# NPDES Electronic Reporting Rule:

**Overview of Appendix A** 

Region 5 Exchange Network Conference U.S. EPA Region 5, Chicago, Illinois

16 April 2015

# Overview of Appendix **A**

• Appendix A is the minimum set of NPDES program data that must be electronically collected and shared between NPDES-regulated facilities, authorized NPDES programs, and EPA. It is an appendix to the proposed Part 127. o Authorized NPDES programs may grant electronic reporting waivers to NPDESregulated facilities. In these cases, states perform the data entry from the paper submissions.

• Authorized programs that are the ‘Initial Recipient’ of these data must electronically transfer these data to EPA on a regular schedule (within 30 days of completed action).

• EPA/OECA worked with NPDES program experts from the Office of Water, Office of General Counsel, EPA Regions, and states to develop and refine Appendix A.

• The purpose of Appendix A is to ensure that there is consistent and complete reporting nationwide, and to expedite the collection and processing of the data, thereby reducing burden and making the data more timely, accurate, complete, useful, and transparent for everyone. 16 April 2015 23



## EP A Region 9 Annual Pretreatment Reports EP A Region 7 Annual Biosolids Reports 16 April 2015 

# NPDES Programs Need Standardized Electronic Data to Reduce the Burden of the Existing Paper Reporting System

# Overview of Appendix **A**

• When reviewing the list of Appendix A data elements it is important to note several concepts: o Frequency: Reporting frequency varies based on the type of data (e.g., permit issuance would likely be every five years; DMR data may be monthly). o Applicability: Many of the data elements are only applicable to certain NPDES sectors (e.g., CAFO data wouldn’t apply to POTWs). o Utility: Many of the data elements use codes or unique descriptions to facilitate easier analysis and reporting. This will allow state and EP A Regions to more efficiently identify noncompliance and water quality issues.



### • EPA’s Headquarters and Regional permitting program and enforcement staff used the following process to create the initial draft of Appendix A: o Identify current candidate reports and information from states and NPDES regulated entities that are practical to standardize and electronically process, and have important value to the permitting, compliance and enforcement program, and the public. o Identify the required data elements for each candidate data flow and report based on the CWA or existing EPA regulations or policy. o Minimize the number of data elements to create efficiencies without losing the utility of the data. 16 April 2015 4

# Here’s an example....

• Stormwater discharges, including discharges from municipal separate storm sewers (MS4s), industrial facilities and construction sites, can have a significant impact on water quality. EP

A has identified this as a area of focus for the NPDES program.

• In 1990 (Phase 1) and 1999 (Phase II) EP A created reporting requirements for MS4s: • Annual for Phase I MS4s (Large and Medium); and • Year 2 and 4 of the permit term for Phase II MS4s (Small).

• These long-standing regulations require MS4s to summarize their enforcement activities (along with other data): o Phase 1 [122.42(c)(6)]: “A summary describing the number and nature of enforcement actions, inspections, and public education programs.” o Phase II [122.34(g)(3)(i )]: “The status of compliance with permit conditions, an assessment of the appropriateness of your identified best management practices and progress towards achieving your identified measurable goals for each of the minimum control measures” [emphasis added] 16 April 2015 5

# Here’s an example....

• EP A used this regulatory language to develop the following data elements to capture the inspection and enforcement actions taken by the MS4 program report. o MS4 Enforcement Action Type o MS4 Enforcement Action Number o MS4 Municipality Enforcement Agency

• These data (and other data from the MS4 program report) will help states, EPA, and the public better understand the performance of each MS4 program. This is lacking in the current paper-based system. o Some states have noted that they currently rely on reviewing 200 page reports from MS4 to evaluate permit compliance. 16 April 2015 6

# Color Code for Appendix A to

40 CFR 127 (Required NPDES Data Elements) Yellow — For these data elements, regulated facilities will be the sole

or predominant source of the electronic data; 

## Pink — For these data elements, states and EPA will be the sole or

predominant source of the electronic data.

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# Overview of Appendix A

• Appendix A is divided into 36 sections and seven larger groupings.

– These seven groupings are: basic facility data, universal permit/NOI data; subprogram permit/NOI data; inspection data; DMR data; program report data; and violation and enforcement action data.



## • There is a direct relationship between the amount of data that will be reported, collected, and managed and the overall burden of the rulemaking. Consequently, it is important to focus on the amount of data that will be collected and not the number of data elements.
16 April 2015 8Inspection Data

DMR Data ( 11 data elem ents, frequency varies with permit requirements, may be monthly) 29 data elem ents, as inspections occur

Program Report Data 112 data elem ents, usually annually 

# Appendix **A Seven Data Groupings:**  **Amount of Information and Number of Data Elements** 

28 data elem ents, as situations occur Basic Facility Data 29 data elem ents, once every

5years 120 data elem ents, once every

5years 88 data elem ents,

once every

5years

Subprogram Permit/NOI

Data Universal Permit/NOI Data (including effluent limits and outfalls) Violation and Enforcement Action Data Yellow — for these data elements, regulated facilities will be the sole or predominant source of the data; Pink — for these data elem ents, states and EPA will be the sole or predominant source of the data. **Note:** The height of these boxes are intended to reflect the relative, but not exact, amount of information required for each data grouping.

16 April 2015 9 **Data Uses -** **> Identify regulated universe,**  **applicable**

**requirements, and environmental significance**  **Determine and Document Compliance Status**  **Document Enforcement Activities**  **and Responses to Non** **- Compliance** 

# NPDES **Information Sought under This Rule** 

**1. Basic Facility**  **Data** Inspection Data

DMR Data

Program Report Data Subprogram Permit/NOI

Data Universal Permit/NOI Data (including effluent limits and

outfalls) Violations and Enforcement Action Data **Key P** **oints** 1) 29 data elements 2) Primarily address and contact information 3) Most likely source: electronic NOIs and paper individual permit applications 4) Frequency: once every five years, usually upon permit reissuance

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# NPDES **Information Sought under This Rule**  Inspection Data

DMR Data

Program Report Data Subprogram Permit/NOI

Data Violation and Enforcement Action Data Basic Facility Data **2. Universal Permit/NOI Data (including**  **effluent limits**  **and outfalls) Key**  **P oints**  1) 88 data elements 2) 38 for basic permit information, 6 for narrative conditions and permit schedules, 12 for permitted features, 9 for limit sets, and 23 for limits 3) Most likely source: authorized NPDES programs 4) Frequency: once every five years, usually upon permit reissuance

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# NPDES **Information Sought under This Rule** 

**3. Subprogram Permit/NOI**

**Data** Inspection Data

DMR Data

Program Report Data Violation and Enforcement Action Data Basic Facility Data Universal Permit/NOI Data (including effluent limits and

outfalls) **Key P** **oints** 1) 120 data elements total 2) 8 for biosolids, 15 for AFO/CAFOs , 16 for industrial and construction stormwater, 26 for MS4s, 18 POTW specific, 14 for pretreatment programs, 15 for cooling water intake structures, and 8 for thermal variances 3) Most likely source: electronic NOIs and paper individual permit applications 4) Frequency: once every five years, usually upon permit reissuance

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# NPDES **Information Sought under This Rule** 

Subprogram Permit/NOI Data DMR Data

Program Report Data Violation and Enforcement Action Data Basic Facility Data Universal Permit/NOI Data (including effluent limits and

outfalls) **4. Inspection Data**  **Key P** **oints** 1) 29 data elements total 2) 13 universal data elements for any inspection, 1 for biosolids inspections, 7 for AFO/CAFO inspections, 7 additional for sewer overflow inspections and audits, and 1 for pretreatment inspections and audits 3) Most likely source: inspection reports from authorized NPDES programs 4) Frequency: varies based on facility type

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# NPDES **Information Sought Under This Rule** 

Subprogram Permit/NOI

Data Program Report Data Violation and Enforcement Action Data Basic Facility Data Universal Permit/NOI Data (including effluent limits and

outfalls) Inspection Data

**5. DMR Data**  **Key P** **oints** 1) 11 data elements 2) Self-monitoring data 3) Largest data entry burden due to multiple outfalls, pollutants, and measurements 4) Frequency: varies with permit requirements, usually monthly for major facilities

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# NPDES **Information Sought under This Rule** 

Subprogram Permit/NOI

Data Violation and Enforcement Action Data Basic Facility Data Universal Permit/NOI Data (including effluent limits and

outfalls) Inspection Data

DMR Data

**6. Program Report Data**  **Key P** **oints** 1) 11 2 data elements total 2) Self-monitoring data (mostly reported on paper forms today) 3) 4 for all program reports, 14 for biosolids annual reports, 34 for CAFO annual reports, 13 for MS4 program reports, 29 for pretreatment annual reports, 12 for sewer overflow or bypass reports, and 6 for CW A § 316(b) Annual Report 4) Frequency: mostly annual except for sewer overflow event report and small MS4s (twice per permit term)

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# NPDES **Information Sought under This Rule** 

Subprogram Permit/NOI

Data Basic Facility Data Universal Permit/NOI Data (including effluent limits and

outfalls) Inspection Data

DMR Data

Program Report Data **7. Violation**  **and Enforcement Action Data**  **Key P** **oints** 1) 28 data elements total 2) 2 common data elements, 8 for violations, 7 for enforcement actions, 2 for final orders, 2 for penalties, and 7 for compliance schedules 3) Data from authorized NPDES programs 4) Frequency: Within 30-days of completed action

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# Current Status **of Appendix A** 

• EP A is currently working with states to review each data element prior to EP A internal review of the final rule (May 2015). o This review started in January 2015 and took approximately ten 90-minute meetings. o EP A also conducted a similar in-depth review of Appendix A in 2014 to support the publication of the Supplemental Notice (1 December 2014).

• EPA/OECA is also working with OWM and Regional subject matter experts to refine Appendix A.

• Finally, EPA/OECA is also reviewing options for staggering implementation of the new state supplied data elements (e.g., subprogram data elements that are provided during permit issuance or renewal).

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