into ICIS-NPDES.

The RIDE Data Entry Estimate Model developed in association with the

Expanded Steering Committee has estimated that over 90% of RIDE data entry resources

are associated with data entry of DMRs. To maximize efficiencies realized already by

some States, EPA encourages States, Territori es and Tribes to pur sue electronic reporting

of DMR data directly by permitted facilities . Electronic DMR submission (verification,

authentication, and authorizatio n) should be consistent with the Agency’s requirements

set forth in the Cross-Media Elec tronic Reporting Final Rule ( Federal Register

, October 13, 2005).

EPA is working with States to creat e a national tool (NetDMR) to support

electronic reporting of DMR data directly fr om facilities to the permitting authority, a

feature that will dramatically reduce the cost of entering DMR data into ICIS-NPDES as

well as into State information systems. El ectronic reporting of DMR data will increase

the quality and amount of DMR data availabl e, while leading to reduced manual data

# ICIS-NPDES Policy Statement April 30, 2007 draft 7 entry costs. This will improve implementa tion and management of the NPDES program

by increasing the available effluent data that states and EPA can use to identify and target

compliance and environmental problems. As many as 20 States are developing electronic

DMR reporting systems or have applied for EP A grants to develop such systems, and a

handful of States have already implemente d online electronic DM R reporting tools.

E. ICIS-NPDES Data Entry Expectations

1. Data Entry Protocols

Once a State, Territory, Tribe or EPA begins using ICIS-NPDES, they are expected to

follow data entry, timeliness and quality protocols that govern EPA data. EPA may

assess these protocols on a regul ar basis. In summary, all da ta entered or batched into

ICIS-NPDES should be:

• Timely : Data for a State, Territory or Tribe should be entered or batched into

ICIS-NPDES within 30 days of the ev ent/action. For EPA Regions, data for

inspections, single event violations, and enforcement actions should be entered

into ICIS-NPDES within 14 days; Regions should enter permit limits, permit limit

sets, DMRs and other RIDE into ICIS-NPDES within 30 days of receipt. Timely

data is critical because ICIS-NPDES provides “real time” data for use and

analysis. In addition, some of this data is accessible to the public through ECHO

and Envirofacts.

• Accurate: The design of ICIS-NPDES, with “drop-down” menu lists, standard

Oracle data validation checks, data sta ndards and ICIS-NPDES XML schema will

greatly reduce data entry errors. RIDE da ta should be identical with that reported

on the DMR, permit or other input document.

• Complete: Reporting of RIDE ensures that al l necessary information is available

for the purposes of program management, overs ight and reporting. This

ICIS-NPDES Policy Statement establishe s an overall goal of at least 98%

completeness for data entry and, in the appendices to this document, describes

other targets related to data completene ss during the transition period (such as

interim national data targets for DMR data entry for non-major facilities).

• Consistent: Data needs to be comparable for use in national and interstate

watershed analyses and the ICIS-NPDES system design incor porates the Agency

Data Standards requirements to provi de consistent standards for reporting

. To

ensure national consistenc y, batch transfer programs from States and Tribes

should conform to EPA Central Data Exchange procedures and should use

approved ICIS-NPDES XML schema formats.

# ICIS-NPDES Policy Statement April 30, 2007 draft 8 2. “Prospective” Entry/Availa bility of Non-WENDB Data

For those RIDE that were not WENDB data elements in PCS, data

entry/availability of RIDE in ICIS-NPDES sh ould be “prospective” in nature. That is,

the RIDE data entry or transfer into ICIS-N PDES for these particular elements should be

completed from some date forward (in accordance with approved transition plans, as

described in Sections F and G) without a need to enter old data. One caveat to this rule

occurs in the case of new enforcement actions addressing violations that are not already

in the system; EPA expects violation (and any relevant inspection) information associated

with these actions to be entered into IC IS-NPDES with the enforcement actions.

3. Few Data Entry Distinctions between Majors and Non-Majors

In PCS, some WENDB data elements appl y to every facility regardless of its

permit type; other WENDB data elements in PCS apply just to major facilities. However,

in ICIS-NPDES, unlike PCS, few distinctions in data entry expecta tions for RIDE have

been made between major facilities and non- major facilities. Ex ceptions include the

“phased-in” data entry of DMRs, associated limits, and limit sets for non-majors (as

described above), and distinctions for some program areas, as described below and in

Appendix 3, which provides a brief synopsis for each program area.

4. Appropriate Linkages in ICIS-NPDES

Appropriate linkages between the data for compliance monitoring, violations and

enforcement items should be entered into ICIS-NPDES. For example, an inspection

should be linked to all violations identified during the inspection, which in turn should be

linked to any resulting enforcement action, pena lty or compliance schedule. In addition,

the information for an unpermitted facility which subsequently becomes a permittee

could be linked in ICIS-NPDES.

5. Violation Tracking

The automatic tracking function in ICIS -NPDES for DMR non-receipt and other

violations (e.g., compliance schedule ) will be “turned on” for both majors and

non-majors. For non-major permits, this can be “turned off” during the transition period

(described in Section G) and turned back on as DMR entry begins fo r those facilities, but

no later than the final expected data entry date listed in that State's or Tribe’s transition

plan (also described in Section F). This w ill allow EPA, States and Tribes to obtain the

full benefit of automatic tracking of these violations and makes effective use of the

resources allocated to data collection and da ta entry. In addition, such tracking may be

# ICIS-NPDES Policy Statement April 30, 2007 draft 9 very beneficial to automate NPDES reporting requirements such as the Annual

Non-Compliance Report for NPDES Non- Majors required by 40 CFR §123.45 (c).

6. Significant Industrial Users in Non-Pretreatment Cities

RIDE data on specific Significant Industria l Users (SIUs) are only expected in

ICIS-NPDES if the pretreatment control authority is EPA, th e State, the Territory, or the

Tribal permitting authority, rather than a m unicipal treatment facility implementing an

approved local pretreatment program. Howeve r, States, Territories, Tribes and Regions

could use ICIS-NPDES to track a dditional SIUs, if so inclined.

7. Stormwater Construction Sites

For the large universe of stormwater cons truction sites, RIDE should be entered

or transferred into ICIS-NPDES for States, Territories and Tribes if the State, Territory or

Tribe issues the facility (w hether Phase I or Phase II) a formal enforcement action, an

administrative penalty order, or an informal enforcement action (but only if the informal

enforcement action addresses significant non-compliance [SNC] 4 

# under that construction

site permit). In such circumstances, RIDE should be entered or transferred into

ICIS-NPDES for the facility information a nd permit information for that site (if not

already available in ICIS-N PDES), the enforcement action, penalty or compliance

schedule, and all inspections a nd associated identified viola tions which precipitated that

enforcement action. As indicated in Appe ndix 4, these enforcemen t actions, inspections,

and all other RIDE for stormwater constr uction sites should begin to entered or

transferred into ICIS-NPDES as they occu r effective August 1, 2007, or within four

months after migration to ICIS-NPDES. For a ll other stormwater cons truction sites, data

from DMRs, associated limits and limit se ts need not be entered into ICIS-NPDES.

For EPA Regions, RIDE for all stormwater construction inspections performed by

the Regions and all resulting enforcement ac tions by the Regions are expected to be

entered into ICIS-NPDES and linked appropriate ly. In order to enter RIDE data into

ICIS-NPDES, the facility information and permit information for that site will have to be

entered into ICIS-NPDES by the Region (if such information is not already available in

ICIS-NPDES).

8. Satellite Collection Systems to Separa te Sanitary Sewer Systems (SSSs); Other

Unpermitted Facilities

The ICIS 2.0 Users Guide (Permits section) states that: "Unperm itted facilities are

records established in ICIS to allow for tracking of activities (e.g., inspections and

4 

# Significant non-compliance (SNC) for stormwater construction sites and which informal enforcement

actions will address such SNC will be defined in the wet weather SNC guidance, currently under

development by EPA.

# ICIS-NPDES Policy Statement April 30, 2007 draft 10 enforcement actions) that are associated with facilities that do not have [NPDES] permits.

They may not contain narrative cond itions, schedules, or limits."

RIDE data entry is not expected for t hose portions of a State program that are

"broader in scope" than the approved NPDE S program (under 33 U.S.C. § 1342(b)). In

general (except for SIUs in non-pretreatment cities), RIDE data are expected to be

entered into ICIS-NPDES for unpe rmitted facilities only if the facility has been issued a

formal enforcement action, an administrative pe nalty order, or an informal enforcement

action (but only if the informal enforcemen t action addresses signi ficant non-compliance,

or if the facility should have a NPDES permit. In such situations, the facility RIDE and

permit RIDE (if any) should be entered into ICIS-NPDES before the compliance

monitoring, violation and enforcement inform ation can be entere d and appropriately

linked.

For example, for SSS satellite systems, RIDE should be entered if the SSS

satellite system receives a formal enforcemen t action, an administrative penalty order, or

an informal enforcement action (but only if the informal enforcement action addresses the

SSS significant non-compliance [SNC] 5 

# ). In such circumstances, RIDE should be

entered for the facility information and permit information (if any) for that site, the

enforcement action, penalty or compliance sche dule, and all inspections and identified

violations which precipitated that enforcement action.

F. Data Entry Targets for National Consistency

EPA expects that there will be a transiti on period (described in Section G) as

States become acclimated to ICIS-NPDES as a new information system. In addition,

EPA recognizes that non-direct-us er States, Territories and Tribes may need to take steps

to adjust their own information systems to include all RIDE and then map to the

appropriate ICIS-NPDES XML schema so that data from their data systems will transfer

to ICIS-NPDES; such adjustments and mappi ng also should be addressed in transition

plans. EPA will rely on ICIS-N PDES for direct user States , Tribes and Regions and will

continue to rely on PCS information for non- direct-user States, Territories and Tribes

until they have migrated to ICIS-NPDES. PCS will be shut down once all States,

Territories and Tribes have b een migrated to ICIS-NPDES.

NPDES-authorized States, Territories or Tribes have the flexibility within the

transition plan to identify a specific prioritizat ion scheme for RIDE da ta entry or transfer

by specific dates. Although NPDES-authori zed States, Territories or Tribes have

flexibility in the specifics of the transition plan, there are several national data targets

which should also be incorporated into the transition plan. These national targets, set

forth in Appendix 4, are intended to provide national consistency so that EPA can begin

to use ICIS-NPDES for national anal ysis for certain data sets.

5 

# Significant non-compliance (SNC) for SSSs and whic h informal enforcement actions will address such

SNC will be defined in the wet weather SNC gui dance, currently under development by EPA.

# ICIS-NPDES Policy Statement April 30, 2007 draft 11 EPA has set national data targets base d on permit type, program area and data

family. These national targets are based on an approach similar to that developed by the

Matrix Priority Workgroup, a s ubgroup of the Expanded Steeri ng Committee, in June to

August 2006. These national target dates appl y to all States, Territories, Tribes and

Regions, whether direct, hybrid or non-direct (batch) user s of ICIS-NPDES, with the

provision that the dates may be extended as n ecessary up to four months after a State,

Territory, Tribe or Region mi grates to ICIS-NPDES.

1. Ensure ICIS-NPDES data entry or tran sfer of those RIDE for which WENDB

equivalents existed in PCS

Existing WENDB elements are expected to be up-to-date when the permitting

authority begins RIDE data entry or transf er into ICIS-NPDES. States, Territories,

Tribes and Regions scheduled to migrate to ICIS-NPDES are encouraged to ensure that

all WENDB data is complete and accurate in PCS before data migration occurs.

Therefore, data entry or transfer into ICIS-NPDES for those RIDE for which WENDB

equivalents existed in PCS is expected to be available in ICIS-NPD ES very early in the

transition period.

2. Entry of Non-DMR Compliance Monitoring, Violations and Enforcement as They

Occur

With the exception of certain stormwater construction sites as discussed in

Section E.8., data associat ed with non-DMR compliance monitoring (e.g., inspections),

single event violations, enforcement actions, penalties, and complia nce schedules are to

be entered or otherwise made available into ICIS-NPDES as those events occur, and in

accordance with the Data Entry Protocols (d escribed in Section E.1.). Appropriate

linkages should be made within ICIS-NPDES, as described in Section E.5. If there is

compliance monitoring or en forcement activity at a f acility without corresponding

Facility or Permit Data in ICIS-NPDES, th en that Facility and/or Permit information

should be entered into ICIS-N PDES in order for compliance and enforcement events to

be properly entered into the system. As indicated in Appendix 4, enforcement actions,

inspections and violations are expected to be entered or transfe rred into ICIS-NPDES

prospectively after August 1, 2007, or within four months after migration to

ICIS-NPDES.

3. Phase-In of Limits and DMRs for Non-Majors

States, Territories, Tribes and EPA Regi ons may “phase-in” the data entry of

DMRs (and associated limits and limit sets) for non-majors. Under this phase-in, the data

entry or transmission of DMRs (also limits and limit sets) to ICIS-NPDES for non-majors

should be prioritized to focus initially on those non-majors lo cated in priority watersheds

(impaired watersheds). Appendix 4 descri bes the national targets for DMR entry and

# ICIS-NPDES Policy Statement April 30, 2007 draft 12 availability in ICIS-NPDES for non-majors. These national data targets for DMR data

entry and transfer for non-major facilities are based on the concept that the permitting

authority may prioritize certain non-major facilities for DMR data entry, with DMR

RIDE for the other non-majors awaiting the availability of NetDMR. For the first few

years of implementation of this policy statement, EPA Headqu arters will annually assist

each State, Tribe and Region by providing a list of non-major facilities located in priority

watersheds; this list could then be used fo r determining priorities for DMR (as well as

other RIDE) data entry into ICIS-NPDES.

4. Permit Data Not Yet Collected

If there is permit RIDE data that a State or Tribe currently does not collect or have

in its existing permit or permit application, availability of th ese particular data elements

in ICIS-NPDES may be delaye d until reissuance of the pe rmit. For example, if a

particular permit does not yet require the meta data associated with latitude and longitude

for pipe locations, those particular RIDE for that permittee may be delayed until

reissuance of the permit. All individual non-stormwater NPDES permits are issued on a

five-year cycle; therefore, all permit RIDE should be complete within five years of

issuance of this Policy Statement.

G. Development and Implementa tion of Transition Plans

Each NPDES-authorized State, Territor y, Tribe or EPA Region should develop a

transition plan which describes how and when RIDE da ta entry or transfer to

ICIS-NPDES will occur (note: da ta transfer is not available to EPA Regions other than in

the data migration from PCS to ICIS-NPDES). This transi tion plan should include an

implementation schedule designed to result in RIDE data entry or transfer into

ICIS-NPDES by the end of the transition peri od. The transition period applies primarily

to those RIDE without WENDB equivalents in PCS.

The approach taken to ensure such data entry or transfer in to ICIS-NPDES may

vary to some degree by State, Territory, Tr ibe or Region depending on the current status

and projected availability of the data and resources. States, Territories, Tribes and

Regions are encouraged to work with the existing RIDE Data Entry Estimate Model

when developing their ICIS-NPDES transiti on plan to quantify and assess the resource

implications for data entry of sp ecific data types or program areas.

The national ICIS-NPDES data targets ar e described in Appendix 4. A template

of a transition plan is included as Appendix 5.

The schedule for submission of such recommended transition plans will vary

based upon the type of ICIS-NPDES user (i.e., direct users, hybrid users and non-direct

users) (see Appendix 4). H ybrid and non-direct (batch) us ers have been given four

additional months to understand the ICIS-NPDES XML schemas as part of the process of

# ICIS-NPDES Policy Statement April 30, 2007 draft 13 developing their transition pl ans. The transition plan and milestone schedule for

NPDES-authorized States and Tribes will be reviewed and approved by EPA Regions at

the Division Director level (Enforcement a nd Water) within three months of submission

of that plan by the State or Tribe to EPA. Similarly, transition plans and milestone

schedules for non-authorized States, Territo ries and Tribes will be developed by EPA

Regions, with review and approval by EP A Headquarters within three months of

Regional submission. These activities are included in the ICIS-NPDES roles and

responsibilities table in Appendix 6.

EPA Regions should seek to incorporat e the activities a nd schedule in the

approved transition plan into subsequent State-EPA or Tribe-EPA management

agreements, performance partnership gran ts (PPGs) or performance partnership

agreements (PPAs), when these agreements ar e due for renewal, throughout the transition

period. At the end of the transition peri od, when States and Tribes have fully

implemented RIDE entry, the State-EPA or Tribe-EPA management agreement, PPG or

PPA should be modified, when these agreements are due for renewal, to reflect the need

for continued timely, accurate and complete entry and availability of RIDE data.

H. Additional Operati onal Activities

To ensure a smooth and effective operation of ICIS-NPDES, permitting

authorities should undertake a variety of a dditional activities, including those listed

below:

1. Participate in ICIS-NPDES Governance: A governance structure with

Headquarters, Regional, and State repr esentatives will be formed for making

decisions regarding ICIS Release 2.0 a nd subsequent releases. The governance

structure will institute a standard comm unication and decision-making process for

system enhancements and system issues.

2. Establish and Maintain Roles and Responsibilities: Defining and maintaining

clear roles, responsibilities and activities is essential to managing a decentralized

national data base such as ICIS-NPDES. Appendix 6 identifies these roles and

responsibilities for States, Territories , Tribes, EPA Regions, and for various

offices at EPA Headquarters.

3. Monitor Data Quality: As the data is migrated to the new system and as users

become familiar with ICIS -NPDES, permitting authorities should pay particular

attention to reviewing data reports and results to ensure that the data is entered

correctly and reporting is accurate and tim ely. As ICIS-NPDES problems arise,

they should be reported to user suppor t; user support, in turn, will elevate

problems to the governance stru cture as appropriate.

As described earlier in this document, timely, accurate, complete and consistent

reporting is the foundation for effective program management and reliable public

access to data; therefore, data quality w ill remain an area of focus for ICIS-

# ICIS-NPDES Policy Statement April 30, 2007 draft 14 NPDES implementation. As States and Tribes move beyond transitioning into

ICIS-NPDES and the system becomes the established national NPDES data base

of record, careful attention should be pa id by all parties to data quality, with

procedures and checklists in place to ensure that RIDE data is entered within set

timelines and is entered completely and accurately.

I. Policy Revision and Relationship to Other Policies

The NPDES program will continue to e volve. States and EPA will need to work

together to ensure that program guidance re flects program and policy changes. As new

guidance documents are developed or as existing guidance is modified, close

coordination between these documents and IC IS-NPDES will be needed to determine

whether and how ICIS-NPDES can support th ese changes. For example, EPA is

currently working with States on finalizing various guidance documents and policies that

may be useful to the NPDES-authorized ag encies; such guidance documents and policies

include the wet weather SNC guidance docum ent, the Compliance Monitoring Strategy,

the ICIS-NPDES Data Element Dictionary, and the Single Event Violation Data Entry

Guide. Changes needed to ICIS-NPDES to accommodate new regulations, guidance

documents, or policy will be directed to the established ICIS-NPDES governance

structure.

EPA expects to review on a periodic basi s (of approximately five years) how well

this ICIS-NPDES Policy Statement is m eeting the business needs of the NPDES

program. EPA anticipates that the first such review will occur two to three years after

issuance of this Policy Statement to assess the success of the transition plans and the

experience of working with the batch transfer process.April 30, 2007 DRAFTBiosolidsBiosolidsCAFOsCAFOsCSO/SSOsCSO/SSOsPretreatmentPretreatmentStorm WaterStorm WaterAPPENDIX 1:RIDE by Data Area and Program AreaCore Data Requirements# of DataElementsFacility 25Permitting 82Compliance Monitoring 33Enforcement 20Total 160(incl. 22 conditional)Core Data Requirements# of DataElementsFacility 25Permitting 82Compliance Monitoring 33Enforcement 20Total 160(incl. 22 conditional)17Additional 125 Special Regulatory ElementsTotal RIDE Elements = 285(including 43 conditional) 

# NOTE: 123 RIDE elements are system - required49(incl. 7 conditional)33(incl. 2 conditional)719(incl. 12 conditional)APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityFacility Basic InfoFacility Type ofOwnershipTYPOThe code/ description identifying the type of facility (e.g.,State Government, Municipal or Water Distric, FederalFacility). This data element is used by the system topopulate the Permit Facility Type data element (i.e.,POTW, Non-POTW, Federal).No Yes Yes YesFacility Basic Info Facility Site Name RNAMThe name of the facility.Yes Yes Yes YesFacility Basic Info Address RST1The address of the physical facility location.Yes Yes Yes YesFacility Basic Info City RCTYThe name of the city, town, village, or other locality, whenidentifiable, within whose boundaries (the majority of) thefacility site is located. This is not always the same as thecity used for USPS mail delivery.Yes Yes Yes YesFacility Basic Info State RSTTThe USPS abbreviation that represents the state or stateequivalent for the US and Canada.Yes Yes Yes YesFacility Basic Info Zip Code RZIPThe combination of the 5-digit Zone Improvement Plan(ZIP) code and the 4-digit extension code (if available) thatrepresents the geographic segment that is a sub unit of theZIP Code assigned by the U.S. Postal Service to ageographic location.Yes Yes Yes YesFacility Basic Info Tribal Land HQ01The Bureau of Indian Affairs code for every unit of landwithin Indian Country.No Yes Yes YesNote: Highlighted rows indicate RIDE that are conditionally-required and only need to be entered under certain circumstances, as described in the "Sytem-Required" column and the "Comment" column. Some of these fields are only required based on thepresence/ absence of another RIDE; others only need to be entered rarely.RIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaFACILITY DATA ELEMENTS1. This column provides the PCS acronyms that correspond to each RIDE element. If blank, there is no known equivalent. Also,the PCS acronyms represent WENDB elements required in PCS, unless otherwise noted.3. From the ICIS 2.0 Users Guide (Permits section): "Unpermitted facilities are records established in ICIS to allow for tracking of activities (e.g., inspections and enforcement actions) that are associated with facilities that do not have [NPDES] permits. Theymay not contain narrative conditions, schedules, or limits." Data entry requirements do not apply to those portions of a Stateprogram that are "broader in scope" than the approved NPDES program (under 33 U.S.C. § 1342(b)). Except for SIUs in nonpreatreatment cities, the facility, compliance monitoring, and enforcement data for unpermitted facilities is only RIDE if there has been a formal enforcement action, an administrative penalty order or an informal enforcement action that addressed SNC.ForSIUs in non-pretreatment cities, RIDE is expected. Examples of unpermitted facilities include SSS satellite systems and AFOs that, after inspection, are determined to be CAFOs requiring a NPDES permit.2. From the ICIS-NPDES Detailed Design Document (page 4-2): “Data elements are marked as system required when entry of the dataelement is required by ICIS-NPDES in order for a user to add a particular record into the system... If [system-]required dataelements are not entered, ICIS-NPDES will reject the transaction."CommentArea Data Element NamePermit Type in ICIS-NPDES2a-1APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESFacility Lat/Long Longitude FLONThe measure of the angular distance on a meridian east orwest of the prime meridian for a Facility Interest. Enteredin either Decimal Degrees or in Degrees Minutes Seconds;stored in decimal degrees.No Yes Yes Yesexcept for Storm Water -construction permitsFacility Lat/Long Latitude FLATThe measure of the angular distance on a meridian north orsouth of the equator for a Facility Interest. Entered ineither Decimal Degrees or in Degrees Minutes Seconds;stored in decimal degrees.No Yes Yes Yesexcept for Storm Water -construction permitsFacility Lat/LongFacility Source MapScale NumberFLLSThe number that represents the proportional distance on theground for one unit of measure on the map or photo.No Yes Yes Yesexcept for Storm Water -construction permitsFacility Lat/LongHorizontal AccuracyMeasureFLLCThe measure of the accuracy (in meters) of the latitude andlongitude coordinates.No Yes Yes Yesexcept for Storm Water -construction permitsFacility Lat/LongHorizontal CollectionMethodFLLMThe text that describes the method used to determine thelatitude and longitude coordinates for a point on the earth.No Yes Yes Yesexcept for Storm Water -construction permitsFacility Lat/LongHorizontal ReferenceDatumFLLTThe code/ description that represents the reference datumused in determining latitude and longitude coordinates.No Yes Yes Yesexcept for Storm Water -construction permitsFacility Lat/Long Reference Point FLLDThe code/ description for the place for which geographiccoordinates were established.No Yes Yes Yesexcept for Storm Water -construction permitsFacilityNon-GovContactsAffiliation TypeThe way that the contact is affiliated with the Facility (e.g.,Owner)No Yes Yes YesOnly for Affiliation Type"Owner", "Main Contact", and"Operator"FacilityNon-GovContactsFirst NameThe given name of an individual.No Yes Yes YesOnly for Affiliation Type"Owner", "Main Contact", and"Operator"FacilityNon-GovContactsLast NameThe surname of an individual.No Yes Yes YesOnly for Affiliation Type"Owner", "Main Contact", and"Operator"FacilityNon-GovContactsIndividual TitleThe title held by a person in an organization.No Yes Yes YesOnly for Affiliation Type"Owner", "Main Contact", and"Operator"FacilityNon-GovContactsOrganization MNAM, ONAMThe legal, formal name of an organization that is affiliatedwith the facility site.No Yes Yes YesOnly for Affiliation Type"Owner", "Main Contact", and"Operator"FacilityNon-GovAddressStreet Address MST1, OST1The address that describes the physical location of abuilding or event, including urban-style street address orrural address.No Yes Yes YesOnly for Affiliation Type"Owner", "Mailing", and"Integrator" (only for CAFOs)2a-2APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESFacilityNon-GovAddressAffiliation TypeThe way that the contact or address is affiliated with theFacility (e.g., Owner)No Yes Yes YesOnly for Affiliation Type"Owner", "Mailing", and"Integrator" (only for CAFOs)FacilityNon-GovAddressOrganization FormalNameMNAM, ONAMThe legal, formal name of an organization that is affiliatedwith the facility site.No Yes Yes YesOnly for Affiliation Type"Owner", "Mailing", and"Integrator" (only for CAFOs)FacilityNon-GovAddressCity MCTY, OCTYThe name of the city in which the address exists.No Yes Yes YesOnly for Affiliation Type"Owner", "Mailing", and"Integrator" (only for CAFOs)FacilityNon-GovAddressState MSTT, OSTTThe U.S. Postal Service abbreviation that represents thestate or state equivalent for the U.S.No Yes Yes YesOnly for Affiliation Type"Owner", "Mailing", and"Integrator" (only for CAFOs)FacilityNon-GovAddressZip Code MZIP, OZIPThe combination of the 5-digit Zone Improvement Plan(ZIP) code and the 4-digit extension code (if available) thatrepresents the geographic segment that is a sub unit of theZIP Code assigned by the U.S. Postal Service to ageographic location.No Yes Yes YesOnly for Affiliation Type"Owner", "Mailing", and"Integrator" (only for CAFOs)Permit Basic Info NPDES ID NPIDThis is the NPDES permit number.Yes Yes Yes YesPermit Basic InfoMaster General PermitNumberNPIDThe unique identifier of the master general permit which islinked to a General Permit Covered Facility.Yes, when addinga General PermitCovered Facilitypermit.YesOnly when adding a GeneralPermit Covered Facilitypermit.Permit Basic Info Permit Type PTYPThe unique code/ description identifying the type of permit.Yes Yes Yes YesPermit Basic Info Issue DatePTEV, PTAC(PERD)This is the date the permit was issued.Not for newpermits, but forcompliancetracking orreissuanceYes Yes YesPermit Basic Info Effective DatePTEV, PTAC(PEFD)This is the date on which the permit is effective.Not for newpermits, but forcompliancetracking orreissuanceYes Yes YesPERMIT DATA ELEMENTS2a-3APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESPermit Basic Info Expiration DatePTEV, PTAC(PERE)This is the date the permit will expire.Not for newpermits, but forcompliancetracking orreissuanceYes Yes YesPermit Basic Info Termination Date IADTThis is the date the permit was terminated.No Yes Yes YesPermit Basic InfoMajor/Minor RatingCodeMRATThis is the numeric total of ranking points assigned to nonPOTW facilities and used to delineate them as a major orminor facility. The numeric value entered for this dataelement comes from the total score assigned to the facilityon the NPDES Permit Ranking Work Sheet.No Yes YesPermit Basic Info Total App. Design Flow FLOWThis is the flow that a permitted facility was designed toaccommodate, in MGD.No Yes YesPermit Basic InfoTotal App. Actual Avg.FlowFLOWThis is the actual flow that a permitted facilityaccomodated based on the application, in MGD.No Yes YesThe flow that a permitted facilityactually had at the time ofapplication.Permit Basic InfoCompleteApplication/NOIReceived DatePTEV (P2099)(not WENDB),PTACThis is the date on which the complete application for aNPDES permit was received.No Yes YesEither complete date or receiveddata must be entered because thiselement is tied to "Permit status".Permit Basic InfoApplication/NOIReceived DatePTEV, PTAC(APRD)This is the date on which the application for a NPDESpermit was received.No Yes YesEither complete date or receiveddata must be entered because thiselement is tied to "Permit status".Permit Basic Info Permit StatusThis is a code/ description that indicates whether the permitis Effective, Expired, Administratively Continued, Pending,Not Needed, Retired, or Terminated.Yes Yes Yes YesEffective, Expired,Administratively Continued,Pending, Retired are systemgenerated based on Permit dates.Not Needed and Terminated aremanually entered.Permit Basic InfoGeneral PermitIndustrial CategoryGPCTThis code/ description that identifies the industrial categoryof a general permit.Yes YesPermit Basic InfoIssuing OrganizationTypeEPSTThis is the type of organization issuing or granting a permit.Yes Yes Yes YesPermit Basic Info DMR Non-ReceiptTurns Non-Receipt tracking on/off for Minors. Always onfor Majors. Defaulted initially to On.Yes Yes YesSystem-generated to "yes" for allpermits. Change to "no" forminors must be manually entered.Permit Basic Info RNCTurns RNC tracking on/off for Minors. Always on forMajors. Defaulted initially to On.Yes Yes YesSystem-generated to "yes" for allpermits. Change to "no" forminors must be manually entered.Permit Basic InfoApplicable EffluentLimit GuidelineCFRCThe effluent guideline that applies to the permit.No Yes Yes Yes2a-4APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESPermit Basic InfoCompliance TrackingStatusIACCThis is a code/ description that indicates whether the permitis currently on or off for compliance tracking purposes.Initially system-generated to match effective date.Yes Yes YesPermit Basic InfoCompliance TrackingStatus Start DateIADTThis is the date on which the permit’s on or off period forcompliance tracking status began. Initially system-generated to match effective date.Yes Yes YesPermit Basic Info RNC Status Quarter CYMS, PYMSThe quarter of the Permit RNC status.No Yes YesSystem-generated for web users;RIDE for batch users.Permit Basic Info RNC Status Year CYMS, PYMSThe year of the Permit RNC status.No Yes YesSystem-generated for web users;RIDE for batch users.Permit Basic Info RNC Status (Manual) CYMS, PYMSThe status of reportable noncompliance as it was enteredby the user before the official QNCR for the RNC quarterfor the permit.No Yes YesPermit Basic Info SIC Codes SIC2The four digit Standard Industrial Classification (SIC)code/ description that represents the economic activity of acompany.No Yes Yes Yes YesPermit Basic InfoAssociated NPDESPermitSLIDThis is the NPDES number of the associated permits.No Yes YesPermit Basic Info NAICS CodesThe six digit code/ description that represents a subdivisionof an industry that accomodates user needs in the US.No Yes Yes Yes YesPermit Permittee Street Address RST1The address that describes the physical location of thepermittee.Yes Yes YesPermit PermitteeOrganization FormalNameNAM1The legal, formal name of an organization that is affiliatedwith the facility site.Yes Yes YesPermit Permittee Zip Code RZIPThe combination of the 5-digit Zone Improvement Plan(ZIP) code and the 4-digit extension code (if available) thatrepresents the geographic segment that is a sub unit of theZIP Code assigned by the U.S. Postal Service to ageographic location.Yes Yes YesPermit Permittee City RCTYThe name of the city, town, or village where the mail isdelivered.Yes Yes Yes2a-5APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESPermit Permittee State RSTTThe U.S. Postal Service abbreviation that represents thestate or state equivalent for the U.S.Yes Yes YesPermit BiosolidsAnnual Dry SludgeProductionSLPVThe amount of sludge a facility produces in DMT/year on adry weight basis.No Yes Yeswith Biosolids permit componentPermit BiosolidsAmount EQ ProductDistribute andMarketedThe amount (dry metric tons) of EQ product distributed.No Yes Yeswith Biosolids permit componentPermit Biosolids Amount Land AppliedThe amount (dry metric tons) of biosolids land applied.No Yes Yeswith Biosolids permit componentand permitted feature type ofland application sitePermit Biosolids Amount IncineratedThe amount (dry metric tons) of biosolids incinerated.No Yes Yeswith Biosolids permit componentand permitted feature type ofincineratorPermit BiosolidsAmount Codisposed inan MSW LandfillThe amount of dry metric tons co-disposed in a MSWlandfill.No Yes Yeswith Biosolids permit componentand permitted feature type of co-disposal sitePermit BiosolidsAmount SurfaceDisposalThe amount (dry metric tons) of biosolids used for surfacedisposal.No Yes Yeswith Biosolids permit componentand permitted feature type ofsurface disposal sitePermit BiosolidsAmount ManagedOther MethodsThe amount (dry metric tons) of biosolids managed usingmethods not previously described.No Yes Yeswith Biosolids permit componentPermit BiosolidsBiosolids End UseDisposal TypeSLDGThis is the code identifying the type of end use disposal.No Yes Yeswith Biosolids permit componentPermit CAFO Designation ReasonIf the facility was designated, indicate the reason thefacility was designated, such as the amount of wastereaching waters, location, slope, rainfall, etc.Yes, if "yes" isentered for "Is theAnimal Facility aCAFO?" and"small" is enteredfor CAFOclassificationYes Yeswith CAFO Permit ComponentPermit CAFOCAFO DesignationDateIf the facility received a permit as a result of beingdesignated, indicate the date on which the facility isdesignated as a CAFO.No Yes Yeswith CAFO Permit ComponentPermit CAFOSolid Manure or LitterGeneratedThe total amount of manure in tons generated annually bythe facility.No Yes Yeswith CAFO Permit ComponentPermit CAFOSolid Manure or LitterTransferredThe number of tons of manure or litter produced by theCAFO that will be transferred to other persons.No Yes Yeswith CAFO Permit ComponentPermit CAFOLiquid Manure orWastewater GeneratedThe total amount of manure in gallons generated annuallyby the facility.No Yes Yeswith CAFO Permit ComponentPermit CAFOLiquid Manure orWastewater TransferredThe total amount of manure in gallons produced by theCAFO that will be transferred to other persons.No Yes Yeswith CAFO Permit Component2a-6APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESPermit CAFO NMP Developed DateThe date that an NMP was developed by the facility.No Yes Yeswith CAFO Permit ComponentPermit CAFO CAFO ClassificationThe unique code/ description that identifies the how thefacility was classified for a "Concentrated Animal FeedingOperation?" Options are Large, Medium and Small(Designation).No Yes Yeswith CAFO Permit ComponentPermit CAFO Animal: TypeThe unique code/ description that identifies the operation’sapplicable animal sector(s).Yes Yes Yeswith CAFO Permit ComponentPermit CAFO Animal: OtherThe free-form text field to describe the operation'sapplicable animal sector if Other is selected for AnimalType Code.No Yes Yeswith CAFO Permit Component.Required only if "other" isselected under "animal type".Permit CAFO Total NumberThe total number of each type of livestock at the facility.No Yes Yeswith CAFO Permit ComponentPermit CAFO Containment: TypeThe unique code/ description for the type of containmentused by the operation.Yes Yes Yeswith CAFO Permit ComponentPermit CAFOContainment: TotalCapacityThe total capacity, in gallons, of the containment structure.No Yes Yeswith CAFO Permit ComponentPermit CAFO Containment: OtherThe free-form text field to describe the type of containmentif Other is selected for Containment Type Code.No Yes Yeswith CAFO Permit Component.Required only if "other" isselected under "containmenttype".Permit CAFO Storage: TypeThe unique code/ description that describes the type ofstorage used by the CAFO.Yes Yes Yeswith CAFO Permit Component.Required only if "other" isselected under "storage type".Permit CAFO Storage: OtherThe free-form text field to describe the type of storage usedby the operation if the Other code is selected for storagetype code attribute.No Yes Yeswith CAFO Permit ComponentPermit CAFO Days of StorageThis is how many days of storage there were for eachstorage type selected.No Yes Yeswith CAFO Permit ComponentPermit CAFOStorage Total CapacityMeasureThis is the total capacity, in tons or gallons, of the storagestructure.No Yes Yeswith CAFO Permit ComponentPermit Storm Water State Water Body Name RWAT?This identifies the name(s) of the receiving water intowhich the storm water flows directly.No Yes Yeswith Storm Water PermitComponentPermitStorm Water -ConstructionNOT Terminate DateThis is the date on which the facility’’s coverage wasterminated.One data elementmust be enteredin this section tosave the recordYeswith a Storm Water -Construction Permit ComponentPermitStorm Water -ConstructionEntire Project SizeThis code describes the plan size of the project (<1 acre, 1-5 acres, or >5 acres).At least 1 elementis required to savethis componentYes Yeswith a Storm Water -Construction Permit ComponentPermitStorm Water -IndustrialNOT Terminate DateThis is the date on which the coverage was terminated.No Yeswith Storm Water - non-construction components2a-7APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESPermitStorm Water -IndustrialNo ExposureAuthorized DateThis is the date on which the No Exposure Waiver wasauthorized.No Yeswith Storm Water - non-construction componentsPermitStorm Water -MS4MS4 Permit ClassThis is the code/ description that identifies the regulatorybasis for MS4 permit (small/medium/large)Yes Yes Yeswith Stom Water-MS4 PermitComponentPermitStorm Water -MS4Receiving MS4 NameThis is the name of the receiving MS4(s).No Yes Yeswith Stom Water-MS4 PermitComponentPermit CSO CSS Population ServedThis is the population served by the combined sewersystem (individuals or households).Yes Yeswith CSO Permit ComponentPermit CSOPercent of CollectionSystem CombinedThis is the percentage of the total collection system that iscombined.Yes Yeswith CSO Permit ComponentPermit CSOName of CSS SatelliteCollection SystemThis is the name of each satellite collection systemproviding flow to the permittee.No Yes Yeswith CSO Permit ComponentPermit CSOPermit ID of CSSSatellite CollectionSystemThis is the permit ID of each satellite collection systemproviding flow to the permittee.No Yes Yeswith CSO Permit ComponentPermit PretreatmentPretreatment ProgramRequired IndicatorPRETThe code/ description indicating if the permittedmunicipality is required to develop a pretreatment program.Yes Yeswith POTW and PretreatmentPermit ComponentPermit PretreatmentPretreatment ProgramApproved DateThe date the pretreatment program is approved.Yes, ifPretreatmentProgramRequiredIndicator is"Approved".Yeswith POTW and PretreatmentPermit ComponentPermit PretreatmentControl AuthorityNPDES IDCAIDThe permit ID of the POTW's or IU's control authority.Yes, ifPRetreatmentProgramRequiredIndicator is"Covered".Yeswith POTW and PretreatmentPermit ComponentPermit POTWSSCS PopulationServedThis is the population served by the sanitary sewercollection system (individuals or households). This dataelement applies to all POTWs.Yes Yes Yeswith POTW Permit Component2a-8APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESPermit POTW Length of SSCSThis is the number of miles of pipe in the sanitary sewercollection system.Yes Yes Yeswith POTW Permit ComponentNarr. Cond/PermitScheduleNarr.Cond/ScheduleDescriptionThe unique code/ description that identifies the type ofnarrative condition.Yes Yes Yes YesNarr. Cond/PermitScheduleNarr.Cond/ScheduleNarrative ConditionNumberCSCH, VCSN,EVSNThis identifies a narrative condition and its elementsuniquely for a permit.Yes Yes Yes YesSystem-generated for web users;RIDE for batch users.Narr. Cond/PermitScheduleEvent Schedule Date DTSC, CVDTThe date on which a schedule event is due to be completedand against which compliance will be measured.Yes Yes Yes YesNarr. Cond/PermitScheduleEvent Actual Date DTACThe date on which the permittee achieved the scheduleevent.No Yes YesNarr. Cond/PermitScheduleEvent Report Received Date DTRCThe date on which the regulatory authority receives a report(generally a letter) from the permittee indicating that aSchedule Event was completed (e.g., Start Construction) orthe required report was enclosed.No Yes YesNarr. Cond/PermitScheduleEvent EventEVNT, CVEV,EVEVThe code/ description indicating the particular event withwhich the permittee is scheduled to comply.Yes Yes Yes YesPermitted Feature Basic InfoApplication DesignFlow (MGD)The flow that a permitted feature was designed toaccommodate, in MGD.No Yes YesPermitted Feature Basic InfoApplication ActualAverage Flow (MGD)The flow that a permitted feature actually had at the time ofapplication, in MGD.No Yes YesPermitted Feature Basic Info Permitted Feature ID DSCH, PLDSThe identifier assigned for each location at whichconditions are being applied.Yes Yes Yessame as belowPermitted Feature Basic InfoMaster GeneralCategory IDDSCHThe identifier assigned for each location at whichconditions are being applied.Yes Yessame as abovePermitted Feature Basic Info Type OUTTThe code/ description indicating the type of permittedfeature (e.g. External Outfall, Sum).Yes Yes Yes YesPermitted Feature Lat/Long Latitude PLATThe measure of the angular distance on a meridian north orsouth of the equator for a Permitted Feature; stored indecimal degrees.No Yes Yesexcept for permits with StormWater - construction permittedfeaturesPermitted Feature Lat/Long Longitude PLONThe measure of the angular distance on a meridian east orwest of the prime meridian for a Permitted Feature; storedin decimal degrees.No Yes Yesexcept for permits with StormWater - construction permittedfeaturesPermitted FeatureNarrative Conditions/ Permit Schedules2a-9APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESPermitted Feature Lat/LongHorizontal AccuracyMeasurePLLCThe measure of the accuracy (in meters) of the latitude andlongitude coordinates.No Yes Yesexcept for permits with StormWater - construction permittedfeaturesPermitted Feature Lat/Long Reference Point PLLDThe code/ description for the place for which geographiccoordinates were established.No Yes Yesexcept for permits with StormWater - construction permittedfeaturesPermitted Feature Lat/LongSource Map ScaleNumberPLLSThe number that represents the proportional distance on theground for one unit of measure on the map or photo.No Yes Yesexcept for permits with StormWater - construction permittedfeaturesPermitted Feature Lat/LongHorizontal CollectionMethodPLLMThe code/ description that represents the method used todetermine the latitude and longitude coordinates for a pointon the earth.No Yes Yesexcept for permits with StormWater - construction permittedfeaturesPermitted Feature Lat/LongHorizontal ReferenceDatumPLLTThe code/ description that represents the reference datumused in determining latitude and longitude coordinates.No Yes Yesexcept for permits with StormWater - construction permittedfeaturesLimit Set Basic Info Limit Set Designator DRID, PLRDThe alphanumeric field that is used to designate a particulargrouping of parameters within a limit set.Yes Yes Yes YesLimit Set Basic Info TypeThe unique code/ description identifying the type of limitset (i.e. Scheduled, Unscheduled).Yes Yes Yes YesSystem-generated for web users;RIDE for batch users.Limit Set Basic InfoDefault MonthsLimit Set AppliesALLPThe default months that the limit set applies. Defaults to all12 months.Yes Yes Yes YesLimit Set Basic Info Initial Monitoring Date STRPThe date on which monitoring starts for the first monitoringperiod for the limit set; this date will be blank forUnscheduled Limit Sets.Yes, except forunscheduled limitsetsYes YesLimit Set Basic Info Initial DMR Due Date STSS, STSUThe date that the first DMR for the limit set is due to theregulatory authority; this date will be blank forUnscheduled Limit Sets.Yes, except forunscheduled limitsetsYes YesLimit Set Basic Info Number of Report Units NRPUThe number of months in the monitoring periods for theDMRs for the limit set (e.g., monthly = 1, semi-annually =6, quarterly = 3).Yes Yes YesLimit Set2a-10APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESLimit Set Basic InfoNumber of SubmissionUnitsNSUS, NSUNThe attribute stores the number of months for submittingthe DMRs for the limit set (e.g., monthly = 1, semiannually = 6, quarterly = 3); this data element will be blankfor Unscheduled Limit Sets.Yes, except forunscheduled limitsetsYes YesLimit Set Basic InfoCompliance TrackingStatus Start DatePIDTThe date that the Limit Set Status started.Yes Yes YesLimit Set Basic Info Status PIACThe status of the Limit Set (i.e., Active or Inactive); LimitSets will not have violations generated when a Limit Set isInactive unless an Enforcement Action Limit is present.Yes Yes YesDefaults to activeLimit Basic Info Monitoring Location MLOCThe code/ description of the monitoring location at whichsampling should occur for a limit parameter.Yes Yes Yes YesLimit Basic Info Season Number SEAN, ESEAIndicates the season of a limit and is used to enter differentseasonal limits for the same parameter within a single limitstart and end date.Yes Yes Yes YesLimit Basic Info Start DateELSD, FLSD,ILSD, MLSDThe date on which a limit starts being in effect for aparticular parameter in a limit set.Yes Yes Yes YesLimit Basic Info End DateELED, FLED,ILED, MLEDThe date on which a limit stops being in effect for aparticular parameter in a limit set.Yes Yes Yes YesLimit Basic InfoChange of Limit StatusIndicatorCOLSThe code/ description that describes circumstancesaffecting limits, such as formal enforcement actions orpermit modifications.No Yes Yes YesSystem-generated for batchusers; RIDE for web users.Limit Basic Info Stay Type CONPThe unique identifier of the type of stay applied to a limit(e.g., X, Y, Z), which indicates whether the limits do notappear on the DMR at all, are treated as monitor only, orhave a stay value in effect during the period of the stay.Yes Yes YesLimit Basic Info Stay Start DatePTEV (P7099),PTACThe date on which a limit stay begins.Yes, if Stay Typeis enteredYes YesLimit Basic Info Stay End DateThe date on which a limit stay is lifted.No Yes YesLimit2a-11APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESLimit Basic Info Reason for StayThe text that represents the reason a stay was applied to alimit.Yes, if Stay Typeis enteredYes YesLimit Basic Info Stay Limit ValueMCMX,MCAV,MCMN,MQMX, MQAVThe numeric limit value imposed during the period of thestay for the limit; if entered, during the stay period, thesystem will use this limit value for calculating compliancerather than the actual limit value.Yes, when StayType is "Z".Yes YesLimit Basic Info Limit Type OUTTThe code that indicates whether a limit is an enforceable oran alert limit (e.g., action level, benchmark) that does notreceive effluent violations.Yes Yes YesThis defaults to an enforceablelimit. The user can optionallychange it to an alert limit.Limit Basic Info Enforcement Action IDThe unique identifier for the Enforcement Action thatimposed the Enforcement Action limit; this data elementhelps tie the limit record to the Final Order record in thedatabase.Yes Yes YesOnly RIDE if the limit is an EALimit.Limit Basic Info Final Order ID PLFNThe unique identifier for the Final Order that imposed theEnforcement Action limit; this data element ties the limitrecord to the Final Order record in the database.Yes Yes YesOnly RIDE if the limit is an EALimit.Limit Basic InfoEligible for BurdenReductionThe indication of whether a limit parameter is eligible formonitoring burden reduction.Yes Yes YesDefaults to "no".Limit Basic InfoModification EffectiveDatePTEV, PTAC(PMDD)The effective date of the permit modification that createdthis limit.Yes Yes Yes YesLimit Basic Info Modification TypeThe type of permit modification that created this limit (e.g.major, minor, permit authorized change).Yes Yes Yes YesLimit Basic Info Parameter PRAMThe unique code/ description identifying the parameterbeing limited and/or monitored.Yes Yes Yes YesLimit Basic Info MonthsALLS (notWENDB)The months that the limit applies. Defaults to limit setmonths.Yes Yes Yes YesLimit Basic Info Value TypeLCMX, LCMN,LCAV, LQMX,LQAVThe indication of the limit value type (e.g., Quantity 1,Concentration 2).Yes Yes Yes YesSystem-generated for web users;RIDE for batch users.Limit Basic InfoQuantity Units /Concentration UnitsLCUC, LQUCThe code/ description representing the unit of measureapplicable to quantity or concentration limits as entered bythe user.No, except tosave limit value.Yes Yes Yes2a-12APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESLimit Basic Info Statistical Base CodeLCXS, LCAS,LCMS, LQXS,LQASThe code/ description representing the unit of measureapplicable to the limit and DMR values entered by the user(e.g., 30-day average, daily maximum) CHECK DATASTANDARD.No, except tosave limit value.Yes Yes YesLimit Basic InfoOptional MonitoringFlagLCMX/ LCMN/LCAV/ LQMX/LQAV(OPMON)The flag allowing users to indicate that monitoring isoptional but not required (i.e., effluent violation generationwill be suppressed for optional columns).Yes Yes Yes YesDefaults to "no".Limit Basic Info QualifierThe unique code identifying the limit value operator (e.g.<= ,<, ).Yes Yes Yes YesIt defaults to "=".Limit Basic Info ValueLCMX, LCMN,LCAV, LQMX,LQAVThe actual limit value number from the Permit orEnforcement Action Final Order.No Yes Yes YesComplianceMonitoring ActivityBasic InfoCompliance MonitoringActivity Actual EndDateDTIN, DTIAThe actual date on which the Compliance MonitoringActivity ended.Yes, if there is noplanned end dateYes Yes YesRIDE if Planned End Date notenteredComplianceMonitoring ActivityBasic InfoCompliance MonitoringActivity Planned EndDateSIDT (notWENDB)The planned date for the Compliance Monitoring Activityto end.Yes, if there is noactual end dateYes Yes YesRIDE if Actual End Date notenteredComplianceMonitoring ActivityBasic Info StateThe US Postal Service abbreviation that represents thatstate or state equivalent for the U.S.Yes Yes Yes YesStates only - prepopulated basedon user profileComplianceMonitoring ActivityBasic InfoCompliance ActivityTypeThe unique code/ description that identifies a type ofcompliance event or enforcement action.Yes Yes Yes YesSystem-generated for batchusers; RIDE for web users.ComplianceMonitoring ActivityBasic InfoCompliance MonitoringTypeTYPIThe code/ description indicating the type of compliancemonitoring activity taken by a regulatory Agency.Yes Yes Yes YesComplianceMonitoring ActivityBasic InfoBio-MonitoringInspection MethodThe unique code that identifies the type of biomonitoringinspection method. This data element supplements theCompliance Monitoring Category and ComplianceMonitoring Type Inspection Type recorded for allinspections.Yes, if "biomonitoring" isentered asComplianceMonitoring TypeYes Yes YesComplianceMonitoring ActivityBasic InfoCompliance MonitoringCategoryTYPIThe unique code/ description identifying the compliancemonitoring or inspection category code/ description.Yes Yes Yes YesSystem-generated for batchusers; RIDE for web users.ComplianceMonitoring ActivityBasic InfoCompliance MonitoringAction ReasonThe unique code that identifies the purpose of an activity.Yes Yes Yes YesCOMPLIANCE MONITORING DATAE2a-13APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESComplianceMonitoring ActivityBasic InfoWas this a State,Federal or Joint(State/Federal)Inspection?INSPThe flag indicating if the inspection is a joint inspection offederal and state.No Yes Yes YesComplianceMonitoring ActivityBasic InfoCompliance MonitoringAgency TypeINSPWhether it's an EPA or State InspectionYes Yes Yes YesComplianceMonitoring ActivityBasic Info Law Sections Violated TYPIThe unique identifier for the Section(s) of law violated andcited in the activity.No Yes Yes YesComplianceMonitoring ActivityCAFO Designation ReasonIf the facility was designated, indicate the reason thefacility was designated, such as the amount of wastereaching waters, location, slope, rainfall, etc.Yes, if "yes" isentered for "Is theAnimal Facility aCAFO?" and"small" is enteredfor CAFOclassificationYes Yeswith CAFO Permit ComponentComplianceMonitoring ActivityCAFO Animal: TypeThe unique code/ description that identifies the operation’’sapplicable animal sector(s).No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFOAnimal: Other (Pleasespecify)The free-form text field to describe the CAFO's applicableanimal sector if Other is selected for Animal Type.No Yes Yeswith CAFO Permit Component.Required only if "other" isselected under "animal type".ComplianceMonitoring ActivityCAFO Animal: Total NumberThe total number of each type of livestock at the facility.No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFO Containment: TypeThe unique code/ description for the type of containmentused by the operation.No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFOContainment: TotalCapacityThe total capacity, in gallons, of the containment structure.No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFO Containment: OtherThe free-form text field to describe the type of containmentif Other is selected for Containment Type.No Yes Yeswith CAFO Permit Component.Required only if "other" isselected under "containmenttype".ComplianceMonitoring ActivityCAFO CAFO ClassificationThe unique code/ description that identifies the how thefacility was classified for a "Concentrated Animal FeedingOperation?" Options are Large, Medium and Small(Designation).No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFOCAFO DesignationDateThe date on which the facility is designated as aConcentrated Animal Feeding Operation (CAFO).No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFOSolid Manure or LitterGeneratedThe total amount of manure in tons generated annually bythe facility.No Yes Yeswith CAFO permit component2a-14APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESComplianceMonitoring ActivityCAFOSolid Manure or LitterTransferredThe number of tons of manure or litter produced by theCAFO that will be transferred to other persons.No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFOLiquid Manure orWastewater GeneratedThe total amount of manure in gallons generated annuallyby the facility.No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFOLiquid Manure orWastewater TransferredThe number of gallons of manure or litter produced by theCAFO that will be transferred to other persons.No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFO NMP Developed DateThe date that an NMP was developed by the facility.No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFONMP Last UpdatedDateThe date that the NMP was last updated by the facility.No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFOIs the Animal FacilityType a CAFO?The flag to indicate if the facility is classified as a CAFO ornot.No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFO Storage: TypeThe unique code/ description that describes the type ofstorage used by the operation.No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFO Storage: OtherThe free-form text field to describe the type of storage usedby the operation if the Other code is selected for storagetype code attribute.No Yes Yeswith CAFO Permit Component.Required only if "other" isselected under "storage type".ComplianceMonitoring ActivityCAFO Days of StorageThe number of days of storage there were for each storagetype selected.No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCAFOStorage Total CapacityMeasureThe total capacity, in tons or gallons, of the storagestructure.No Yes Yeswith CAFO permit componentComplianceMonitoring ActivityCSOPermitted FeatureIdentifierThe unique identifier for the permitted feature numberentered by the user for the CSO.Yes, if CSOOverflow LocationStreet Address orLat/long info is notenteredYes Yes Yeswith Law Section for CSOComplianceMonitoring ActivityCSO Location Street AddressThe street address location of the overflow.Yes, if PermittedFeature Identifier orLat/long info is notenteredYes Yes Yeswith Law Section for CSOComplianceMonitoring ActivityCSO LongitudeThe measure of the angular distance on a meridian east orwest of the prime. Entered in either Decimal Degrees or inDegrees Minutes Seconds; stored in decimal degrees.Yes, if CSOOverflow LocationStreet Address orPermitted FeatureIdentifier is notenteredYes Yes Yeswith Law Section for CSO2a-15APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESComplianceMonitoring ActivityCSO LatitudeThe measure of the angular distance on a meridian north orsouth of the equator. Entered in either Decimal Degrees orin Degrees Minutes Seconds; stored in decimal degrees.Yes, if CSOOverflow LocationStreet Address orPermitted FeatureIdentifier is notenteredYes Yes Yeswith Law Section for CSOComplianceMonitoring ActivityCSOCSO Overflow EventDateThe date of the actual CSO overflow event.Yes Yes Yes Yeswith Law Section for CSOComplianceMonitoring ActivityPretreatment SIUs SIUSThe total number of SIUs.Yes, if anycompliancemonitoring SIUinformation isentered.Yeswith Law Section for "CWA301/307 - Effluent LimitationsNPDES Toxic & PretreatmentEffluent..."ComplianceMonitoring ActivityPretreatmentSIUs Without ControlMechanismNOCMThe number of SIUs for which a current controlmechanism is required but not yet issuedor has expired, asobserved during the program audit or PCI.No Yeswith Law Section for "CWA301/307 - Effluent LimitationsNPDES Toxic & PretreatmentEffluent..."ComplianceMonitoring ActivityPretreatment SIUs Not Inspected NOINThe number of SIUs not inspected within the reportingyear, as observed during the program audit or PCI.No Yeswith Law Section for "CWA301/307 - Effluent LimitationsNPDES Toxic & PretreatmentEffluent..."ComplianceMonitoring ActivityPretreatment SIUs Not Sampled NINFThe number of SIUs not sampled within the reporting year,as observed during the program audit or PCI.No Yeswith Law Section for "CWA301/307 - Effluent LimitationsNPDES Toxic & PretreatmentEffluent..."ComplianceMonitoring ActivityPretreatmentSIUs in SNC withPretreatment StandardsSNPS (notWENDB),PSNCThe significant industrial users in SNC with pretreatmentstandards within the reporting year, observed during theprogram audit or PCI.No Yeswith Law Section for "CWA301/307 - Effluent LimitationsNPDES Toxic & PretreatmentEffluent..."ComplianceMonitoring ActivityPretreatmentSIUs in SNC withReportingRequirementsRSNC (notWENDB),PSNCThe significant industrial users in SNC with reportingrequirements within the reporting year, as observed duringthe program audit or PCI.No Yeswith Law Section for "CWA301/307 - Effluent LimitationsNPDES Toxic & PretreatmentEffluent..."ComplianceMonitoring ActivityPretreatment CIUs CIUSThe total number of CIUs.No Yeswith Law Section for "CWA301/307 - Effluent LimitationsNPDES Toxic & PretreatmentEffluent..."ComplianceMonitoring ActivityPretreatmentPass-Through/Interference IndicatorPASS, INTF(not WENDB)The flag indicating if there have been any incidents of pass-through or interference at the POTW within the reportingyear, as observed during the program audit or PCI.No Yeswith Law Section for "CWA301/307 - Effluent LimitationsNPDES Toxic & PretreatmentEffluent..."ComplianceMonitoring ActivitySSO Location Street AddressThe street address location of the overflow event.Yes, if Lat/long infois not enteredYes Yes Yeswith Law Section for SSOComplianceMonitoring ActivitySSO LongitudeThe measure of the angular distance on a meridian east orwest of the prime. Entered in either Decimal Degrees or inDegrees Minutes Seconds; stored in decimal degrees.Yes, if LocationStreet Address is notenteredYes Yes Yeswith Law Section for SSO2a-16APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESComplianceMonitoring ActivitySSO LatitudeThe measure of the angular distance on a meridian north orsouth of the equator. Entered in either Decimal Degrees orin Degrees Minutes Seconds; stored in decimal degrees.Yes, if LocationStreet Address is notenteredYes Yes Yeswith Law Section for SSOComplianceMonitoring ActivitySSO SSO Event DateThe date for which the SSO event is being reported.Yes Yes Yes Yeswith Law Section for SSODMR Basic Info Permitted Feature VDSC, EVDSThe identifier assigned for each location at whichconditions are being applied.Yes Yes YesSystem-generated for web users;RIDE for batch users.DMR Basic Info Limit Set VDRD, EVRDThe unique identifier tying the DMR form to its Limit Setrecord.Yes Yes YesSystem-generated for web users;RIDE for batch users.DMR Basic Info Parameter Code VPRM, EVPRThe unique code/ description identifying the parameterreported on the DMR.Yes Yes YesSystem-generated for web users;RIDE for batch users.DMR Basic Info Monitoring Location VMLO, EVMLThe code/ description of the monitoring location at whichthe sampling occurred for a DMR parameter.Yes Yes YesSystem-generated for web users;RIDE for batch users.DMR Basic InfoMonitoring Period EndDateMVDTThe date that the monitoring period for the values coveredby this DMR form ends.Yes Yes YesSystem-generated for web users;RIDE for batch users.DMR Basic Info NODI NODIThe unique code/ description that indicates the reason that“No Discharge” or “No Data” was reported in place of theDMR value.No Yes YesDMR Basic Info ValueMCMX,MCAV,MCMN,MQMX, MQAVThe DMR value number reported on the DMR form.No Yes YesDMR Basic InfoConcentration Units/Quantity UnitsRCUN, RUNT(not WENDB)The code/ description representing the unit of measureapplicable to quantity or concentration limits andmeasurements as entered by the user on the DMR form.No Yes YesDMR Basic Info Value Received DateDMRR (notWENDB)The date the DMR value was received by the regulatoryauthority.No Yes YesDMR Basic Info Value TypeMCMX,MCAV,MCMN,MQMX, MQAVThe unique code/ description identifying a DMR value type(i.e. Quantity 1, Quantity 2, Concentration 1, Concentration2, Concentration 3).Yes Yes YesSystem-generated for web users;RIDE for batch users.DMR Basic Info QualifierMCMX,MCAV,MCMN,MQMX, MQAVThe unique code identifying the DMR value operator (e.g.,<, T, >, E, =). It defaults to "=".Yes Yes YesDMR2a-17APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESDMRBiosolids -IncineratorCompliance withNational EmissionStandard for Berylliumin 40 Code of FederalRegulations (CFR) Part61The flag indicating whether the facility is in compliancewith the National Emission Standard for Beryllium in 40CFR Part 61.No Yes Yeswith Biosolids permit componentand permitted feature type ofincinerationDMRBiosolids -IncineratorCompliance withNational EmissionStandard for Mercury in40 CFR Part 61The flag indicating whether the facility is in compliancewith the National Emission Standard for Mercury in 40CFR Part 61.No Yes Yeswith Biosolids permit componentand permitted feature type ofincinerationDMRBiosolids - LandApplication SitePollutant Table(s) MetThe code/ description identifiying the pollutant table in thebiosolids regulations (i.e. 1-4) that was met by the facilityfor land application on this DMR.No Yes Yeswith Biosolids permit componentand permitted feature type ofland applicationDMRBiosolids - LandApplication SiteDoes facility certifypathogen reduction forland application?The flag indicating if the facility certifies pathogenreduction for surface disposal.No Yes Yeswith Biosolids permit componentand permitted feature type ofland applicationDMRBiosolids - LandApplication SiteDoes the Facility certifyVector AttractionReduction for landapplication?The flag indicating if the facility certifies Vector AttractionReduction (VAR) for surface disposal.No Yes Yeswith Biosolids permit componentand permitted feature type ofland applicationDMRBiosolids -Surface DisposalDoes facility certifypathogen reduction forsurface disposal?The flag indicating if the facility certifies pathogenreduction for surface disposal.No Yes Yeswith Biosolids permit componentand permitted feature type ofsurface disposalDMRBiosolids -Surface DisposalDoes facility certifyvector attractionreduction for surfacedisposal?The flag indicating if the facility certifies Vector AttractionReduction (VAR) for surface disposal.No Yes Yeswith Biosolids permit componentand permitted feature type ofsurface disposalViolation Basic Info NPDES IDNPIDThe activity ID of the permit to which the violation isassociated.Yes Yes Yes YesViolation Basic Info Violation CodeCVIO, MVIO,SVCDThe code/ description identifying which type of Violationhas occurred (e.g., D80 = Required Monitoring DMRValue Non-Receipt, E90 = Effluent Violation, C20 =Schedule Event Achieved Late).Yes Yes Yes YesViolations2a-18APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESViolation Basic InfoSingle Event ViolationDateSVDTThe date of a Single Event Violation; it is only used forSingle Event Violations.Yes Yes Yes YesViolation Basic Info Single Event Start DateIf the single event violation ocurred over multiple days, thedate the ocurrence began.No Yes Yes YesViolation Basic Info Single Event End DateIf the single event violation ocurred over multiple days, thedate the ocurrence ended.No Yes Yes YesViolation RNC RNC Detection CodeSNCC, SNCE,SNCSThe type of RNC detected. It can be entered automaticallyby the system or it can be entered manually.No Yes Yes YesViolation RNC RNC Detection DateSNDC, SNDE,SNDSThe date that RNC was detected. It can be enteredmanually or automatically. In cases in which RNC isdetected by ICIS –– NPDES, the detection date enteredwill vary according to the type of violation detected.No Yes Yes YesViolation RNC RNC Resolution CodeSRCC, SRCE,SRCSThe RNC status (i.e., noncompliant, resolved pending,waiting resolution, resolved) of the violation. It can beentered manually or automatically by the system.No Yes Yes YesViolation RNC RNC Resolution DateSRDC, SRDE,SRDSThe date RNC was marked to its current resolution status.It can be entered manually or automatically.No Yes Yes YesProgram Reports2a-19APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESProgram Reports Basic InfoReport Received/ EventDate:PSED, DTRCThe date the report was received.Yes Yes YesProgram Reports Basic Info NPDES ID NPIDThe unique identifier for an activity performed at or relatedto a particular site.Yes Yes YesProgram Reports BiosolidsReport Coverage EndDateThe date that report coverage ends.Yes Yes Yeswith Biosolids PermitComponentProgram Reports Biosolids Number of Report UnitsThe number of months that the report covers.Yes Yes Yeswith Biosolids PermitComponentProgram Reports CAFO Animal TypesThe unique code/ description that identifies the operation’sapplicable animal sector(s).No Yes Yeswith a CAFO Permit ComponentProgram Reports CAFO Animal: OtherThe free-form text field to describe the operation'sapplicable animal sector if Other is selected for AnimalType Code.No Yes Yeswith CAFO Permit ComponentProgram Reports CAFO Total NumberThe total number of each type of livestock at the facility.No Yes Yeswith CAFO Permit ComponentProgram Reports CAFODischarges During Yearfrom Production AreaThe flag indicating if there is any discharge from theproduction area during the year.No Yes Yeswith a CAFO Permit ComponentProgram Reports CAFOSolid Manure or LitterGeneratedThe total amount of manure in tons generated annually bythe facility.No Yes Yeswith a CAFO Permit ComponentProgram Reports CAFOLiquid Manure orWastewater GeneratedThe total amount of manure in gallons generated annuallyby the facility.No Yes Yeswith a CAFO Permit ComponentProgram Reports CAFOLiquid Manure orWastewater TransferredThe number of gallons of manure or litter produced by theCAFO that will be transferred to other persons.No Yes Yeswith a CAFO Permit ComponentProgram Reports CAFOSolid Manure or LitterTransferredThe number of tons of manure or litter produced by theCAFO that will be transferred to other persons.No Yes Yeswith a CAFO Permit ComponentProgram Reports CAFODoes the facility havean NMP developed orapproved by a certifiedplanner?The yes/no flag indicating whether the facility has NutrientManure Management Plan developed or approved by acertified planner.No Yes Yeswith a CAFO Permit ComponentProgram Reports CAFOTotal Number of AcresIdentified by NMPThe number of acres the existing NMP covers.No Yes Yeswith a CAFO Permit ComponentProgram Reports CAFOThe total number ofacres used for landapplication in past 12monthsThe total number of acres used for land application in past12 months.No Yes Yeswith a CAFO Permit Component2a-20APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESProgram Reports CSOPermitted FeatureIdentifierThe unique identifier for the permitted feature numberentered by the user for the CSO.No Yes Yeswith a CSO Permit ComponentProgram Reports CSO Location Street AddressThe street address location of the overflow.Yes, if PermittedFeature Identifieror Lat/long info isnot enteredYes Yes Yeswith a CSO Permit ComponentProgram Reports CSO LongitudeThe measure of the angular distance on a meridian east orwest of the prime. Entered in either Decimal Degrees or inDegrees Minutes Seconds; stored in decimal degrees.Yes, if CSOOverflowLocation StreetAddress orPermitted FeatureIdentifier is notenteredYes Yes Yeswith a CSO Permit ComponentProgram Reports CSO LatitudeThe measure of the angular distance on a meridian north orsouth of the equator. Entered in either Decimal Degrees orin Degrees Minutes Seconds; stored in decimal degrees.Yes, if CSOOverflowLocation StreetAddress orPermitted FeatureIdentifier is notenteredYes Yes Yeswith a CSO Permit ComponentProgram Reports PretreatmentPretreatmentPerformance SummaryStart DatePSSDThe date on which the Pretreatment Performance SummaryReport starts.Yes Yeswith POTW and PretreatmentPermit ComponentProgram Reports Pretreatment SIUsThe total number of SIUs.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentSIUs Without ControlMechanismThe number of SIUs for which a current controlmechanism is required but not yet issued or has expired, asreported on the annual report.No Yeswith POTW and PretreatmentPermit Component2a-21APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESProgram Reports Pretreatment SIUs Not InspectedThe number of SIUs not inspected, as reported on theannual report.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports Pretreatment SIUs Not SampledThe number of SIUs not sampled, as reported on theannual report.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentSIUs in SNC withPretreatment StandardsThe significant industrial users in SNC with pretreatmentstandards, as reported on the annual report.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentSIUs in SNC withReportingRequirementsThe significant industrial users in SNC with reportingrequirements, as reported on the annual report.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentViolation NoticesIssued to SIUsVINO (notWENDB),FENFThe number of formal notices of violation or equivalentactions that have been issued to SIUs. Notices do notinclude AOs (which are defined as a formal notice to theuser of violations and requires specific actions with specificdates to address those violations. AOs may includepenalties.)No Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentAdministrative OrdersIssued to SIUsADOR (notWENDB),FENFThe number of administrative orders issued to SIUs. AnAdminstrative Order (AO) is defined as a formal notice tothe user of violations and requires specific actions withspecific dates to address those violations. AOs may includepenalties.Yes Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentCivil Suits FiledAgainst SIUsCIVL (notWENDB)The number of civil suits filed against SIUs, as reported onthe annual report.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentCriminal Suits FiledAgainst SIUsCRIM (notWENDB), JUDIThe number of criminal suits filed against SIUs, as reportedon the annual report.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports Pretreatment CIUsThe total number of CIUs.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentPass-Through/Interference IndicatorThe flag indicating if there have been any incidents of pass-through or interference at the POTW in the past year, asreported on the annual report.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentDate of Most RecentTechnical Evaluationfor Local LimitsThe date on which the Pretreatment Control Authority hastechnically evaluated the need for local limits.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentDate of Most RecentAdoption ofTechnically BasedLocal LimitsThe date of most recent approval of technically based locallimits for pollutants by Pretreatment Approval Authority.If 1 or 2 local limits are updated at a time (on-going), thelatest adoption date (approval) would be the date of the lastapproval, even if it was for only one pollutant.No Yeswith POTW and PretreatmentPermit Component2a-22APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESProgram Reports Pretreatment Local Limits PollutantsThis is the list of the pollutants for which local limits werederived, not at the outfall but at the headworks.Yes, if a date isentered for Dateof Most RecentAdoption ofTechnicallyBased LocalLimitsYeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentRemoval CreditsApplication StatusThe status of the application for removal credits.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentDate of Most RecentRemoval CreditsApprovalThis is the date the application for removal creditswas approved.Yes, if theRemoval CreditsApplicationStatus is"approved".Yeswith POTW and PretreatmentPermit ComponentProgram Reports Pretreatment Removal CreditsThis field contains a list of pollutants for whichremoval credits were granted.Yes, if theRemoval CreditsApplicationStatus is"approved".Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentSIUs in SNC Publishedin NewspaperSVPUThe number of significant industrial users in SNCpublished in the newspapers, as reported on the annualreport.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentIndustrial Users (IUs)from which Penaltieshave been collectedIUPNNumber of IUs (not SIUs) from which penalties have beencollected, as reported on the annual report.No Yeswith POTW and PretreatmentPermit ComponentProgram Reports PretreatmentSIUs in SNC withPretreatment ScheduleSSNCThe number of Significant industrial users in SNC withpretreatment schedule, as reported on the annual report.No Yeswith POTW and PretreatmentPermit ComponentEnforcement Action Basic InfoEnforcement ActionIdentifierERFN, CSFNThe number of the Enforcement Action; for a judicialaction, the number as referred to by the Court where theaction was filed. This number is also used to linkcompliance schedules to enforcement actions.Yes Yes Yes YesOnly for Federal and StateFormal Enforcement ActionsEnforcement Action Basic Info Forum ENAC, EKACThis is the legal forum in which the Enforcement Action isbrought. For Administrative Formal, the action is broughtbefore an administrative body or tribunal.Yes Yes Yes YesEnforcement Action Basic InfoEnforcement ActionTypeENACA description that uniquely identifies the type ofenforcement action (i.e., civil judicial, bankruptcy). Foradministrative enforcement actions, the type is the statutesection authorizing the action.Yes Yes Yes YesENFORCEMENT DATA ELEMENTS2a-23APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESEnforcement Action Basic Info Programs Violated ENACThe code that identifies the program associated with anactivity.Yes, except forFederal actionsYes Yes YesSystem-generated for Federalactions, required for all Stateactions.Enforcement Action Basic InfoReason for deletingenforcement actionReason for deleting enforcement action.Yes, if deletingaction.Yes Yes YesOnly for Formal EnforcementActionsEnforcement Action Basic Info Violation CodeEVTP, ESVC,ECVCThe code/ description identifying which type of Violationhas occurred (e.g., D80 = Required Monitoring DMRValue Non-Receipt, E90 = Effluent Violation, C20 =Schedule Event Achieved Late).Yes Yes Yes YesEnforcement Action Basic Info Violation DateEVMD, ECVD,ESVDIf there is a Single Event Violation, use Single EventViuolation Date; if DMR reporting violation, use DMRDue Date; if DMR measurement violation, use MonitoringPeriod End Date; if Permit Schedule violation, use PermitSchedule Date; if a Compliance Schedule violation, useCompliance Schedule Date.Yes Yes Yes YesFinal Orders Basic Info Final Order Type ENAC, EKACA code/ description that uniquely identifies the regulatoryinstrument used by the EPA to settle the EnforcementAction.Yes Yes Yes YesOnly for Formal EnforcementActionsFinal Orders Basic Info Violation CodeEVTP, ESVC,ECVCThe code/ description identifying which type of Violationhas occurred (e.g., D80 = Required Monitoring DMRValue Non-Receipt, E90 = Effluent Violation, C20 =Schedule Event Achieved Late).Yes Yes Yes YesOnly for Formal EnforcementActionsFinal Orders Basic Info Violation DateEVMD, ECVD,ESVDIf there is a Single Event Violation, use Single EventViuolation Date; if DMR reporting violation, use DMRDue Date; if DMR measurement violation, use MonitoringPeriod End Date; if Permit Schedule violation, use PermitSchedule Date; if a Compliance Schedule violation, useCompliance Schedule Date.Yes Yes Yes YesOnly for Formal EnforcementActionsFinal Orders Basic InfoFinal Order Issued/Entered DateENDT, EKDTThe civil case date the Final Order is signed by thepresiding Judge and entered by the Clerk of the Court; it isthe date the Clerk stamps on the document. For anAdministrative Formal EA, this is the Final Order IssuedDate; for a Judicial EA, this is the Final Order EnteredDate.No Yes Yes YesOnly for Formal EnforcementActionsPenalty Basic InfoCash Civil PenaltyAmount Required-ByStatuteAPAMAPPAFor civil judicial Enforcement Actions, the dollar amountof the penalty assessed against the defendant(s) as specifiedin the final entered Consent Decree or Court Order. ForAdministrative Enforcement Actions, it is the dollaramount of the penalty assessed in the Consent/Final Order.No Yes Yes YesCompliance Schedule ScheduleCompliance ScheduleNumberCSCH, VCSN,EVSNA two-digit number which in combination with theSchedule Type and NPDES ID uniquely identifies aCompliance Schedule.Yes Yes Yes YesSystem-generated for web users;RIDE for batch users.Compliance Schedule Schedule Schedule DescriptorThe code/ description indicating the type of NarrativeCondition applies for the schedule.No Yes Yes YesFinal OrdersPenaltiesCompliance Schedules2a-24APPENDIX 2a: DETAILED RIDE TABLE April 30, 2007 DRAFTUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRIDE Data Element DescriptionPCS equivalent(if available)1SystemRequired2Sub-AreaCommentArea Data Element NamePermit Type in ICIS-NPDESCompliance Schedule Event Schedule (Start) DateDTSC, ERDT,CVDTThe date the event is scheduled to be occur (i.e., the duedate).Yes Yes Yes YesCompliance Schedule Event Actual Date DTACThe actual date on which the Compliance Schedule eventoccurred.No Yes Yes YesCompliance Schedule Event Report Received Date DTRCThe date the regulatory agency received the ComplianceSchedule report.No Yes Yes YesCompliance Schedule Event Schedule EventEVNT, CVEV,EVEVThe unique code/ description that identifies the ComplianceSchedule event.Yes Yes Yes YesMilestones/ SubactivitiesBasic Info Sub Activity TypeENAC, ENST,APHR, APAPA code/ description that uniquely identifies a type of subactivities and/or milestones in the lifecycle of anenforcement action, such as "complaint filed" or "actionclosed".Yes Yes Yes YesMilestones/ SubactivitiesBasic Info Actual DateENDT, APFO,ESDT, APPC,APAFThe date on which the milestone was achieved/sub activitywas conducted.No Yes Yes YesMilestones/ Sub-activities2a-25APPENDIX 2b: ADDITIONAL FEDERAL RIDEApril 30, 2007 draftUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityPermit Basic InfoMajor/Minor StatusIndicatorMADIThe flag to indicate if the permit is a major or minor.Initially system generated (defaults to Minor) and updatableonly by HQ users.YesMajor MinorRating Sheet122.2/ CWA301(d), 304(b),and 304(m)NPDES universe inventory tracking/ NPDES MgmtReport (PER)/ ECHO/ OTIS/ ANCR/ WL/Accomplishments reporting /ELG Annual ReviewYes YesOnly EPA HQ can enter this fieldbased on information provided toEPA.Permit Basic InfoMajor/Minor StatusStart DatePTACThe date that the Permit became its current Major/Minorstatus. Initially system-generated to match effective dateand updatable only by HQ users.YesMajor MinorRating Sheet122.2NPDES universe inventory tracking/ NPDES MgmtReport (PER)/ ECHO/ OTIS/ ANCR/ WL/Accomplishments reportingYes YesOnly EPA HQ can enter this fieldbased on information provided toEPA.Permit CAFONumber of Acres ofContributing Drainagefrom Production AreaThis is the number of acres that are drained and collected inthe production area.NoApp./ NOI/Annual Report122.23To determine possibility of runoff from productionareasYes Yeswith CAFO Permit ComponentComplianceMonitoring ActivityBasic Info RegionThe code/ description that represents the EPA Region.YesInspection Form3560noneNPDES Mgmt Report (PER)/ ECHO/ OTIS/Accomplishments reporting/ State FrameworkYes Yes YesFederal onlyComplianceMonitoring ActivityBasic InfoIf state, local, or triballead, did EPA assist?INSPThe flag indicating whether the EPA assisted with anactivity when either the state, local, or tribal agency was thelead.NoInspection Form3560, ICDSCWA 308 Accomplishments reporting Yes Yes YesRIDE if "Compliance MonitoringAgency Type" is not "EPA".ComplianceMonitoring ActivityBasic InfoIf Joint, what was thepurpose of theparticipation of theother party?The reason for joint inspection.YesInspection Form3560, ICDSCWA 308 Data QA Yes Yes YesRIDE if "Was this a State,Federal or Joint(State/Federal)Inspection?" is "Joint(State/Federal)".ComplianceMonitoring ActivityBasic InfoWhich party had thelead?INSPThe flag indicating who is the lead of the joint inspection.YesInspection Form3560, ICDSCWA 308 ECHO/ OTIS/ WL/ Accomplishments reporting Yes Yes YesRIDE if "Was this a State,Federal or Joint(State/Federal)Inspection?" is "Joint(State/Federal)".ComplianceMonitoring ActivityBasic InfoFederal StatuteViolatedA code that uniquely identifies the law that is authorizing theactivity or being violated.Yes Inspection Report CWA 308 Accomplishments reporting Yes Yes YesSystem generated for state.ComplianceMonitoring ActivityCAFONumber of Acres ofContributing Drainagefrom Production AreaNumber of acres from production area used for drainage.NoApp./ NOI;Inspection122.23 Supports enforcement and compliance monitoring Yes Yeswith CAFO permit componentEnforcement Action Basic InfoEnforcement ActionNameThe name assigned to the enforcement action by the leadattorney; generally the primary defendant's name is used asthe enforcement name.Yes, except forstate actionsUser-defined, canbe facility nameCWA Section 309 Accomplishments reporting Yes Yes YesFederal onlyEnforcement Action Basic Info CommentsECM1-ECM10(not WENDB)The free-form textual comments entered by the user/ analystto further describe the corresponding data in a sensitivefield.NoUser-defined,based onenforcementaction/administrativerecordCWA Section 309 Data QA Yes Yes YesOnly for Federal FormalEnforcement ActionsEnforcement Action Basic InfoFederal StatutesViolatedA code that uniquely identifies the law that is authorizing theactivity or being violated.YesEnforcementAction/AdministrativeRecordCWA Section 309 Accomplishments reporting Yes Yes YesOnly for Federal EnforcementActionsEnforcement Action Basic Info Law Sections ViolatedThe Section(s) of law violated and cited in the action.Yes, except forState actionsEnforcementAction/AdministrativeRecordCWA Section 309 Accomplishments reporting Yes Yes YesOnly for Federal EnforcementActions1. This column provides the PCS acronyms that correspond to each RIDE element. If blank, there is no known equivalent. Also,the PCS acronyms represent WENDB elements required in PCS, unless otherwise noted.PERMIT DATA ELEMENTS2. From the ICIS-NPDES Detailed Design Document (page 4-2): “Data elements are marked as system required when entry of the dataelement is required by ICIS-NPDES in order for a user to add a particular record into the system... If [system-]required dataelements are not entered, ICIS-NPDES will reject the transaction."3. From the ICIS 2.0 Users Guide (Permits section): "Unpermitted facilities are records established in ICIS to allow for tracking of activities (e.g., inspections and enforcement actions) that are associated with facilities that do not have [NPDES] permits. They may not contain narrative conditions, schedules, or limits." Data entry requirements do notapply to facilities covered by a state program that is "broader in scope" than the approved NPDES program (under 33 U.S.C. § 1342(b)). Except for SIUs in non-preatreatment cities, the facility, compliance monitoring, and enforcement data for unpermittedfacilities is only RIDE if there has been a formal enforcement action, an administrative penaltyorder or an informal enforcement action that addressed SNC. For SIUs in non-pretreatment cities, RIDE is expected. Examples of unpermitted facilities include SSS satellite systems and AFOs that, after inspection, are determined to be CAFOs requiring aNPDES permit.Note: This is a list of additional RIDE exclusively for federal users and should be enteredin addition tothe RIDE listed in Appendix 2a. This list does not yet include all federal data entry requirements.RegulatoryCitationData UseCommentENFORCEMENT DATA ELEMENTSSystemRequired2Sub-AreaRIDE Data Element DescriptionCOMPLIANCE MONITORING DATAEPCS equivalent(if available)1Area Data Element NamePermit Type in ICIS-NPDESInformationSource2b-1APPENDIX 2b: ADDITIONAL FEDERAL RIDEApril 30, 2007 draftUnpermittedFacility3Standard/ Individual/Industrial User Permits &Associated Permit RecordsMasterGeneralPermitsGeneralPermitCoveredFacilityRegulatoryCitationData UseCommentSystemRequired2Sub-AreaRIDE Data Element DescriptionPCS equivalent(if available)1Area Data Element NamePermit Type in ICIS-NPDESInformationSourceEnforcement Action Basic Info PrioritiesA code that uniquely identifies the national or regionalpriority that prompted the initiation of an activity such as aninspection or enforcement action. Must enter National,Regional or Core.YesEnforcementAction/AdministrativeRecordCWA Section 309 Accomplishments reporting Yes Yes YesOnly for Federal FormalEnforcement ActionsEnforcement Action Basic InfoRespondents/DefendantsThe name of the defendant, or respondent associated withthe Enforcement Action.Yes, except forState actionsEnforcementAction/AdministrativeRecordCWA Section 309 Accomplishments reporting Yes Yes YesOnly for Federal FormalEnforcement ActionsEnforcement Action Basic InfoSummary / NonCompliance orCorrective ActionDescriptionThe summary of the violation environmental problem and adescription of the cause of action (basis of legal action).The summary could be extracted from the referraltransmission memo or letter or it could be required as a firstsection of a revised standardized referral document.YesEnforcementAction/AdministrativeRecordCWA Section 309 Accomplishments reporting Yes Yes YesOnly for Federal FormalEnforcement ActionsEnforcement Action Basic Info Pollutants The ICIS internal identifier for a substance. YesEnforcementAction/AdministrativeRecordCWA Section 309 Data QA Yes Yes YesOnly for Federal FormalEnforcement Actions, for NPDESViolations onlyEnforcement Action Basic Info Violation Type EVTP A unique code identifying the type of violation. YesEnforcementAction/AdministrativeRecordCWA Section 309 Accomplishments reporting Yes Yes YesOnly for Federal FormalEnforcement Actions, for NPDESViolations onlyEnforcement Action Gov contacts Affiliation TypeThe way that the contact is affiliated with the activity.Yes, for FederalFormalEnforcementActionsEnforcementAction/AdministrativeRecordCWA Section 309 Data QA Yes Yes YesOnly for Affiliation Type "LeadTechnical Contact" and/or "LeadAttorney" for Federal FormalEnforcement ActionsEnforcement Action Gov contacts First NameThe given name of an individual.Yes, for FederalFormalEnforcementActionsEnforcementAction/AdministrativeRecordCWA Section 309 Data QA Yes Yes YesOnly for Affiliation Type "LeadTechnical Contact" and/or "LeadAttorney" for Federal FormalEnforcement ActionsEnforcement Action Gov contacts Last NameThe surname of an individual.Yes, for FederalFormalEnforcementActionsEnforcementAction/AdministrativeRecordCWA Section 309 Data QA Yes Yes YesOnly for Affiliation Type "LeadTechnical Contact" and/or "LeadAttorney" for Federal FormalEnforcement ActionsFinal Orders Basic Info Final Order NameThe name of a final order associated with an enforcementaction as assigned by the lead EPA attorney for federalactions.YesUser-defined,based onenforcementaction/administrativerecordCWA Section 309 Accomplishments reporting Yes Yes YesOnly for Federal FormalEnforcement ActionsFinal Orders Basic InfoRespondents/DefendantsThe name of the defendant, or respondent, associated withthe enforcement action.YesEnforcementAction/AdministrativeRecordCWA Section 309 Accomplishments reporting Yes Yes YesOnly for Federal FormalEnforcement ActionsFinal Orders Basic InfoFederal StatutesViolatedA code that uniquely identifies the law that is authorizing theactivity or being violated.YesEnforcementAction/AdministrativeRecordCWA Section 309 Accomplishments reporting Yes Yes YesOnly for Federal FormalEnforcement ActionsFinal Orders Basic InfoFinal Order LodgedDateThe date the settlement document is given to the clerk of thecourt for lodging in the district court; it is the date the clerkstamps on the document. (Federal judicial EA's only.)YesAdministrativeRecordCWA Section 309 Accomplishments reporting Yes Yes YesOnly for Federal JudicialEnforcement Actions when thesubactivity type is "FOL".Final Orders Basic Info Violation Type EVTPA unique code identifying the type of violation.YesEnforcementAction/AdministrativeRecordCWA Section 309 Accomplishments reporting Yes Yes YesOnly for Federal FormalEnforcement Actions, for NPDESViolations onlyMilestones/ SubactivitiesBasic InfoEnforcement ActionResolution TypeThis is the mechanism by which the Enforcement Action isresolved.Yes, whenconcluding anenforcementaction.EnforcementAction/AdministrativeRecordCWA Section 309 Data QA Yes Yes YesOnly for Federal FormalEnforcement Actions, for NPDESViolations onlyMilestones/ Sub-activitiesFinal Orders2b-2APPENDIX 3, April 30, 2007 DRAFT3-1RIDE Data Entry Considerations byProgram AreaSince January 2006, EPA and the States have been actively involved in renewed discussions whichhave included considerations regarding theexpectations for data entry or transfer into ICIS-NPDES foreach program area and possible phasing of selected data, particularly for non-majorfacilities. The Resources workgroup formed by the ICIS-NPDESExpanded Steering Committee produced a RIDE Data Entry Estimate Model,which was used to estimate RIDE data entry resources (in full-time equivalents [FTEs]) both nationally and for nine individualstates. A briefsynopsis of the national assumptions and results of the RIDE Data Entry Estimate Model for the various program areas is provided in the chartbelow, with the percent of total RIDE data entry based upon theRIDE Data Entry Model estimate. With the exception of pretreatment, PCS wasnot capable of providing sufficient information regarding these program areas.Program Area Estimated Universe% of TotalRIDE DataCommentsBiosolids 6,000 sludge-only facilities 2% Only seven States are currently authorized to implement the biosolids program.Combined SewerSystems (CSSs)821 CSSs, with 8,924 combinedsewer outfall locations<1%Number of CSSs varies considerably byState; the Single Event Violation DataEntry Guide (under development) will clarify data entry for overflows andoverflow volumes.ConcentratedAnimal FeedingOperations (CAFOs)13,800 large or medium CAFOswith permits; 224,217 AFOS orCAFOs without permits1%States have indicated that some CAFORIDE currently is not collected; therehave been some implementation delays by certain States as they awaitdevelopment of new CAFO regulations (anticipated in 2007).Pretreatment 1,464 approved local programsMostlyWENDB inPCS; <1% fornewnon-WENDBMost of these data elements were WENDB in PCS, but they were notwell-populated by some States. RIDEare also expected to be entered ortransferred into ICIS-NPDES forSIUs in non-pretreatment cities.Separate SanitarySewer Systems(SSSs)20,000 sanitary sewer overflowsper year<1%For SSS satellite systems, RIDE is not expected to be entered or transferred intoICIS-NPDES unless the satellite has been issued a formal enforcement action,administrative penalty order, or an informal enforcement action which addressesthe SSS significant noncompliance (SNC); the Single Event Violation DataEntry Guide (under development) will clarify data entry for overflows andoverflow volumes.Stormwater (SW)280 Phase I MS4s, 7,500 Phase IIMS4s, 100,000 Phase I SWindustrial non-const., 10,000Phase II SW industrial non-const.,100,000 Phase I SW const.,150,000 Phase II SW const.3%For SW construction sites, RIDE is notexpected to be entered or transferredinto ICIS-NPDES unless the facility has been issued a formal enforcementaction, administrative penalty order, or an informal enforcement action whichaddresses the SW significant noncompliance (SNC) at the site; SW baselinereporting for SW industrial non-const.is not RIDE until NetDMR is available.April 30, 2007 DRAFTAPPENDIX 3a: EPA RIDE Data Entry ModelThe striped slices reflect data that is being enteredinto PCS/ ICIS-NPDES now.Other new requirements1%AFO/ CAFO1%CSO, SSO, newPretreatment<1%Biosolids2%WENDB(1)16%Other Required NonMajor IndividualOutfalls, Limits, & DMRs34%Stormwater3%Non-Major IndividualOutfalls, Limits, & DMRsalready being entered35%Non-Major nonStormwater GeneralOutfalls, Limits, & DMRs8%Note: Full Circle represents 1.8FTEs per State per year(based on February 2007 revised model)

# 4-1 APPENDIX 4, April 30, 2007 DRAFT

Key National Targets for Data in ICIS-NPDES

A phased transition period allows permitted auth orities (States, Territories, Tribes and EPA

Regions) to become familiar with the ICIS-NPDES system, make pr ogram adjustments if necessary,

and initiate data entry or transf er of the RIDE into ICIS-NPDES. The transition period applies

primarily to that RIDE for which WENDB equivale nts did not exist in PCS. EPA recommends that

States, Territories and Tribes deve lop transition plans to promote a timely and efficient move from

PCS to ICIS-NPDES. The key national targets for da ta entry that should be incorporated into the

transition plans for all current and prospectiv e users of ICIS-NPDES are described below.

By August 1, 2007, all NPDES-authorized States , Territories and Trib es should begin to

develop an ICIS-NPDES transition pl an that includes a strategy to fully enter all RIDE within the

target dates specified. The draft transition pl an for each individual State, Territory and Tribe

should be submitted no later than the deadlines st ated below to the EPA Region for review and

approval. Hybrid and non-direct (batch) users have been allocated four additional months to review

the ICIS-NPDES XML schemas as they develop thei r transition plans. This also allows some

phasing of the Regional workload to review these plans. EPA Regions which are responsible for

direct implementation of the NPDES program in a non-authorized State or Tribal area shall submit

their own transition plans to EPA Headquarter s by December 1, 2007. EPA will review and

approve adequate plans within three months of receipt.

Direct

Users Hybrid/ Batch

Users Target

8/1/2007 8/1/2007 - Begin development of ICIS-NPDES transition plans

12/1/2007 4/1/2008 - Submit State and Tribal transition plans to the EPA Regions for review and approval. (Regions

that are developing transition plans for States and Tribes that are not authorized for the NPDES

program will submit such plans to EPA HQ for review and approval.)

3/1/2008 7/1/2008 - Complete EPA review and approval of all tran sition plans for States, Tribes and EPA Regions.



# In 2006 and 2007, EPA worked with the States -- via the Expanded Steering Committee, and

its associated Resources and Matrix Workgroups -- to further refine the RIDE list and to closely

examine key concepts associated with ICIS-NPD ES. EPA has used the information and products

from those efforts to develop the national data ta rgets for the early years of implementation of the

ICIS-NPDES Policy Statement. These national data targets (presented in th e table below) should be

incorporated into the transition pl ans for each State, Territory, Tribe or Region. The target dates in

the table below apply to all States, with the unders tanding that all dates may be extended up to four

months after a State migr ates to ICIS-NPDES.

The transition plans should also ensure th at data associated with non-DMR compliance

monitoring (e.g., inspections), si ngle event violations, enforc ement actions, penalties and

compliance schedules should be entered or transfe rred into ICIS-NPDES as those events occur

(after migration from PCS to ICIS-NPDES). The transition plans should also ensure that

appropriate linkages between the data for these compliance monitoring and enforcement items are

also entered into ICIS-NPDES. In addition, the transition plans s hould ensure RIDE data entry or

transfer to ICIS-NPDES is consistent with all requ irements of Sections E, F, and G of this Policy

Statement and with the RIDE list (in Appendix 2a ; for Federal users, Appendices 2a and 2b). A

transition plan template is provided in Appendix 5.4-2DETAILED TARGETS FOR STATES, TRIBES, AND REGIONSBy the dates below or within four months of migration to ICIS-NPDES (whichever is later), all users are expected to meet thesenational data targets.1Target(these represent 98% data completeness unless otherwise specified)Majors Individual Non-Majors General Non-Majors2Facility/ Permit InformationBasic Information - WENDB8/1/2007Facility Latitudes/Longitudes38/1/2007 5/1/2008 5/1/2008Special Program Area Permit Components4and other new (non-WENDB) RIDE 5/1/2008 12/1/2008 12/1/2009Permitted Feature Data3, Limit Sets, Limits and DMRs5Traditional Universe 8/1/2007≥50% (with an emphasis on thosefacilities located in prioritywatersheds) by 9/1/2008.Enter data for remaining facilities 2years after NetDMR is implemented≥25% (with an emphasis on thosefacilities located in prioritywatersheds) by 9/1/2009.Enter data for remaining facilities 3years after NetDMR isimplemented.Stormwater Industrial permits N/A N/A 12/1/2009Biosolids 5/1/2008 12/1/2008 12/1/2009Narrative Conditions(Permit Schedules were WENDB for majors)8/1/2007 No later than 8/1/2010 No later than 8/1/2010InspectionsTraditional Universe (i.e., traditional majors and non-majors, excluding wetweather program areas) and Pretreatment – (were WENDB in PCS)Special Program AreasEntered as they occurViolationsPermit/ Compliance Schedule and DMR violations System-generated based on dataSingle Event ViolationsEntered as they occurProgram ReportsExisting WENDB (Pretreatment)8/1/2007 8/1/20076N/ANew Special Program Areas (Biosolids, CAFOs, CSOs) No later than 8/1/2010Enforcement Actions(Were WENDB for majors)Entered as they occur1 EPA may revise these dates for batch and hybrid users to address any unforeseen issues related to the finalization of the ICIS-NPDES XML schema by the Integrated Project Team.2 RIDE for facility, permit, compliance monitoring, violationsand enforcement data for SSS satellites and Stormwater-Construction sites is not expected except ifthe State or Tribe issues a formalenforcement action, administrative penalty order, or other informal enforcement action which addresses the stormwater SNC. Inthis case, the data should beentered as the events occur.3 If this locational data (latitude, longitude, source map scale number, horizontal accuracy measure, horizontal collection method, horizontal reference datum, and reference point) currently are notcollected, the permitting authority may wait until permit reissuance to enter or transferthis particular data.4 These special program area elements apply to CAFOs, Biosolids, CSOs, Pretreatment, POTW, and Storm Water facilities.5 Note that some permits do not have DMR requirements; for these permits, limit, limit set, and DMR data entry will not be necessary.6 Pretreatment Performance Summary Data is currently WENDBfor major facilities and for minorfacilities that are PL 92-500 Construction Grant recipients.

# 5-1 APPENDIX 5, April 30, 2007 DRAFT

Template for a Transition Plan

As described in Sections F and G of this Policy Statement, the transition plan and

target schedule for authorized States, Te rritories and Tribes will be reviewed and

approved by EPA Regions at the Division Dir ector level (Enforcement and Water) within

three months of submission to EPA. Simila rly, transition plans and target schedules for

non-authorized States, Territo ries or Tribes will be re viewed and approved by EPA

Headquarters within three mont hs of Regional submission.

The transition plans should include the following information:

I. Name of State/Territory/Tribe/R egion:

II. Type of User: Direct Non-direct Hybrid/Combination

(If hybrid/combination, pleas e provide short explanation).

III. Number of facilities in e ach of these categories:TraditionalmajorsTraditionalindividualnon-majorsTraditionalgeneral-permittednon-majorsBiosolidsCAFOsApprovedpretreatmentprogramsSIUs in non-pretreatmentcitiesCSSsSSSsMS4sNonconstructionindustrialstormwater sitesStormwaterconstructionsites (annually)



# IV. Strategy/Approach:

Provide a short description of the State, Territorial, Tribal or Regional plan for

meeting national RIDE reporting targets in IC IS-NPDES within the transition period.

Each of the following items should be c overed in the strategy description:

A. Overall implementation strategy: by permit type, by watershed, by prioritization

of minors, other;

B. Gap analysis to determine areas where RI DE currently are not collected or not

available electronically (To assist in th is effort, EPA will generate a report to

indicate how well-populated the various WENDB data elements are in PCS);

C. Description of business proce sses that need to be cha nged to address data gaps

and to ensure that RIDE flows to IC IS-NPDES. How will this be done? Will

data entry be centralized? Will spreadsheets or other tracking be phased into

ICIS?

D. If non-direct users or hybrid/combination us ers, description of changes needed to

be made to the data system of the State, Territory or Tribe;

# 5-2 E. Incorporation of national data entry target s (as identified in A ppendix 5) into the

strategy and the schedule;

F. Description of the amount of grant money that has b een made available to the

State, Territory or Tribe for the transi tion from PCS to ICIS-NPDES and which

activities are to be accomplished with the grant money;

G. Description of additional training or equipment that may be necessary;

H. Description of impacts on other data system s within the State, Territory or Tribe;

and

I. Description of quality assurance (QA) proced ures that will be used to ensure data

quality and timeliness.

V. Schedule:

This schedule should be developed with reference to Appendix 4 of the Policy

Statement (Key National Targets for Data in ICIS-NPDES). The schedule should

include key targets for RIDE data entry, na tional data entry targets and data system

modifications necessary to directly use, link or transfer data to ICIS-NPDES.

Within the national data entry targets, th e permitting authority has flexibility in

the prioritization approach that is used for data entry or da ta transfer to ICIS-NPDES.

One option for prioritizing RIDE data entry or transfer into ICIS-NPDES is to prioritize

data entry for facilities located in priority watersheds; this approach is particularly

encouraged in the possible phasing of the data entry of DMRs for non-major facilities (as

discussed in Section F of the Policy Statem ent). Another prioriti zation option would use

permit components for specific program areas, such as CSSs, SSSs, pretreatment,

biosolids, stormwater-MS4s, stormwater -industrial (non-constr uction), stormwaterconstruction and CAFOs. Another approach w ould be to enter all available RIDE data

for facilities covered by major individual permits, then those covered by non-major

individual permits, non-stormwater general permits and stormwater general permits.

Although States, Territories or Tribes may exercise flexibil ity regarding which program

areas or permit types are made available in ICIS-NPDES first, any such prioritization

effort should still ensure that national data targets are met.

As an example, the attached table is a suggested format for a Data Entry Schedule

Chart to be included in the Transition Plan fo r each State, Territory, Tribe or Region if

using a permit type prioritization for RIDE data entry or transfer into ICIS-NPDES:5-3DATA ENTRY SCHEDULE CHART: DETAILED TARGETSTarget(these represent 98% data completeness unless otherwise specified)Majors Individual Non-Majors General Non-MajorsFacility/ Permit InformationBasic Information –(expected to be available without delay; WENDB data migrated from PCS)Facility Latitudes/LongitudesSpecial Program Area Permit Components and other new (non-WENDB) RIDEPermitted Feature Data, LimitSets, Limits and DMRsTraditional UniverseStormwater Industrial permitsBiosolidsNarrative Conditions(Permit Schedules)( were WENDB for majors)InspectionsTraditional Universe and Pretreatment –(historical data will be migrated from PCS, where such data was WENDB)Special Program AreasViolationsPermit/ Compliance Schedule and DMR violationsSingle Event ViolationsProgram ReportsExisting WENDB (Pretreatment)(not a new requirement)New Special Program Areas (Biosolids, CAFOs, CSOs)Enforcement Actions(previously was WENDB for majors only)

# 5-4 VI. Resources:

Explain resource implications, in terms of staffing, training, ot her support as well

as anticipated cost savings from electronic re porting. States are encouraged to use the

RIDE Data Entry Estimate Model to estimat e annual ICIS-NPDES data entry resources

for the State. To the extent known, explain how these resource estimates may shift over

the initial few years.

VII. Linkages

For hybrid or non-direct users, provide su fficient detail as to what data will be

directly entered into ICIS-NPDES (if any), and what data will be shared or transferred to

ICIS-NPDES using ICIS-NPDES XML sc hema, including any phasing of data

exchanged and frequency. In addition, the tr ansition plan should clearly indicate what

measures will be taken to ensure that en try of associated linkages between permits,

inspections, violations and en forcement data will occur a nd be present in ICIS-NPDES.

VIII. Contacts

Identify key system contacts, including: system administrator; data steward; data

entry personnel; responsible mana ger; other agency contacts. Please specifically identify

the key contact regarding th e development and implementation of the transition plan.

# 6-1 APPENDIX 6, April 30, 2007 DRAFT

Key ICIS-NPDES Roles and Responsibilities

Defining and maintaining clear roles a nd responsibilities are essential to

managing a decentralized database such as ICIS-NPDES. The table below summarizes

key management responsibilities for each gr oup (NPDES-authorized States, Territories

and Tribes, EPA Regions, OECA, OW, and OE I) in maintaining a successful system.

Authorized State, Territory or Tribe

1. Attend ICIS-NPDES User Group me etings and conference calls;

2. Develop transition plan and work with the Region during the review process;

3. Enter or transfer data to ICIS-NPDES pursuant to the standards set forth in Sections E, F

and G of this Policy Statement, in the RIDE list and in the approved transition plan;

4. Have complete, accurate RIDE data in ICIS-NPDES within the approved transition

period;

5. Ensure data quality in ICIS-NPDES;

6. Establish, maintain and implement clear ICIS-NPDES management agreements;

7. Identify System Administrator and Data Steward;

8. Manage users within the State, Territory or Tribe;

9. Identify training needs for users within the State, Territory or Tribe;

10. Manage, research and correct reported data issues; and

11. Work closely with Regional and OECA/ OW representatives including participating in

ICIS-NPDES workgroups and in major deci sions related to ICIS-NPDES through the

system governance bodies.

EPA Region

1. Attend ICIS-NPDES User Group meetings and conference calls as needed;

2. Develop transition plans for non-authorized States, Territories and Tribes; work with

Headquarters during the review process;

3. Enter data pursuant to the standards set forth in Section E of this Policy Statement, in the

Federal RIDE list and in the approved transition plan;

4. Enter NPDES data for non-authorized Stat es, Territories and Tribes in accordance with

Sections E, F and G of this Policy Statemen t and have complete RIDE data in system

within the approved transition period;

5. Ensure data quality in ICIS-NPDES;

6. Monitor and supplement data entry from Stat es, Territories and Tribes, if necessary;

7. Review and approve transition plans;

8. Review and approve transition plans;

9. Establish, maintain and ensure implemen tation of clear ICIS-NPDES management

agreements with States, Territories or Tribes, incorporating such agreements into PPAs or

similar documents;

10. Identify System Administrator and Data Steward;

11. Train and manage users;

12. Manage, research and correct reported data issues;

13. Work closely with Regional and OECA/ OW representatives including participating in

ICIS-NPDES workgroups and in major deci sions related to ICIS-NPDES through the

system governance bodies; and

14. Provide a source of ICIS-NPDES technical assistance and training.

# 6-2 OECA

1. Request appropriate resources to support ICIS-NPDES;

2. Operate and maintain ICIS-NPDES;

3. Evaluate and improve ICIS-NPDES to be tter ensure customer satisfaction;

4. Provide programmatic knowledge and experience;

5. Assert leadership in ensuring that complia nce and enforcement information is kept

current and complete by States, Territories, Tribes and Regions;

6. Resolve issues;

7. Maintain ICIS governance process;

8. Organize national meetings and conference calls;

9. Work closely with OW and Regional, State, Territorial and Tribal representatives and

associations on major decisions related to ICIS-NPDES;

10. Manage user contact lists, sensitive data access, RNC and DMR non-receipt flags, and

develop guidance and reference tables;

11. Monitor State-Region, Territory-Region and Tribe-Region ICIS-NPDES management

agreements;

12. Review and approve transition plans subm itted by Regions for non-authorized States,

Territories and Tribes; and

13. Secure and provide training for use of ICIS-NPDES.

OW

1. Work with OECA to ensure the av ailability of adequate resources;

2. Monitor State-Region, Territory-Region and Tribe-Region ICIS-NPDES management

agreements;

3. Review and approve transition plans subm itted by Regions for non-authorized States,

Territories and Tribes;

4. Provide programmatic knowledge and experience;

5. Participate in ICIS-NPDES governance bodies;

6. Assert leadership in ensuring permit informati on is kept current and complete by States,

Territories, Tribes and Regions;

7. Resolve issues; and

8. Work closely with OECA, Regional, State, Territorial and Tribal representatives and

associations, including participating in ICIS -NPDES workgroups and in major decisions

related to ICIS-NPDES.

OEI

1. Work with OECA to ensure the av ailability of adequate resources;

2. Manage Exchange Network, ICIS-NPDES XML schema, security protocols, and data

standards (including locational and facility data standards);

3. Work closely with OECA, OW, Regional, State, Territorial and Tribal representatives

on major decisions related to ICIS-NPDES; and

4. Assist in data exchange between States, Territories, Tribes and EPA.

# 7a-1 APPENDIX 7a, April 30, 2007 DRAFT

Definitions of Terms

Authorized State or Tribe

For the purposes of this document, an author ized State or Tribe is a State or Tribal

government which has received NPDES permitting authority from EPA.

Batch data entry

Batch data entry in ICIS-NPDES is the tr ansmission of eXtensible Markup Language

(XML) data files thr ough the Central Data Exchange in to ICIS-NPDES. For comparison,

in PCS, batch data entry occurred via upload of fixed format data files to the mainframe.

Core data

Core data refers to the RIDE information associated with facility, permit, compliance

monitoring, and enforcement data types.

Data element

A specific field or column name in ICIS-NPD ES or PCS that contains information when

data is entered.

Direct data entry

This refers to manual data entry by key punching , often in the case where the State, Tribe

or EPA Region is using PCS or ICIS-NPDES as their primary NPDES data management

system.

Direct user State or Tribe

In an NPDES program implemented by an authorized State or Tribe which will use

ICIS-NPDES to manage the NPDES program, direct users manually enter data into

ICIS-NPDES through the keyboard into web screens.

Hybrid State or Tribe

In an NPDES program implemented by an authorized State or Tribe which will use

ICIS-NPDES to manage the NPDES program, hybrid users manually enter some of the

data (usually non-DMR data) into ICIS-NPD ES through the keyboard into web screens.

They also electronically transfer th e rest of the data (usually DMR data) into

ICIS-NPDES; this electronic met hod of data entry will likely in crease, especially with the

availability of eDMR (electroni c DMR) tools, such as NetDMR.

ICIS

The acronym ICIS stands for the Integrated Compliance Information System, developed

by EPA to serve as a national multi-media data system.

# 7a-2 Major

A major facility is defined as follows: a majo r municipal facility has a flow of 1 million

gallons per day or greater, a service popul ation of 10,000 or grea ter or a significant

impact on water quality; indus trial facilities ar e considered major facilities based on a

rating system that allocates points in va rious categories, including flow, pollutant

loadings and water quality factors. EPA Re gions, States and Trib es also have the

discretion to identify other f acilities as major facilities due to environmental concerns.

Non-direct user State or Tribe

Such a State or Tribal NPDES program uses anot her software system, besides

ICIS-NPDES, to manage the NPDES program a nd only ensures that data is entered or

transferred to ICIS-NPDES a nd is available to satisfy na tional reporting responsibilities

and national program management needs. These States and Tribes are expected to rely

heavily on electronic transfer (batch) usi ng CDX and the Exchange Network, but may

also use keyboard data entry for some purposes, particularly if the State or Tribe database

has not been modified to include all RIDE.

Non-major

The universe of facilities regulated under the NPDES program that are not

“major”facilities. Non-major facilities can al so be referred to as “minor” facilities,

although this does not denote a less important status.

PCS

The acronym PCS stands for the Permit Compliance System, which served as the national

database of record for the NPDEs program since 1985.

Program components

Program components refer NPDES permit requi rements associated with particular

program areas. In ICIS-NPDES, a group of data elements are availabl e to users to track

program-specific data on Publicly-Owned Treatment Works (POTWs), Combined Sewer

Overflows (CSOs), Sanitary Sewer Overfl ows (SSOs), Pretreatment, Biosolids,

Stormwater, and Concentrated Animal Feeding Operations (CAFOs).

RIDE

The acronym RIDE stands for the Requisite IC IS-NPDES Data Elements, defined as the

essential national information needed from NPDES-authorized agencies for EPA to meet

the national NPDES national program manage ment, oversight and reporting needs.

Single event violation

A Single Event Violation is a violation of a NPDES permit or regulatory requirement that

is observed or determined by the permitting au thority (EPA Region or authorized State/

local/ tribal government), and is distinct from violations that are system-generated (e.g.,

effluent limit violations ar ising from DMR submission, DMR non-receipt or compliance

schedule violations). An unauthorized bypass or discharge, a violation detected during an

inspection, a narrative violation description reported on a DMR, and a pretreatment

violation are examples of Single Event Violations.

# 7a-3 System-required data

Key data elements that are necessary in or der to submit information or proceed to the

next screen in ICIS-NPDES.

WENDB

The acronym WENDB stands for the Water Enforcement National Data Base data

elements, identified as the required data elements in the Permit Compliance System

(PCS), which served as the national databa se of record for the NPDES program since

1985.

Wet weather sources

These are non-traditional NPDES sources which include storm water runoff from

industrial and municipal sectors, discharges from concen trated animal feeding operations

(CAFOs), and overflows from combined and sanitary sewer systems (CSOs and SSOs).

Such sources have been a program priority for EPA’s enforcement and compliance

program since 1998.

# 7b-1 APPENDIX 7b

Definition of Acronyms

CAFO - Concentrated Animal Feeding Operation

CDX - Central Data Exchange

CFR - Code of Federal Regulations

CSO - Combined Sewer Overflow

CSS – Combined Sewer System

DMR - Discharge Monitoring Report

ECHO - Enforcement and Compliance History Online

ICIS - Integrated Compliance Information System

MS4 - Municipal Separate Storm Sewer System

NPDES - National Pollutant Discharge Elimination System

OC – EPA’s Office of Compliance

OECA - EPA’s Office of Enforcement and Compliance Assurance

OEI - EPA’s Office of Environmental Information

OW - EPA’s Office of Water

PCS - Permit Compliance System

POTW - Publicly-Owned Treatment Works

RIDE - Requisite ICIS-NPDES Data Elements

RNC - Reportable Non-Complian ce according to 40 CFR §123.45

SNC - Significant Non-Compliance according to 40 CFR §123.45

SSO - Sanitary Sewer Overflow

SSS – Sanitary Sewer System

# 7b-2 WENDB - Water Enforcement National Data Base

XML - eXtensible Markup Language