National Institute of Standards and Technology | U.S. Department of Commerce 1

CHIPS for America

Brief Overview of National Pollution Discharge Elimination 

System (NPDES) Permitting for the Semiconductor Industry

August 28, 2023
National Institute of Standards and Technology | U.S. Department of Commerce 2

Today’s Speakers

Komal "Komie" Jain

Director, Environmental Division

Sean Ramach

Environmental Scientist, 

Environmental Protection Agency
Overview of EPA’s NPDES 

Program

8/28/2023
Disclaimers

CWA and NPDES Overview

This presentation does not: 

• Impose any binding requirements

• Determine the obligations of the regulated community

• Change or substitute for any statutory provision or regulation requirement

• Represent, change or substitute for any Agency policy or guidance

• Control in any case of conflict between this discussion and statute, regulation, policy or 

guidance

The views expressed in presentation are those of the author[s] and do not necessarily 

represent the views or policies of the U.S. Environmental Protection Agency.

4
An Overview of the 

Clean Water Act
Clean Water Act — Cuyahoga River

CWA and NPDES Overview

6
Federal Water Pollution Control Act 

Amendments — 1972

Clean Water Act Section 101(a) 

 Objective: Restore and maintain the chemical, physical, and biological 

integrity of the Nation’s waters

 National Goals and Policies include:

 Eliminate the discharge of pollutants to navigable waters by 1985

 As an interim goal, achieve by July 1, 1983, wherever attainable, a level of water quality 

that provides for the protection and propagation of fish, shellfish, and wildlife and 

provides for recreation in and on the water

 Prohibit the discharge of toxic pollutants in toxic amounts

CWA and NPDES Overview

7
Clean Water Program (1972 – Present)

 Federal Water Pollution Control Act Amendments (1972)

 Established NPDES and pretreatment programs

 Provided for authorization of state NPDES permitting programs

 Established technology- and water quality-based requirements

 Established “permit as a shield”

 Established significant penalties for permit violations

 Clean Water Act (1977)

 Focused on priority pollutants and effluent guidelines

 Water Quality Act (1987)

 Focused on water quality-based effluent limits and stormwater

CWA and NPDES Overview

8
NPDES Statutory and Regulatory Framework

CWA section 301(a) and 40 CFR 122.1(b)

 All point sources

 Discharging 

pollutants

 Into waters of the 

United States

Must obtain an 

NPDES permit from 

EPA or an authorized 

state, territory, or 

tribe

 Permits are issued for a maximum of 5 years

 May be administratively continued if the permittee timely reapplies with a 

complete application

CWA and NPDES Overview

9
Point Source – 40 CFR 122.2

 Any discernible, confined, and discrete 

conveyance, including but not limited to:

 Any pipe, ditch, channel, tunnel, conduit, 

well, discrete fissure, container, rolling 

stock, concentrated animal feeding 

operation, landfill leachate collection 

system, vessel or other floating craft from 

which pollutants are or may be discharged

 Does not include return flows from irrigated agriculture 

or agricultural storm water runoff

 Direct dischargers are subject to the NPDES permit 

program, indirect dischargers (discharging into a 

sewage treatment plant or POTW) are subject to the 

national pretreatment program.

CWA and NPDES Overview

10
CWA Classes of Pollutants 

 Pollutant — defined at 40 CFR 122.2

 Dredged spoil, solid waste, incinerator 

residue, filter backwash, sewage, 

garbage, sewage sludge, munitions, 

chemical wastes, biological materials, 

radioactive materials, heat, wrecked or 

discarded equipment, rock, sand, cellar 

dirt, and industrial, municipal, and 

agricultural waste discharged into water

 Practical Definition — Anything that changes 

the physical, biological or chemical 

characteristics of the receiving water

 Does not include sewage from vessels or 

certain materials related to injection wells

Conventional 

Pollutants

BOD, TSS, pH, fecal 

coliform, and oil and 

grease

Toxic Pollutants

65 classes of compounds 

(126 priority pollutants 

that are heavy metals or 

organic compounds)

Nonconventional 

Pollutants

Everything else (e.g., 

chlorine, ammonia, 

nitrogen, phosphorus)

CWA and NPDES Overview

11
Waters of the U.S. - Supreme Court Rulings

 Interpretations of Supreme Court rulings led to confusion about 

which waters are protected under the CWA

 SWANCC v. U.S. Army COE (2001)

 Rapanos v. United States (2006)

 2015 and 2020 Definition of WOTUS under CWA

 Litigated and vacated/remanded

 EPA and U.S. Army Corps of Engineers signed and published a new 

proposed rule to clarify WOTUS on December 7, 2021

 https://www.epa.gov/wotus/revising-definition-waters-united-states

 The Supreme Court issued the Sackett v EPA (2023) decision in May 

2023 that provided new direction on what is a Waters of the US. EPA 

and the US ACE are considering next steps

 https://www.supremecourt.gov/opinions/22pdf/21-454_4g15.pdf

Work with 

the state to 

understand 

status of 

receiving 

waterbody

CWA and NPDES Overview

12
What is a Permit?  A permit is a license that is  issued by the government  grants permission to do something

that would be illegal in the absence 

of the permit (e.g., driver’s license)

 There is no right to a permit, and it 

is revocable for cause (e.g., 

reckless driving)

 An NPDES permit is a license to 

discharge pollutants to a waters of 

the US, and limitations and 

requirements of a permit are 

enforceable.

CWA and NPDES Overview

13
NPDES Permit Types

 Individual Permit

 One application submitted for each permit 

issued

 Appropriate where facility-specific permit 

conditions are needed

 General Permit [§ 122.28]

 One permit issued and many Notices of Intent 

(NOIs) for coverage submitted

 Appropriate where:

 Multiple, similar sources within the same 

geographic area require permit coverage

 Sources have similar discharges and would 

require the same or similar permit 

conditions

Individual 

permit 

application

Individual 

permit

56,554 facilities (July 2023)

General 

permit

NOIs

417,094 facilities (July 2023)

CWA and NPDES Overview

14
Who Administers the NPDES Program?

U.S. EPA administers the NPDES permit program unless a state, territory, or 

tribal government seeks and receives authorization:

 Request: State/territory/tribe [hereafter “state”] must submit a detailed request to EPA for 

approval [40 CFR Part 123]

 Content: The request must include requisite legal authority, resource commitment, and 

implementation procedures

 Authority: Upon EPA approval of the state program, exclusive authority for permitting 

transfers to the state

 Oversight: EPA assumes oversight role and reviews and objects to permits as necessary to 

assure consistency with federal requirements.

State DEQ

CWA and NPDES Overview

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NPDES Program Authorizations

AK

HI

CA

NV

AZ

OR

WA

ID

UT

CO

WY

MT ND

SD

NE

KS

IA

MO

NM

OK

TX

AR

LA

MN

WI

IL IN

OH

PA

WV VA

MS AL

TN

KY

NC

SC

GA

FL

ME

VT

NH

MA

RI

CT

NY

NJ

DC

MD

DE

MI

State NPDES Program Status

Fully authorized, including an approved biosolids 

program

Fully authorized

Partially authorized

Unauthorized

U.S. Territories

American Samoa

Guam

Johnston Atoll

Midway/Wake Islands

Northern Mariana 

Islands

Puerto Rico

Virgin Islands

CWA and NPDES Overview

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NPDES Permitting Process

Timely and Complete Application 

Submitted

Prepare draft permit and fact sheet 

(or statement of basis)

Prepare administrative record

EPA/State review of draft permit and 

fact sheet (or statement of basis)

Public notice (opportunity for public 

comment)

Prepare final permit and 

administrative record

Public Hearing

Significant 

Degree of Public 

Interest or Other 

Reason for 

Hearing

Issue final permit

EPA Objection/ 

No State Concurrence

No EPA Objection/ 

State Concurrence

CWA and NPDES Overview

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Permit Application and Limitation 

Development
Who Must Apply for an NPDES Permit?

Any person who discharges pollutants or proposes to 

discharge pollutants...who does not have an effective 

permit... [§ 122.21(a)] 

 exclusions [§ 122.3] (e.g., nonpoint sources, sewage from vessels, 

dredged or fill material, indirect dischargers)

 owner vs. operator [§ 122.21(b)] 

40 CFR 122.22 specifies who is authorized to sign the permit application and 

certify the information in the application is true, accurate and complete.

 Corporation — responsible corporate officer (president, vice president, secretary, treasurer, 

some facility managers)

 Partnership or sole proprietorship — general partner or the proprietor

 Municipality, state, federal or other public agency — principal executive officer or ranking 

elected official

CWA and NPDES Overview

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How Does a Permittee Apply for an Individual 

Permit?

 Applicants must use approved EPA or state permit application form(s) 

 state’s, territory’s, or tribe’s forms may differ but must contain minimum required 

information

 additional forms often used to supplement EPA forms

 For Industrial facilities, the most typical form is EPA Form 2C or equivalent

CWA and NPDES Overview

20
Why is Application Completeness Important?

•Director shall not begin the processing of a permit until the applicant has fully 

complied with the application requirements for that permit

Permit processing 

[§ 124.3(a)(2)]

•Director shall not issue a permit without a complete application

Permit issuance 

[§ 122.21(e)]

• EPA provides administrative continuance of expiring NPDES permit with receipt of a 

complete and timely permit application [§ 122.6]

•Most states have continuance provisions similar to provisions for EPA-issued permits

Continuation of expiring permits 

[§ 122.6]

• “Compliance with a permit” is compliance with the CWA

• Limited to pollutants that discharge information is provided for in the application

Permit as a Shield

CWA Section 402(k)

CWA and NPDES Overview

21
Technology- and Water Quality-based Effluent 

Limitations

Technology-based Effluent Limitations 

(TBELs)

Water Quality-based Effluent Limitations

(WQBELs)

Goal or Policy:  Zero Discharge of Pollutants  Fishable and Swimmable Waters

 No Toxics in Toxic Amounts

Standards:  Technology  Water Quality

NPDES 

Regulations:

 40 CFR 122.44(a), (e)

 40 CFR 125.3

 40 CFR 122.44(d)

• Develop TBELs (derived from technology standards) for all applicable 

pollutants of concern. Minimum level of control required [125.3(a)]

• Develop WQBELs where TBELs are not adequate to meet water quality 

standards in the receiving water.

CWA and NPDES Overview

22
CWA Technology Requirements

 § 125.3(a) — technology-based treatment standards represent the minimum 

level of control that must be imposed in an NPDES permit.

 for Publicly Owned Treatment Works (POTWs): Secondary Treatment

 Industrial (non-POTWs): Best Practicable Technology

Best Conventional Technology 

Best Available Technology

New Source Performance Standards

 § 125.3(c) — methods of imposing technology-based requirements for nonPOTWs:

 application of EPA-promulgated effluent guidelines (ELGs) by industry category

 where effluent guidelines are inapplicable, through a case-by-case approach using Best 

Professional Judgment

 through a combination of these approaches

CWA and NPDES Overview

23
CWA Technology Requirements

 ELGs are developed for industry categories.

 More than one ELG may apply to a facility if multiple processes are conducted.

 Part 414 — Organic Chemicals, Plastics, and Synthetic Fibers

 Part 469 — Electrical and Electronic Components Point Source Category

 When an ELG has not been developed or a pollutant was not addressed by 

an ELG, then case by case limitations must be considered.

 Essentially a facility specific ELG analysis that can take time to complete so early 

engagement is important.

 PFAS is not currently regulated under an ELG and is subject to case by case 

requirements. 

CWA and NPDES Overview

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Type of Direct Discharger – New Source

 New Source [§ 122.2]: Any building, structure, facility, or installation from which 

there is or may be a discharge of pollutants, the construction of which 

commenced:

 After promulgation of applicable New Source Performance Standards in the effluent 

guidelines or

 After proposal of applicable New Source Performance Standards in the effluent guidelines, 

but only if the standards are promulgated within 120 days of proposal

CWA and NPDES Overview

25
CWA Water Quality Requirements

 CWA Section 301(b)(1)(C) and 40 CFR 122.44(d)(1)(vii)

 Limits must derive from and comply with all applicable WQ standards

 Limits must be consistent with the assumptions and requirements of any 

available wasteload allocation in an EPA-approved TMDL

Water Quality Criteria

 Apply in the receiving water 

and could include:

• magnitude

• duration

• frequency

Effluent Limitations

 Apply “end-of-pipe” and 

include:

• magnitude

• averaging period

CWA and NPDES Overview

26
Implementing Water Quality Requirements in 

NPDES Permits

 Water quality standards and implementing procedures (including NPDES 

requirements) specify how we:

Identify 

Pollutants of 

Concern

Identify 

applicable 

water quality 

standards

Characterize 

effluent and 

receiving water

Determine the 

need for 

WQBELs

Calculate 

WQBELs

CWA and NPDES Overview

27
Inputs to Calculating Limitations

 Identify Pollutants of Concern

 Pollutants that have applicable ELGs, present in required monitoring, otherwise expected 

to be present.

 If the pollutant is not identified and considered during permit development, then any 

discharge would be unauthorized.

 Applicable Water Quality Standards

 Specific numeric criteria for pollutants

 Narrative criteria such as “no toxics in toxic amounts” that are interpreted to numeric values 

when specific criteria have not yet been developed.

 Effluent and Receiving Water Characterization

 Determine critical conditions to ensure that criteria are still met at worst case conditions 

(low flow and max facility production typically)

 Water quality standards often specify metrics for critical conditions such as 7Q10 flow or 

design effluent flow.

CWA and NPDES Overview

28
Determining the Need for WQBELs

Water Quality-Based Effluent Limitations

40 CFR 122.44(d)(1)(ii)

When determining whether a discharge causes, has the reasonable potential to cause, or 

contributes to an in-stream excursion above a narrative or numeric criteria within a State 

water quality standard, the permitting authority shall use procedures which account for:

 existing controls on point and nonpoint sources of pollution

 the variability of the pollutant or pollutant parameter in the effluent

 the sensitivity of the species to Whole Effluent Toxicity testing (when applicable)

 where appropriate, the dilution of the effluent in the receiving water

EPA has developed a process found in a Technical Support Document (TSD), but state 

procedures vary widely...must account for the factors above.

CWA and NPDES Overview

29
Reasonable Potential Analysis (RPA)

 We can conduct a “reasonable potential analysis” based on:

 numeric criteria

 narrative criteria

 numeric interpretation

 qualitative interpretation

 A reasonable potential analysis can be completed:

 with effluent data

 without effluent data

 data from other sources or from similar discharges

 qualitative information

 EPA’s statistical process was developed for toxic chemical analysis, but may be 

used for other pollutants as appropriate. RPA must be competed for all 

pollutants using established federal or state procedures.

CWA and NPDES Overview

30
TSD Process

 The TSD has a statistical process that allows us to estimate or predict a value for 

the toxic chemical pollutants in the effluent that would represent critical 

conditions from even 1 data point.

 Under the empirical process, to say with 99% confidence that we have “sampled” the 99% 

value for the distribution we would need 330 data points. 

 The statistical process allows us to estimate this with that 1 data point.

 More data is better, rule of thumb is at least 30 data points reduces the uncertainty. Relative Frequency

Concentration

LTA

CV

0

CWA and NPDES Overview

31
Considerations for Other Parameters

pH

• Non-conservative

• Instantaneous effects

• Limits often based 

directly on water 

quality criteria with no 

consideration of 

dilution

• Typically applied as a 

range that must be 

met at all times

Pathogens

• Non-conservative

• Bacteria, viruses

• Human health impacts 

(beaches)

• Indicator criteria

• Complex duration and 

frequency 

considerations

Nutrients

• Non-conservative

• Limits often derived 

from interpretation of 

narrative criterion and 

state policy 

implementation

• Relationships between 

causal and response 

variables (e.g., far-field 

effects and delayed 

impacts)

• Limit expression might 

include annual or 

seasonal averages or 

cumulative loading 

requirements 

Temperature

• Often applied as a 

delta

• Modeling is typically 

required

• CWA Section 316(a) 

may be applicable

CWA and NPDES Overview

32
Answer the Question: “Is There Reasonable 

Potential?”

 If the projected receiving water concentration exceeds the applicable water 

quality criterion, then there is reasonable potential and the permit writer must 

establish WQBELs.

 If the projected receiving water concentration is equal to or less than the 

applicable water quality criterion, then there is no reasonable potential and 

we have not demonstrated a need to establish WQBELs.

CWA and NPDES Overview

33
Calculate WQBELs

WLA = the maximum allowable pollutant concentration in the effluent 

from ABC Inc. that, after accounting for available dilution under 

critical conditions, will meet an applicable water quality criterion

*

Permitting authorities use various terms for what is called a WLA here

WLAs are converted to Maximum Daily Limitations and Average 

Monthly Limitations to comply with 40 CFR 125.45(d) using statistical 

procedures if applicable. 

CWA and NPDES Overview

34
Final Effluent Limitations

 Compare:

1) TBELs with

2) WQBELs based on WLAs for all applicable criteria with

3) WQBELs based on a TMDL or other watershed-based requirements

 The most stringent limitations for each parameter are the new, calculated final 

effluent limitations.

 Final effluent limitations in the permit must meet anti-backsliding and 

antidegradation requirements.

 Anti-backsliding – proposed limits cannot be less stringent than any previous limit imposed 

in an NPDES permit unless certain criteria are met.

 Antidegradation – new or increased discharges must meet certain criteria to be allowed. 

CWA and NPDES Overview

35
Other Permit Conditions
Monitoring

 Permits must specify the type, intervals, and frequency of monitoring sufficient 

to yield data representative of the monitored activity [§ 122.48(b)]

 Permit must include monitoring requirements to assure compliance with permit 

limitations [§ 122.44(i)(1)]

 the mass or other measurement specified in the permit for each pollutant limited in the permit

 the volume of effluent discharged from each outfall

 other measurements as appropriate (e.g., internal waste streams and determination of compliance 

with narrative requirements)

 Self-Compliance Monitoring

 Primary method of monitoring for NPDES program

 Permittee performs sampling and analysis

 Results determine compliance with permit limits and conditions

 Requirements should be clear and precise

CWA and NPDES Overview

37
Reporting 

 Permit establishes what must be reported

 monitoring results as required in permit [§ 122.41(l)(4)]

 data for pollutants monitored more frequently than required using approved methods 

[§ 122.41(l)(4)(ii)]

 Permit establishes when information will be reported

 reporting requirements must be established on a case-by-case basis with the frequency 

dependent on the nature and effect of the discharge, but in no case less than once a 

year [§ 122.44(i)(2)]

 While not required, permit should document where records are located

CWA and NPDES Overview

38
Special Conditions

 Additional Monitoring and Special Studies

 Used to supplement effluent limitations

 May be used to collect data for future limitation development

 Best Management Practices

 Incorporate preventive requirements

 Are qualitative, not quantitative

 Compliance Schedules

 Allow time for a facility to come into compliance with new permit requirements.

CWA and NPDES Overview

39
List of Standard Conditions – § 122.41

a. Duty to comply

b. Duty to reapply

c. Need to halt or reduce activity not a 

defense

d. Duty to mitigate

e. Proper O & M

f. Permit actions

g. Property rights

h. Duty to provide information

i. Inspection and entry

j. Monitoring and records

k. Signatory requirements

l. Reporting requirements

1. Planned changes

2. Anticipated noncompliance

3. Transfers

4. Monitoring reports

5. Compliance schedules

6. 24-hour reporting

7. Other noncompliance

8. Other information

9. Identification of initial recipient

m. Bypass

n. Upset

CWA and NPDES Overview

40
Fact Sheets 

 General facility information

 Description of facility or activity

 Sketch or description of location 

 Type and quantity of waste/pollutants discharged

 Summary rationale of permit conditions

 Applicable statutory and regulatory citations

 References to administrative records

 Detailed rationale of permit conditions

 Explanation and calculation of effluent limitations and conditions

 Explanation of how required sewage sludge land application elements addressed

 Inappropriateness of requested variances

 Administrative requirements

 Permit procedures

 Permitting authority contact name and telephone number

CWA and NPDES Overview

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National Pretreatment Program

 Major goal is controlling 

discharges in order to:

 prevent interference with POTW 

processes

 prevent pass through of pollutants

 protect sludge management 

options

 Additional programmatic goals

 encourage recycling and 

reclamation

 ensure POTW personnel health 

and safety https://www.epa.gov/npdes/national-pretreatment-program

CWA and NPDES Overview

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Pretreatment Regulatory Requirements

 General Pretreatment Regulations for Existing and New Sources of Pollution [40 CFR Part 403]

 National Pretreatment Standards

 Prohibited Discharges [§ 403.5]

 Categorical Standards [§ 403.6]

 Requirements for POTW and state, territorial, or tribal programs

 Industrial and POTW monitoring and reporting requirements

 The Pretreatment Program is similar to the NPDES Program in that states must apply to EPA to 

obtain authority to implement the pretreatment program.

 Program Approval Authority 

 Regulates and ensures POTW pretreatment programs comply with the regulations.

 EPA or the State

 Program Control Authority

 Implements controls on Industrial Users discharging to the POTW to ensure pretreatment 

requirements are met.

 POTW or State

 https://www.epa.gov/npdes/national-pretreatment-program-implementation

CWA and NPDES Overview

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Pretreatment Program Authorizations

AK

HI

CA

NV

AZ

OR

WA

ID

UT

CO

WY

MT ND

SD

NE

KS

IA

MO

NM

OK

TX

AR

LA

MN

WI

IL IN

OH

PA

WV VA

MS AL

TN

KY

NC

SC

GA

FL

ME

VT

NH

MA

RI

CT

NY

NJ

DC

MD

DE

MI

State Pretreatment Program Status

Pretreatment authorized

403.10(E) –State managed program

EPA Pretreatment Authority

U.S. Territories

American Samoa

Guam

Johnston Atoll

Midway/Wake Islands

Northern Mariana 

Islands

Puerto Rico

Virgin Islands

CWA and NPDES Overview

44
Questions?

Sean Ramach

ramach.sean@epa.gov
National Institute of Standards and Technology | U.S. Department of Commerce 46

Next Steps

• Visit CHIPS.gov for resources, including:

• Environmental Resources

• Applicant guides and templates

• FAQs and fact sheets

• Register for future webinars

• Join our mailing list

• Contact us

• askchips@chips.gov – General inquiries

• apply@chips.gov – Application-related inquiries
National Institute of Standards and Technology | U.S. Department of Commerce 47

Questions
National Institute of Standards and Technology | U.S. Department of Commerce 48

Thank you