Control Authority Pretreatment Audit Checklist and Instructions

CONTROL AUTHORITY PRETREATMENT

AUDIT CHECKLIST AND INSTRUCTIONS

833-B-10-001

February 2010

Office of Wastewater Management

Office of Enforcement and Compliance Assurance

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CONTENTS

DISCLAIMER......................................................................................................................................................... ii

CHAPTER 1. INTRODUCTION

INTRODUCTION ................................................................................................................................................ 1-1

OVERVIEW ............................................................................................................................................... 1-1

PURPOSE ................................................................................................................................................... 1-3

EXPERIENCE NECESSARY TO CONDUCT AN AUDIT...................................................................... 1-3

PROCEDURES FOR CONDUCTING AN AUDIT................................................................................... 1-5

PREPARATION .................................................................................................................................. 1-7

INTERVIEW ....................................................................................................................................... 1-7

FILE REVIEW..................................................................................................................................... 1-8

IU SITE VISITS................................................................................................................................... 1-8

WASTEWATER TREATMENT PLANT WALK THROUGH.......................................................... 1-9

CLOSING CONFERENCE ................................................................................................................. 1-9

FOLLOW-UP....................................................................................................................................... 1-9

CHECKLIST STRUCTURE..................................................................................................................... 1-10

RESOURCES FOR CONDUCTING AUDITS ........................................................................................ 1-11

CHAPTER 2. CONTROL AUTHORITY PRETREATMENT AUDIT CHECKLIST

CONTROL AUTHORITY PRETREATMENT AUDIT CHECKLIST..........................................................PCA-1

ACRONYM AND ABBREVIATION LIST ...................................................................................................PCA-2

SECTION I: DATA REVIEW.........................................................................................................................PCA-5

SECTION II: IU FILE EVALUATION ........................................................................................................PCA-25

SECTION III: OBSERVATIONS AND CONCERNS .................................................................................PCA-41

ATTACHMENT A: PRETREATMENT PROGRAM STATUS UPDATE

ATTACHMENT B: PRETREATMENT PROGRAM PROFILE

ATTACHMENT C: LEGAL REVIEW CHECKLIST

ATTACHMENT D: SITE VISIT DATA SHEET, WENDB DATA ENTRY WORKSHEET, PCA

REQUIRED ICIS DATA ELEMENTS WORKSHEET, RNC WORKSHEET

CHAPTER 3. AUDIT CHECKLIST INSTRUCTIONS

SECTION I: DATA REVIEW.............................................................................................................................. 3-1

SECTION II: IU FILE EVALUATION ..............................................................................................................3-42

SECTION III: OBSERVATIONS AND CONCERNS .......................................................................................3-74

February 2010 i

DISCLAIMER

The discussion in this document is intended solely as guidance. The statutory provisions and regulations

of the U.S. Environmental Protection Agency (EPA) described in this document contain legally binding

requirements. This document is not a regulation itself, nor does it change or substitute for those

provisions and regulations. Thus, it does not impose legally binding requirements on EPA, States or the

regulated community. This guidance does not confer legal rights or impose legal obligations on any

member of the public.

While EPA has made every effort to ensure the accuracy of the discussion in this guidance, the

obligations of the regulated community described in this document are determined by statutes, regulations

or other legally binding requirements. If a discussion in this document conflicts with any statute or

regulation, this document would not be controlling.

The use of non-mandatory words like “should, “could,” “would,” “may,” “might,” “encourage,” “expect,”

and “can,” in this guidance means solely that something is suggested or recommended and not that it is

legally required or that the suggestion or recommendation imposes legally binding requirements or that

following the suggestion or recommendation necessarily creates an expectation of EPA approval.

The general descriptions provided here might not apply to situation’s circumstances. Interested parties are

free to raise questions about and objections to the substance of this guidance and the appropriateness of

applying this guidance to a situation. EPA and other decision makers retain the discretion to adopt

approaches on a case-by-case basis that differ from those described in this guidance where appropriate.

Mention of trade names or commercial products does not constitute an endorsement or recommendation

for their use.

This document may be revised periodically without public notice. EPA welcomes public input on this

document at any time.

ii February 2010

CHAPTER 1. INTRODUCTION

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CHAPTER 1 Introduction

INTRODUCTION

OVERVIEW

Pretreatment Standards are derived from a number of sources. First, the Clean Water Act (CWA) (title

33 of the United States Code [U.S.C.] section 1251 et seq.) requires the U.S. Environmental Protection

Agency (EPA) to promulgate Pretreatment Standards and Requirements. EPA has responded by

establishing general and specific prohibited discharge standards [Title 40 of the Code of Federal

Regulations (CFR) 403.5] applicable to all nondomestic users and by promulgating categorical

Pretreatment Standards applicable to specific industrial categories [40 CFR Parts 405–471]. In addition,

the General Pretreatment Regulations [40 CFR Part 403] require Publicly Owned Treatment Works

(POTWs) to develop local limits where necessary to implement the prohibited discharge standards.

Finally, states and POTWs always have the option of establishing more stringent requirements if they so

choose. Therefore, the pretreatment program is a mixture of federal, state, and local standards and

requirements.

The General Pretreatment Regulations require all POTWs with design flows greater than 5 million gallons

per day (mgd) and receiving industrial discharges that pass through or interfere with the operation of the

POTW, or are otherwise subject to Pretreatment Standards, to develop local pretreatment programs

(unless the state government has elected to administer the local program). EPA or a state authorized to

implement a state pretreatment program may require other POTWs to implement pretreatment programs.

It is assumed for the purposes of this manual that the POTW issuing significant industrial user (SIU)

permits has an approved pretreatment program and is, thus, the Control Authority (CA) responsible for

administering and enforcing the pretreatment program. The program implementation and enforcement

responsibilities are contained in the POTW’s National Pollutant Discharge Elimination System (NPDES)

permit, and failure to adequately fulfill those activities constitutes an NPDES violation and could subject

the POTW to penalties.

States with approved pretreatment programs are responsible for overseeing and coordinating the

development and approval of local pretreatment programs. Before state approval, EPA is the Approval

Authority (AA) for local pretreatment programs. (NPDES states must receive EPA approval before they

can function as Approval Authorities for pretreatment purposes. Before this approval, EPA serves as the

pretreatment AA, even where the state issues NPDES permits.) However, states can participate in

pretreatment activities even before their state program is approved.

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CHAPTER 1 Introduction

The pretreatment program represents a unique partnership between federal, state, and local regulatory

agencies. The AA (EPA or an authorized state) is responsible for ensuring that local program

implementation is consistent with all applicable federal requirements and is effective in achieving the

National Pretreatment Program’s goals. To carry out that responsibility, the AA must ensure compliance

with pretreatment program requirements and take responsive actions (e.g., changes to a POTWs’ NPDES

permit, enforcement) where needed to bring about compliance. The AA has three tools for doing this: (1)

the program audit, (2) the Pretreatment Compliance Inspection (PCI), and (3) the CA’s annual

pretreatment program performance report.

A comprehensive audit is the most effective of the three mechanisms and provides an opportunity to

evaluate all aspects of the CA’s program. In EPA’s view, the CA should audit all approved active POTW

pretreatment programs at least once in each 5-year permit term, generally corresponding to an annual

audit rate of 20 percent. The audit also provides the opportunity to help the CA build its local program

implementation capability. The purpose of an audit is to assess the program’s compliance with the

regulatory requirements as they were expressed in the NPDES permit. The audit also identifies areas of

the CA’s program that need to be modified to bring the program into compliance with the regulations.

The audit serves several important functions, such as identifying needed changes to the NPDES permit

and identifying circumstances that might warrant enforcement actions against the CA. The checklist

includes sections for evaluating environmental indicators and investigating the CA’s use of pollution-

prevention techniques. The auditor could develop recommendations for improving the performance of a

CA’s program that might be useful in enhancing a CA’s program. Thus, the new checklist could help the

AA identify program areas where recommendations could be made to increase the effectiveness of the

CA’s program.

The intent of the sample audit form (included in this document) is to provide an example of the

information that should be reviewed during an audit. Some of the data are required by EPA’s pretreatment

regulations. In such cases, the sample audit form provides the corresponding legal citation. In October

2005, EPA amended its General Pretreatment Regulations (70 Federal Register [FR] 60134-60198;

October 14, 2005). Those changes referred to as the Streamlining Rule, clarified existing requirements

under the regulations and revised others to provide additional flexibility to POTWs and its industrial

users, among other things, to reduce regulatory burden and simplify compliance. The sample audit form

specifically highlights those provisions of the regulations that were part of the Streamlining Rule. The

sample audit form also provides examples of other optional pretreatment program information that the

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CHAPTER 1 Introduction

auditor might want to review and highlight during the audit to reflect the varied activities that

pretreatment programs implement to achieve their environmental objectives.

The PCI is a tool for the AA to determine the CA’s compliance with and enforcement of its approved

pretreatment program during the intervening years between audits. The CA submits its annual

pretreatment program performance report to the AA. Review of the annual report is also another tool for

evaluating the pretreatment program. It supplies basic information on the CA’s industrial user (IU)

compliance with Pretreatment Standards and local limits and POTW compliance monitoring and

enforcement activities during the year. The purpose of the annual report is to provide a relatively brief

self-assessment of the POTW’s performance in implementing its approved pretreatment program.

Both the pretreatment program itself and the requirements for tracking program implementation

compliance have undergone major changes. The October 2005 revisions to the General Pretreatment

Regulations (70 FR 60134-60198; October 14, 2005) resulted in additions to local program requirements.

That necessitated a revision of the audit checklist. The attached audit checklist replaces the checklist

developed in May 1992. The checklist covers all the evaluation components of the previous checklist, but

it also looks at other areas including a program’s environmental effectiveness and its use of pollution-

prevention measures.

PURPOSE

The principal reason for conducting an audit is to assess the CA’s program as a whole by reviewing all

components and determining the program’s overall compliance with regulatory requirements. This is

done by examining the discrete portions of the entire program (e.g., legal authority, IU control

mechanisms, compliance monitoring, and enforcement) and making an assessment on the basis of how

the discrete portions interact to form the whole. The specific objectives to be accomplished by conducting

an audit are determining the CA’s compliance status with requirements of its NPDES permit, approved

program, and federal regulations. Additional information might also be useful in evaluating the adequacy

and effectiveness of the program in achieving compliance with those requirements and environmental

goals of the program. The audit might also prove helpful in determining whether any modifications have

been made to the program and verifying important elements of the CA’s program performance reports.

EXPERIENCE NECESSARY TO CONDUCT AN AUDIT

Because the new audit checklist looks at the entire program in extensive detail and examines areas that

were previously looked at only on a case-by-case basis, the checklist assumes a high level of pretreatment

February 2010 1-3

CHAPTER 1 Introduction

program expertise on the part of the auditor. The auditor, consequently, should be familiar with the goals

of the pretreatment program, the General Pretreatment Regulations (40 CFR Part 403), categorical

standards, and EPA/state policy and guidance. Auditors should also have participated in audits conducted

by a senior lead auditor.

It is EPA’s policy to ensure that those who lead environmental compliance audits, inspections, or field

investigations are properly trained to perform those functions in a legally and technically sound manner.

As such, EPA Order 3500.1 establishes an agency-wide training and development program for personnel

leading environmental compliance audit, inspections, or field investigations. This order applies to all EPA

personnel who lead or oversee the conduct of compliance inspections or field investigation. Furthermore,

the order is advisory to state and local agencies. The training program under this order consists of three

parts—Occupational Health and Safety curricula, Basic Inspection curriculum, and Program-specific

curricula. In addition EPA expects its inspectors to have completed training to develop a good working

knowledge of the subject-related problems, regulations, control technologies, and best management

practices (BMPs). For further guidance regarding the standard procedures of inspection, see EPA’s

NPDES Compliance Inspection Manual (EPA 305-X-03-004). The manual is at

http://www.epa.gov/compliance/resources/publications/

monitoring/cwa/inspections/npdesinspect/npdesin

spectnoapps.pdf.

The auditor should be familiar enough with all aspects of a local pretreatment program to conduct an

audit that will collect the data necessary to make a meaningful evaluation of the CA’s effectiveness in

complying with its program requirements. The absence of an adequate understanding of the program and

its requirements undercuts the reliability of the audit. At a minimum, the auditor should be able to do the

following:

 Identify the category to which an industry belongs and to develop appropriate permit limits

on the basis of the process wastewater discharged. To do this, the auditor should be

knowledgeable of the national categorical Pretreatment Standards and local limits.

 Evaluate the adequacy of the control mechanisms issued by the CA to its SIUs. As a result,

the auditor should be able to determine whether the control mechanism meets the minimum

regulatory requirements and whether they are effective in controlling the discharge of the

SIU.

 Evaluate the CA’s legal authority for its compliance with regulatory requirements and the

ability of the CA to enforce its program throughout its service area. This means that the

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CHAPTER 1 Introduction

auditor should have an understanding of the authorities provided to the CA by its Sewer Use

Ordinance (SUO) and state law, including available remedies and procedures for taking

action for IU noncompliance. Auditors should also be familiar with issues related to

implementing and enforcing a local program across jurisdictional boundaries and approaches

to resolving such issues.

 Understand compliance monitoring requirements. Thus, the auditor’s knowledge should

include appropriate sampling techniques, EPA-approved methods, and proper quality

assurance/quality control (QA/QC) and chain-of-custody procedures so that data can be

admissible as evidence in enforcement proceedings.

 Conduct a comprehensive pretreatment inspection at IU facilities and be familiar with

hazardous waste requirements and spill prevention and control.

 Evaluate the CA’s enforcement responses. To do so, the auditor should be knowledgeable of

the various types of possible enforcement actions that are available to the POTW, as well as

EPA/state policies and guidance on enforcement.

 Assist the CA to determine what pollution-prevention techniques might enhance the local

program. The auditor should be knowledgeable of current efforts and policies regarding

pollution prevention.

 Evaluate the environmental effectiveness of the program by examining data collected over

the years by the CA concerning pollutant loadings, discharges, and other indicators.

PROCEDURES FOR CONDUCTING AN AUDIT

The audit requires extensive preparation, detailed data collection when on-site, and timely follow-up.

EPA recommends, in brief, that an auditor include the following major steps, discussed in greater detail

below, in conducting an audit:

 Office preparation before going on-site

– Review the NPDES permit file, enforcement file, pretreatment program file (if available),

the latest annual pretreatment report, and the previous PCI findings

– Review such documents as manufacturers’ guides, Resource Conservation and Recovery

Act (RCRA) permit list for the municipalities involved, Toxic Release Inventory System

(TRIS) data, and so forth, to be familiar with all industries that might contribute to the

POTW

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CHAPTER 1 Introduction

– Notify the CA of the upcoming visit (if appropriate)

– Update the CA’s Pretreatment Program Status sheets (Attachment A of the Audit

Checklist)

– Request that the CA complete Pretreatment Program Profile sheets (Attachment B of the

Audit Checklist)

– Request that the CA complete an evaluation of its legal authority (Attachment C of the

Audit Checklist)

– Request that the CA have copies of relevant standard operation procedures for

pretreatment program implementation (i.e., Enforcement Response Plan [ERP], Industrial

Waste Survey [IWS] procedures, BMP programs, and such) available during the audit

 On-site visit

– Entry (present credentials)

– Interview program staff

– Review SIU files

– Inspect selected SIUs

– Review POTW records and files

– A walk through of the wastewater treatment plant (WWTP), if time allows

– Conduct closing conference

 Follow-up

– Prepare and distribute report

– Enter Water Enforcement National Data Base (WENDB) data elements or Required ICIS

Data Elements (RIDE) or both

– Determine Reportable Noncompliance (RNC)/Significant Noncompliance (SNC) and

enter data

– Modify NPDES permit (if appropriate)

– Refer for enforcement (if appropriate).

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CHAPTER 1 Introduction

Preparation

The following describes how EPA recommends that the auditor prepare for the audit. The amount of data

to be collected and evaluated during an audit is considerable, and time is limited. Thus, preparing the

audit is crucial to the well-focused collection of meaningful data. Preparing the Pretreatment Program

Profile data sheets and Status Update sheets that are attached to the audit checklist will help the auditor

compile very general program information before he or she goes on-site. EPA recommends that the

auditor complete a Pretreatment Program Status Update such as that provided at Attachment A of the

Audit Checklist before conducting the audit. The historical program information requested on the Status

Update sheets, including the most recent pretreatment program compliance assessment, will help the

auditor prepare for the upcoming audit. In addition, the auditor should spend time obtaining information

about the industrial contribution to the POTW by reviewing the CA’s IWS. The auditor should also

review TRIS and RCRA permitting data. After becoming familiar with the industrial picture, the auditor

might want to review applicable documents used in developing the National Categorical Pretreatment

Standards to familiarize him or herself with the primary industries discharging to the POTW. The auditor

should also become familiar with issues affecting the POTW, such as whether the POTWs’ discharges are

subject to total maximum daily loads (TMDLs), whether the POTW is being involved in a Technical

Review Evaluation (TRE), or whether the POTW is subject to enforcement actions (e.g., noncompliance

with its NPDES permit requirements).

Interview

During the interview portion, the auditor should talk with as many CA personnel as necessary to obtain an

accurate picture of how the local program is implemented. Although the pretreatment coordinator might

be familiar with proper monitoring procedures, the coordinator might not be completely familiar with

how the program’s monitoring is actually being conducted, particularly in large programs. The auditor

should obtain information on what is happening in the field from field personnel. Also, in

multijurisdictional situations, the auditor might need to speak with representatives of the contributing

jurisdictions to learn how the program is actually being implemented in those service areas. The auditor

should take detailed notes to document each interview. Also, whenever possible, the auditor should

collect supporting documentation to corroborate answers given by the interviewees. For instance, if a CA

staff person states that a total of 26 inspections were conducted in the last calendar year, the auditor

should request a copy of the CA’s log or its equivalent to verify the information.

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CHAPTER 1 Introduction

File Review

Once on-site, the auditor should go through standard NPDES inspection entry procedures and explain to

CA personnel what the audit will entail. When the initial entry procedures are complete, the auditor

should select IU files and conduct the file review. Files can be chosen in many ways; however, use of the

scheme shown in Figure 1 is strongly recommended as best providing a reasonable representation of SIUs

regulated under a local program. The auditor should bear in mind that the recommendations are for

reviewing SIU files, although non-SIU files can be reviewed for the part of the audit. The auditor will

need to exercise his or her best professional judgment to determine the number of both SIU and non-SIU

files to review, as well as the time needed to conduct such reviews.

The auditor should select files that demonstrate a representative cross section of the CA’s IUs and

evaluate both categorical and significant noncategorical IUs and give particular attention to files of SIUs

newly added to the program and those with compliance issues (e.g., in SNC, having received escalated

enforcement action). In addition, the auditor should evaluate the thoroughness and adequacy of any SIU

general control mechanisms, if used, to ensure compliance with the 2005 revisions to the General

Pretreatment Regulations (70 FR 60134-60198: October 14, 2005). Furthermore, the auditor should

ensure that if the CA has implemented any of the optional provisions promulgated as part of the 2005

revisions to the General Pretreatment Regulations that require special documentation (e.g., documentation

of the CA’s rationale for granting monitoring waivers and any information submitted by the SIU in its

request for a waiver), that the required documentation is maintained in the SIU’s file. Special attention

should also be given to categorical industrial users (CIUs) without pretreatment but reported to be in

compliance with categorical standards. In particular, the auditor should ensure that dilution is not being

used in lieu of treating wastewater to comply with Pretreatment Standards. The auditor should also review

files for those CIUs whose Pretreatment Standards depend on a number of elements and require more

complex calculations (e.g., the Pretreatment Standard is production-based or requires use of the

Combined Wastestream Formula [CWF] or Flow-Weighted Averaging [FWA] ). Finally, he or she should

review some files that were not reviewed during previous audits or inspections.

IU Site Visits

EPA recommends that the auditor conduct at least two IU site visits, but the auditor should use his or her

best professional judgment to determine the minimum number of IU site visits necessary for each POTW.

IU site visits are often essential to verify information found in the files. They are also helpful in making

the IUs aware of the importance EPA places on the local programs. The auditors should also seek input

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CHAPTER 1 Introduction

from the CA to determine which IUs to visit. The auditors should consider visiting IUs with outstanding

pollutant prevention programs, innovative processes, or advanced pretreatment systems. Again, the

number and types of IUs to be visited should be representative of the program’s industrial make-up and

based on the time needed for each visit. Furthermore, IU site inspections should help the auditor

determine whether the CA is conducting adequate compliance inspections, issuing proper permits to

reflect the physical and operational conditions of the IU’s facility, and evaluating compliance including

correct sampling.

Wastewater Treatment Plant Walk Through

If time allows, the auditor should conduct a walk through of the WWTP. The walk through is helpful in

observing if the plant is experiencing any foaming, sludge buildup, unusual odors, unusual color, and any

other abnormal events. These could be indicators of noncompatible wastes being discharged from a

nondomestic discharger.

Closing Conference

After the file review, IU site visits, interviews, and other evaluations are complete, the auditor should

compile all the data obtained to prepare for the closing conference. At the closing conference, the auditor

should verbally present his or her initial concerns or observations to the CA. The auditor should make it

clear that the concerns or observations are preliminary and subject to change once the data collected have

been more thoroughly reviewed. It is important that the auditors clearly articulate that their preliminary

concerns or observations are based solely on the information presently available and are subject to change

on the basis of new information or upon further review. Furthermore, EPA cautions that the auditors

should avoid using the term findings because it could lead to confusion. Some enforcement programs

routinely use the term finding in Finding of Violations letters and in administrative complaints to

characterize violations.

Follow-up

Audit follow-up will center on preparing the report and identifying the action necessary to ensure that

appropriate changes to the POTW’s program occur. The audit might dictate follow-up actions that include

revisions by the AA to the NPDES permit, formal enforcement action, or other action. The auditor should

analyze the data as quickly as possible and draft the report so that it can be transmitted to the CA in a

timely manner. The auditor should also enter any WENDB, RIDE, and RNC data, as appropriate, in the

database. In addition, the auditor should complete the appropriate NPDES Compliance Inspection Report

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CHAPTER 1 Introduction

Forms and update the Status Update and Program Profiles. The auditor should handle NPDES permit

modifications (e.g., local limits review) and enforcement activities in accordance with EPA Regional/state

policy. The auditor should ensure that the observations and concerns from the audit are forwarded to the

appropriate NPDES personnel for any modifications to the POTW’s NPDES permit.

As mentioned earlier, the audit requires balancing many different data-gathering techniques. By balancing

the techniques properly, the auditor will obtain a comprehensive look at the CA’s program. The file

review and IU site visits are areas that pose the greatest resource burden to the AA. EPA recommends

looking at as many files and visiting as many IUs as possible with balance in mind. For example,

reviewing 25 files and visiting 2 IUs does not provide the balance that would be achieved by reviewing 15

files and visiting 10 IUs at a medium-sized POTW with 100 SIUs. Although this latter effort requires a

greater resource commitment, it provides much more meaningful data.

CHECKLIST STRUCTURE

EPA’s recommended audit checklist is divided into the three sections listed below. Regulatory citations

are provided for all required program items. Items on the checklist that do not have a corresponding

regulatory citation are not required but are recommended because they are useful for evaluating and

improving the effectiveness of the program. Comment space is also provided on each item to enable

adequate documentation of the findings. An electronic copy of the audit checklist is available on the EPA

Web site at www.epa.gov.

Section I: In

terview is intended to evaluate the portions of program implementation that could not be

evaluated adequately by looking at the IU files. This section also complements the information gained

during the file review and IU site visits. The interview is suggested to be conducted first because it

enables the auditor to gain some background information of the program, and the auditor can review IU

records to verify information collected during the interview.

Section II: File Review evaluates the CA’s performance by reviewing the IU records that the CA

maintains. Unlike information obtained in interviews, a review of the CA’s files provides proof that the

CA is either implementing or not implementing its program. If relevant information is not found in the

files, the auditor should note this problem as one of the audit findings. The file review also provides a

basis on which to select IUs for site visits.

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CHAPTER 1 Introduction

Section III: Observations and Concerns enables the auditor to organize required actions and applicable

recommendations that will need to be addressed in the subsequent report. This section is organized to

correspond to the subsections in Sections I and II. The areas of concern to consider are listed with

corresponding regulatory and checklist question citations. This was done to help the auditor compile all

observations and concerns for each area of concern.

Four attachments are appended to the checklist: the Pretreatment Program Status Update, Pretreatment

Program Profile, the Legal Authority Review Checklist, and various worksheets that include the IU Site

Visit Data Sheet to be used at the auditor’s option when conducting IU site visits during the audit; the

WENDB Data Entry and RIDE Worksheet; and the RNC Worksheet to be completed as part of the audit

follow-up to provide input into the Permit Compliance System (PCS) or Integrated Compliance

Information System (ICIS) database. The auditor should complete the Pretreatment Program Status

Update before the audit and update it after the audit. Furthermore, the auditor should request that the CA

complete the Pretreatment Program Profile and the Legal Authority Review Checklist before the audit.

During the audit, the auditor should receive the completed Pretreatment Program Profile and the Legal

Review Checklist from the CA along with a copy of all documents used to complete the checklist. The

Legal Review Checklist should be completed at least once every 5 years to ensure that the POTW

complies with the legal authority requirements of 40 CFR Part 403. Furthermore, a legal review should be

conducted whenever there are regulation revisions or if the POTW is experiencing difficulties

implementing its SUO (i.e., denied entry for inspections, denied entry for sampling). The auditor should

note that by having the CA complete these checklists, it could invoke EPA’s self-auditing policy. For

more details, see FR Volume 65, No. 70, 19618–19627 (April 11, 2000).

The various worksheets contain both PCS and ICIS worksheets, but the auditors are required to complete

only one set of worksheets. Depending on the state’s implementation status of ICIS, the auditor should

pick the appropriate worksheets to complete. When thoroughly completed, the body of the checklist and

its attachments will provide the auditor with the documentation needed to draft the audit report, initiate

any corrective and enforcement actions needed, and enter any WENDB, RIDE, and RNC data into the

database, as appropriate.

RESOURCES FOR CONDUCTING AUDITS

The resources necessary to conduct audits will vary greatly from program to program. Some variables

contributing to different resource needs include size of the POTW; number and size of SIUs; and number

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CHAPTER 1 Introduction

1-12 February 2010

of jurisdictions involved. Those variables will affect preparation time, time on-site, report preparation,

and follow-up.

CHAPTER 2. CONTROL AUTHORITY PRETREATMENT AUDIT CHECKLIST

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February 2010 PCA-1

CONTROL AUTHORITY PRETREATMENT AUDIT CHECKLIST

AUDIT CHECKLIST CONTENTS

Cover Page and Acronym/Abbreviation List

Section I Data Review

Section II IU File Evaluation

Section III Observations and Concerns

Attachment A Pretreatment Program Status Update

Attachment B Pretreatment Program Profile

Attachment C Legal Authority Review Checklist

Attachment D Worksheets

Site Visit Data Sheet

WENDB Data Entry Worksheet

PCA Required ICIS Data Elements Worksheet

RNC Worksheet

Attachment D Supporting Documentation

Control Authority (CA) name and address Date(s) of audit

Treatment Plant Name NPDES Permit Number Effective Date Expiration

Date

Permit

Reviewed?

AUDITOR(S)

Name Title/Affiliation Telephone Number Email Address

CA REPRESENTATIVE(S)

Name Title/Affiliation Telephone Number Email Address

*Identified program contact

PCA-2 February 2010

ACRONYM AND ABBREVIATION LIST

Acronym/Abbreviation Term

AO Administrative Order

BMP Best management practices

BMR Baseline Monitoring Report

CA Control Authority

CERCLA Comprehensive Environmental Remediation, Compensation and Liability Act

CFR

Code of Federal Regulations

CIU Categorical Industrial User

CSO Combined sewer overflow

CWA Clean Water Act

CWF Combined Wastestream Formula

DMR Discharge Monitoring Report

DSS Domestic Sewage Study

EP Extraction Procedure

EPA U.S. Environmental Protection Agency

ERP Enforcement Response Plan

FDF Fundamentally different factors

FTE Full-time equivalent

FWA Flow-Weighted Average

gpd Gallons per day

ICIS Integrated Compliance Information System

IU Industrial User

IWS Industrial Waste Survey

mgd Million gallons per day

MSW Municipal solid waste

N/A Not applicable

ND Not determined

NOV Notice of Violation

NPDES National Pollutant Discharge Elimination System

NSCIU Nonsignificant Categorical Industrial User

O&G Oil and grease

PCA Pretreatment Compliance Audit

PCI Pretreatment Compliance Inspection

PCS Permit Compliance System

February 2010 PCA-3

ACRONYM AND ABBREVIATION LIST (CONTINUED)

Acronym/Abbreviation Term

PIRT Pretreatment Implementation Review Task Force

POTW Publicly owned treatment works

QA/QC Quality assurance/quality control

RCRA Resource Conservation and Recovery Act

RIDE Required ICIS Data Element

RNC Reportable Noncompliance

SIU Significant Industrial User

SNC Significant Noncompliance

SUO Sewer Use Ordinance

TCLP Toxicity Characteristic Leachate Procedure

TMDL Total maximum daily load

TOMP Toxic Organic Management Plan

TRC Technical Review Criteria

TRE Technical Review Evaluation

TRIS Toxics Release Inventory System

TSDF Treatment, Storage, and Disposal Facility

TTO Total toxic organics

UST Underground Storage Tank

WENDB Water Enforcement National Data Base

Y/N Yes or no

PCA-4 February 2010

GENERAL INSTRUCTIONS

1. As noted in the Introduction, the auditor should review a representative number of SIU files. Section II of this

checklist provides space to document five IU files. This should not be construed to mean that five is an adequate

representation of files to review. The auditor should make as many copies of Section I as needed to document a

representative number of files according to the discussion in the Introduction.

2. The auditor should ensure that during the audit, he or she follows up on any and all violations noted in the

previous inspection, annual report, or during the course of the audit.

3. Throughout the course of the evaluation, the auditor should look for areas in which the CA should improve the

effectiveness and quality of its program.

4. Audit findings should clearly distinguish between violations, deficiencies, and effectiveness issues.

February 2010 PCA-5

SECTION I: DATA REVIEW

INSTRUCTIONS: Complete this section on the basis of CA activities to implement its pretreatment program. Answers to

these questions could be obtained from a combination of sources including discussions with CA personnel, review of

general and specific IU files, IU site visits, review of POTW treatment plants, among others. Attach documentation where

appropriate. Specific data might be required in some cases.

 Write ND (Not Determined) beside the questions or items that were not evaluated during the audit.

 Use N/A (Not Applicable) where appropriate.

A. CA PRETREATMENT PROGRAM MODIFICATION [403.18]

1. a. Has the CA made any substantial changes to the pretreatment program that were not

Yes No

reported to the Approval Authority (e.g., legal authority, less stringent limits,

multijurisdictional situation)?

If yes, discuss.

b. Is the CA in the process of making any substantial modifications to any pretreatment

Yes No

program component (including legal authority, less stringent local limits, and

required pretreatment provisions from the 2005 revisions to the General Pretreatment

Regulations, multijurisdictional situation, and others)?

If yes, describe.

c. Has the CA made any nonsubstantial changes to the pretreatment program (i.e., pH limit

Yes No

modification, reallocation of the maximum allowable headworks loading, and such)?

If yes, describe.

PCA-6 February 2010

SECTION I: DATA REVIEW (CONTINUED)

A. CA PRETREATMENT PROGRAM MODIFICATION (continued) [403.18]

1. d. Has the CA amended its pretreatment program to include the following components required under the 2005

amendments to the General Pretreatment Regulations:

Yes No

 Slug control requirements in control mechanisms. [40 CFR 403.8(f)(1)(iii)(B)(6)]

 Notification requirements to include changes that might affect the potential for a slug

discharge.

[40 CFR 403.8(f)(2)(vi)]

 Revised SNC definition. [40 CFR 403.8(f)(2)(viii)]

 Clarification that SIU reports must include any applicable BMP compliance information.

[40 CFR 40.12(b), (e), (h)]

 SIU control mechanisms must contain any BMPs required by a Pretreatment Standard

local limits, state, or local law.

[40 CFR 403.8(f)(1)(iii)(B)(3)]

 Record-keeping requirements for BMPs.

[40 CFR 403.12(o)]

 Clarification that CAs that perform sampling for SIUs must perform any required repeat

sampling and analysis within 30 days of becoming aware of a violation.

[40 CFR

403.12(g)(2)]

 Modifications to the sampling requirements.

[40 CFR 403.12(g)]

 Requirement to report all monitoring results.

[40 CFR 403.12(g)]

If not, when?

e. Has the CA adopted or does the CA plan to adopt any of the optional measures provided

by the 2005 amendments to the General Pretreatment Regulations?

Yes No

If yes, check which ones.

Issuance of monitoring waivers for pollutants that are not present [40 CFR 403.8(f)(2)(v) and 403.12(e)(2)]

Issuance of general control mechanisms to regulate multiple industrial dischargers with similar wastes

[40 CFR 403.8(f)(1)(iii)(A)]

Using BMPs as an alternative to numeric local limits [40 CFR 403.3(e), 403.5(c)(4), 403.8(f), 403.12(b), (e),

and (h)]

Authority to implement alternative sampling, reporting, and inspection frequencies for NSCIUs

[40 CFR 403.3(v)(2), 403.8(f)(2)(v)(B), 403.8(f)(6), 403.12(e)(1), 403.12(g), (i), and (q)]

Authority to implement alternative sampling, reporting, and inspection frequencies for middle-tier CIUs

[40 CFR 403.8(f)(2)(v)(C), 403.12(e)(3), and 403.12(i)]

Authority to implement equivalent concentration limits for flow-based standards [40 CFR 403.6(c)(6)]

Authority to implement equivalent mass limits for concentration-based standards [40 CFR 403.6(c)(5)]

February 2010 PCA-7

SECTION I: DATA REVIEW (CONTINUED)

A. CA PRETREATMENT PROGRAM MODIFICATION (continued) [403.18]

2. a. Are there any planned changes to the POTW’s treatment plant(s)?

Yes No

If yes, describe.

Yes No

b. Are these changes to the treatment plant(s) due to pretreatment issues?

If yes, what were the issues?

B. LEGAL AUTHORITY [403.8(f)(1) ]

Yes No

1. a. Are there any contributing jurisdictions discharging wastewater to the POTW?

If yes, complete questions b–e.

b. List the contributing jurisdictions.

c. Does the CA have an agreement in place that addresses pretreatment program

Yes No

responsibilities?

d. Is the CA or the contributing jurisdiction responsible for the following:

CA Responsibility

Contributing Jurisdiction

Responsibility

Updating the IWS

Notifying IUs of requirements

Issuance of control mechanisms

Receiving and reviewing IU reports

Conducting inspections

Conducting compliance monitoring

Enforcement of Pretreatment Standards and Requirements

PCA-8 February 2010

SECTION I: DATA REVIEW (CONTINUED)

B. LEGAL AUTHORITY (continued) [403.8(f)(1)] (continued)

e. Has the CA had any problems with implementation of its pretreatment program within

Yes No

the contributing jurisdictions?

If yes, explain.

Yes No

2. a. Has the CA updated its legal authority to reflect the 2005 General Pretreatment

Regulation changes?

b. Did all contributing jurisdictions update their SUOs to be as stringent as the receiving

POTW?

c. Did the CA update its procedures and ERP to implement the changes in its SUO?

Explain

3. Does the CA experience difficulty in implementing its legal authority [i.e., SUO,

Yes No

interjurisdictional agreement (e.g., permit challenged, entry refused, penalty appealed)]?

If yes, explain.

February 2010 PCA-9

SECTION I: DATA REVIEW (CONTINUED)

C. IU CHARACTERIZATION [403.8(f)(2)(i)&(ii)]

1. a. How does the CA define SIU? (Is it the same in contributing jurisdictions? Is it different from the federal definition at

40 CFR 403.3(v)?)

b. If the CA has implemented the middle-tier CIU provisions, how does the CA define middle-tier CIU?

c. If the CA has implemented the NSCIU provisions, how does the CA define NSCIU?

2. How are SIUs identified and categorized (including those in contributing jurisdictions)?

Discuss any problems.

3. a. How and when does the CA update its IWS to identify new IUs (including those in contributing jurisdictions)?

b. How and when does the CA identify changes in wastewater discharges at existing IUs (including those in

contributing jurisdictions)?

PCA-10 February 2010

SECTION I: DATA REVIEW (CONTINUED)

C. IU CHARACTERIZATION [403.8(f)(2)(i)&(ii)] (continued)

4. How many IUs are identified by the CA in each of the following groups?

a. SIUs (as defined by the CA) [WENDB – SIUS, RIDE – SIUs]

CIUs, excluding middle-tier CIUs and NSCIUs [WENDB – CIUS, RIDE - CIUs]

Middle-tier CIUs** (specify below)

Noncategorical SIUs

b. Other regulated nonsignificant IUs (specify)

Noncategorical nonsignificant IUs

NSCIUs**, excluding zero-discharging CIUs [as defined by 40 CFR 403.3(v)(2)]

(specify below)

Zero-discharging CIUs** (specify below)

c. TOTAL

** The following section is to be completed only if the POTW has adopted middle-tier permitting [40 CFR 403.3(v),

403.8(f)(2)(v)(C), 403.12(e)(3)], general control mechanisms [40 CFR 403.8(f)(1)(iii)(A)], or NSCIUs [40 CFR

403.3(v)(2), 403.8(f)(2)(v)]. In addition the POTW’s program must be revised and approved for these classifications

before they can be used.

List of NSCIUs and zero-discharging CIUs:

List of Middle-Tier CIUs:

If middle-tier CIU classification is used, what is 0.01% of the POTW’s dry-weather capacity? ____________

List of SIUs with general control mechanisms:

February 2010 PCA-11

SECTION I: DATA REVIEW (CONTINUED)

D. CONTROL MECHANISM EVALUATION [403.8(f)(1)(iii)]

1. a. How many and what percent of the total SIUs are not covered by an %

existing unexpired permit, or other individual control mechanism? [WENDB – NOCM, RIDE – SIUs without Control

Mechanisms] [RNC – II]

b. Has the CA implemented any general control mechanisms?

c. If yes, how many SIUs (as defined by the CA) are covered by a general control mechanism?

List the types of SIUs covered under a general control mechanism:

d. How many control mechanisms were not issued within 180 days of the expiration date of the

previous control mechanism or extended beyond 5 years? [RNC – II]

If any, explain.

2. a. Do any UST), CERCLA, RCRA corrective action sites and/or other contaminated

groundwater sites discharge wastewater to the CA?

b. How are control mechanisms (specifically limits) developed for these facilities?

Discuss

Yes No

3. a. Does the CA accept any waste by truck, rail, or dedicated pipe (including septage)?

b. Is any of the waste hazardous as defined by RCRA?

c. Does any waste accepted via truck, rail, or dedicated pipe meet the CA’s SIU definition?

d. Describe the CA’s program to control hauled wastes including a designated discharge point (e.g., number of points,

control/security procedures). [403.5(b)(8)]

PCA-12 February 2010

SECTION I: DATA REVIEW (CONTINUED)

E. APPLICATION OF PRETREATMENT STANDARDS AND REQUIREMENTS

1. What limits (categorical, local, other) does the CA apply to wastes that are hauled to the POTW (directly to the

treatment plant or within the collection system, including contributing jurisdictions)? [403.1(b)(1)]

2. How does the CA keep abreast of current regulations to ensure proper implementation of standards? [403.8(f)(2)(iii)]

3. Local limits evaluation: [403.8(f)(4); 122.21(j)(2)(ii)]

a. For what pollutants have local limits been set?

b. How were these pollutants selected?

c. What was the most prevalent/most stringent criteria (e.g., NPDES permit requirements, plant inhibition, and/or

sludge disposal requirements) for the limits?

d. Which allocation method(s) were used?

e. What was the limit basis (i.e., instantaneous maximums, daily maximums, or other) for the local limits?

f. When was the CA’s last local limits evaluation? What was the approval date?

Yes No

g. Has the CA identified any pollutants of concern beyond those in its local limits?

If yes, how has this been addressed?

February 2010 PCA-13

SECTION I: DATA REVIEW (CONTINUED)

E. APPLICATION OF PRETREATMENT STANDARDS AND REQUIREMENTS (continued)

4. What challenges, if any, were encountered during local limits development and/or implementation?

F. COMPLIANCE MONITORING

1. a. How does the CA determine adequate IU monitoring (sampling, inspecting, and reporting) frequencies?

b. Is the frequency established above more, less, or the same as required?

Explain any difference.

c. Does the CA perform IU monitoring in lieu of requiring IUs to conduct self-monitoring? If yes, list IUs.

2. In the past 12 months, how many, and what percentage of, SIUs were: [403.8(f)(2)(v)] [RNC - II]

(Define the 12-month period ___________ to __________.)

a. Not sampled or not inspected at least once [WENDB – NOIN] %

b. Not sampled at least once [RIDE – SIUs Not Sampled] %

c. Not inspected at least once (all parameters)? [RIDE – SIUs Not Inspected] %

If any, explain. Indicate how the percentage was determined (e.g., actual, estimated).

PCA-14 February 2010

SECTION I: DATA REVIEW (CONTINUED)

F. COMPLIANCE MONITORING (continued)

3. a. Indicate the number and percent of SIUs that were identified as being in SNC* with the following requirements as

listed in the CA’s last pretreatment program report: [WENDB, RIDE] [RNC – II]

SNC Evaluation Period

% Applicable Pretreatment Standards and reporting

requirements

*SNC defined by:

% Self-monitoring requirements

POTW

% Pretreatment compliance schedule(s)

EPA

b. Are any of the SIUs that were listed as being in SNC in the most recent pretreatment report still in SNC status? If

yes, list SIUs.

c. Indicate the number of SIUs that have been in 100% compliance with all Pretreatment Standards and Requirements.

Evaluation Period: __________________________________

Number of SIUs: __________________________________

Names of SIUs:

4. What does the CA’s basic inspection include? (process areas, pretreatment facilities, chemical and hazardous waste

storage areas, chemical spill prevention areas, hazardous-waste handling procedures, sampling procedures, laboratory

procedures, and monitoring records)

[403.8(f)(2)(v)&(vii)]

Request a copy of the CA’s inspection form, if applicable.

5. Who performs the CA’s compliance monitoring analysis?

Performed by: CA/Contract Laboratory Name

 Metals

 Cyanide

 Organics

 Other (specify)

February 2010 PCA-15

SECTION I: DATA REVIEW (CONTINUED)

F. COMPLIANCE MONITORING (continued)

6. What QA/QC techniques does the CA use for sampling and analysis (e.g., splits, blanks, spikes), including

verification of contract laboratory procedures and appropriate analytical methods?

[403.8(f)(2)(vii)]

Check all that are applicable.

QA/QC for Sampling



QA/QC for Analysis



Gloves Sample Splits

Chain-of-custody forms Sample Blanks

New Sampling Tubes Sample Spikes

Field Blanks Other:

Other:

7. Discuss any problems encountered in identification of sample location, collection, and analysis.

8. a. Did any IUs notify the CA of a hazardous waste discharge since the last PCI or PCA?

Yes No

[403.12(j)&(p)]

If yes, summarize.

b. How does the CA notify its users of the hazardous-waste reporting requirement? When was the last time the CA

notified its IUs?

9. a. How and when does the CA evaluate/reevaluate SIUs for the need for a slug discharge control plan? [403.8(f)(2)(vi)]

List SIUs required to have a slug discharge control plan:

Yes No

b. For all existing SIUs identified as significant before November 14, 2005, or within a year

of becoming an SIU (whichever is later), has the POTW performed the evaluation to

determine whether each SIU needs a plan or action to control slug discharges?

If not, which SIUs have not been evaluated?

PCA-16 February 2010

SECTION I: DATA REVIEW (CONTINUED)

G. ENFORCEMENT

1. What is the CA’s definition of SNC? [403.8(f)(2)(viii)]

2. ERP implementation: [403.8(f)(5)]

a. Has the ERP been adopted by the POTW?

b. Has the ERP been approved by the Approval Authority?

c. Does the ERP describe how the CA will investigate instances of noncompliance?

d. Does the ERP describe types of escalating enforcement responses and the time frames for each response?

e. Does the ERP identify the title of official(s) responsible for implementing each type of enforcement response?

f. Does the ERP reflect the CA’s responsibility to enforce all applicable Pretreatment Standards and Requirements?

g. Is the ERP effective, and does it lead to timely compliance? Provide examples if any are available.

Yes No

3. a. Does the CA use compliance schedules? [403.8(f)(1)(iv)(A)]

b. If yes, are they appropriate? Provide a list of SIUs on compliance schedules.

February 2010 PCA-17

SECTION I: DATA REVIEW (CONTINUED)

G. ENFORCEMENT (continued)

Yes No

4. Did the CA publish a list of all SIUs in SNC in a daily newspaper of general circulation that

provides meaningful public notice within the jurisdiction served by the POTW in the previous

year? [403.8(f)(2)(viii)]

If yes,

attach a copy.

If no, explain.

5. a. How many SIUs are in SNC with self-monitoring requirements and were not inspected

(in the four most recent full quarters)?

b. How many SIUs are in SNC with self-monitoring requirements and were not sampled

(in the four most recent full quarters)?

6. a. Did the CA experience any of the following caused by industrial discharges?

Yes No Unknown Explain

 Interference

 Pass through

 Fire or explosions (flashpoint, and such)

 Corrosive structural damage

 Flow obstruction

 Excessive flow rates

 Excessive pollutant concentrations

 Heat problems

 Interference due to oil and grease (O&G)

 Toxic fumes

 Illicit dumping of hauled wastes

 Worker health and safety

 Other (specify)

PCA-18 February 2010

SECTION I: DATA REVIEW (CONTINUED)

G. ENFORCEMENT (continued)

Yes No

b. If yes, did the CA take enforcement action against the IUs causing or

contributing to pass through or interference? [RNC - I]

Yes No

7. a. Did the POTW have any sanitary sewer overflows since the last PCI or PCA?

b. If yes, how many were due to nondomestic waste issues (O&G blockages)?

H. DATA MANAGEMENT/PUBLIC PARTICIPATION

1. How is confidential information handled by the CA? [403.14]

2. How are requests by the public to review files handled?

February 2010 PCA-19

SECTION I: DATA REVIEW (CONTINUED)

H. DATA MANAGEMENT/PUBLIC PARTICIPATION (continued)

3. Does the CA accept electronic reporting? If no, does it plan to do so?

4. Describe whether the CA’s data management system is effective in supporting pretreatment implementation and

enforcement activities.

5. How does the CA ensure public participation during revisions to the SUO and/or local limits? [403.5(c)(3)]

6. Explain any public or community issues affecting the CA’s pretreatment program.

7. How long are records maintained? [403.12(o)]

PCA-20 February 2010

SECTION I: DATA REVIEW (CONTINUED)

I. RESOURCES [403.8(f)(3)]

1. Estimate the number of personnel (in FTEs) available for implementing the program.

Activity FTEs Activity FTEs

Legal Assistance Sample Analysis

Permitting Data Analysis: Review and Response

Inspections Enforcement

Sample Collection Administration

Total Number of FTEs

Yes No

2. Does the CA have adequate access to monitoring equipment? (Consider: sampling, flow

measurement, safety, transportation, and analytical equipment.)

If not, explain.

3. a. Estimate the annual operating budget for the CA’s program. $

b. Is funding expected to stay the same, increase, decrease (note time frame; e.g., following year, next 3 years)?

Discuss any changes in funding.

4. Discuss any problems in program implementation that appear to be related to inadequate resources.

February 2010 PCA-21

SECTION I: DATA REVIEW (CONTINUED)

I. RESOURCES (continued) [403.8(f)(3)] (continued)

5. a. How does the CA ensure that personnel are qualified and up-to-date with current program requirements?

Yes No

b. Does the CA have adequate reference material to implement its program?

J. ENVIRONMENTAL EFFECTIVENESS/POLLUTION PREVENTION

1. a. How many times was the POTW monitored in the past year?

Ambient

Influent Effluent Sludge (Receiving

Water)

 Metals

 Priority pollutants

 Biomonitoring

 Toxicity Characteristic Leachate Procedure (TCLP)

 Extraction Procedure (EP) toxicity

 Other (specify)

Less Equal More

b. Is this frequency less than, equal to, or more than that required by the NPDES

permit?

Explain any differences.

PCA-22 February 2010

SECTION I: DATA REVIEW (CONTINUED)

J. ENVIRONMENTAL EFFECTIVENESS/POLLUTION PREVENTION (continued)

Yes No

c. Is the CA reporting these results to the Approval Authority?

If yes, at what frequency?

2. a. Has the CA evaluated historical and current data to determine the effectiveness of

pretreatment controls on the following:

Yes No

 Improvements in POTW operations

 Loadings to and from the POTW

 NPDES permit compliance

 Sludge quality?

 Sludge disposal options?

b. Has the CA documented these findings?

Explain. (Attach a copy of the documentation, if appropriate.)

3. If the CA has historical data concerning influent, effluent, and sludge sampling for the POTW, what trends have been

seen? (Increases in pollutant loadings over the years? Decreases? No change?)

Discuss on a pollutant-by-pollutant basis.

February 2010 PCA-23

SECTION I: DATA REVIEW (CONTINUED)

J. ENVIRONMENTAL EFFECTIVENESS/POLLUTION PREVENTION (continued)

4. Has the CA investigated the sources contributing to current pollutant loadings to the POTW

Yes No

(i.e., the relative contributions of toxics from industrial, commercial, and domestic sources)?

If yes, what was found?

Yes No

5. a. Has the CA implemented any kind of public education program?

b. Are there any plans to initiate such a program to educate users about pollution

prevention?

Explain.

6. What efforts have been taken to incorporate pollution prevention into the CA’s pretreatment program (e.g., waste

minimization at IUs, household hazardous waste programs)?

7. Does the CA have any documentation concerning successful pollution-prevention

Yes No

programs being implemented by IUs (e.g., case studies, sampling data demonstrating

pollutant reductions)?

Explain.

PCA-24 February 2010

SECTION I: DATA REVIEW (CONTINUED)

K. ADDITIONAL EVALUATIONS/INFORMATION

SECTION I COMPLETED

BY:

DATE:

TITLE: TELEPHONE:

February 2010 PCA-25

SECTION II: IU FILE EVALUATION

INSTRUCTIONS: Select a representative number of SIU files to review. Provide relevant details on each file reviewed.

Comment on all problems identified and any other areas of interest. Where possible, all CIUs (and SIUs) added since the

last PCI or PCA should be evaluated. Make copies of this section to review additional files as necessary.

IU IDENTIFICATION

FILE _____ Industry name and address Type of industry

SIC Code:

NAICS Code:

[ ] CIU 40 CFR _______, ________, ________ Average total flow (gpd) Average process flow

Category(ies) ____________________________

[ ] Other SIU [ ] Non-SIU [ ] NSCIU Industry visited during audit Yes [ ] No [ ]

Comments

FILE _____ Industry name and address Type of industry

SIC Code:

NAICS Code:

[ ] CIU 40 CFR _______, ________, _______ Average total flow (gpd) Average process flow

Category(ies) ____________________________

[ ] Other SIU [ ] Non-SIU [ ] NSCIU Industry visited during audit Yes [ ] No [ ]

Comments

PCA-26 February 2010

SECTION II: IU FILE EVALUATION (CONTINUED)

IU IDENTIFICATION (continued)

FILE _____ Industry name and address Type of industry

SIC Code:

NAICS Code:

[ ] CIU 40 CFR _______, ________, _______ Average total flow (gpd) Average process flow

Category(ies) ____________________________

[ ] Other SIU [ ] Non-SIU [ ] NSCIU Industry visited during audit Yes [ ] No [ ]

Comments

FILE _____ Industry name and address Type of industry

SIC Code:

NAICS Code:

[ ] CIU 40 CFR _______, ________, _______ Average total flow (gpd) Average process flow

Category(ies) ____________________________

[ ] Other SIU [ ] Non-SIU [ ] NSCIU Industry visited during audit Yes [ ] No [ ]

Comments

February 2010 PCA-27

SECTION II: IU FILE EVALUATION (CONTINUED)

IU IDENTIFICATION (continued)

FILE _____ Industry name and address Type of industry

SIC Code:

NAICS Code:

[ ] CIU 40 CFR _______, ________, _______ Average total flow (gpd) Average process flow

Category(ies) ____________________________

[ ] Other SIU [ ] Non-SIU [ ] NSCIU Industry visited during audit Yes [ ] No [ ]

Comments

General Comments

PCA-28 February 2010

SECTION II: IU EVALUATION (CONTINUED)

Industry Name

INSTRUCTIONS: Evaluate the contents of selected IU files; place an emphasis on SIU files.

Use N/A (Not Applicable) where necessary. Use ND (Not Determined) where there is

insufficient information to evaluate/determine implementation status. Provide comments in

the comment area at the bottom of the page for all violations, deficiencies, and/or other

problems as well as for any areas of concern or interest noted. Enter a comment number in

box and in the comment area at the bottom of the page, followed by the comment.

Comments should delineate the extent of the violation, deficiency, and/or problem. Attach

relevant copies of IU file information for documentation. Where no comment is needed, or if

the item was found to be satisfactory, enter  (check) to indicate area was reviewed. The

evaluation should emphasize any areas where improvements in quality and effectiveness

can be made.

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

A. ISSUANCE OF IU CONTROL MECHANISM

1. Control mechanism application form

2. Fact sheet

3. Issuance or reissuance of control mechanism 403.8(f)(1)(iii)

a. Individual control mechanism

b. General control mechanism 403.8(f)(1)(iii)(A)

4. Control mechanism contents 403.8(f)(1)(iii)(B)

a. Statement of duration ( 5 years)

403.8(f)(1)(iii)(B)(1)

b. Statement of nontransferability w/o prior

notification/approval

403.8(f)(1)(iii)(B)(2)

c. Applicable effluent limits (local limits, categorical standards,

BMPs

403.8(f)(1)(iii)(B)(3)

Comments

February 2010 PCA-29

SECTION II: IU EVALUATION (CONTINUED)

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

A. ISSUANCE OF IU CONTROL MECHANISM (continued)

d. Self-monitoring requirements 403.8(f)(1)(iii)(B)(4)

 Identification of pollutants to be monitored

 Process for seeking a waiver for pollutant not present or

expected to be present (CIUs only)

 Is the monitoring waiver certification language included in

the control mechanism? (Y/N)

403.12(e)(2)(v)

 Are conditions for reinstating monitoring requirements if

pollutants not present are detected in the future included in

the permit? (Y/N)

403.12(e)(2)(vi)

 Sampling frequency

- Has the POTW reduced the IU’s monitoring

requirements for pollutants not present or expected to

not to be present? (Y/N)

 Sampling locations/discharge points

 Sample types (grab or composite)

 Reporting requirements (including all monitoring results)

 Record-keeping requirements

Comments

PCA-30 February 2010

SECTION II: IU EVALUATION (CONTINUED)

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

A. ISSUANCE OF IU CONTROL MECHANISM (continued)

e. Statement of applicable civil and criminal penalties 403.8(f)(1)(iii)(B)(5)

f. Compliance schedules/progress reports (if applicable) 403.8(f)(1)(iv)

g. Notice of slug loadings 403.12(f)

h. Notification of spills, bypasses, upsets, etc. 403.16, 403.17

i. Notification of significant change in discharge 403.12(j)

j. Notification of change affecting the potential for a slug

discharge

403.8(f)(2)(vi)

k. 24-hour notification of violation/resample requirement 403.12(g)(2)

l. Slug discharge control plan conditions, if determined by

the POTW to be necessary

403.8(f)(1)(iii)(B)(6),

403.8(f)(2)(vi)

Comments

0 PCA-31 February 201

SECTION II: IU EVALUATION (CONTINUED)

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

A. ISSUANCE OF IU CONTROL MECHANISM (continued)

5. Issuance of General Control Mechanisms

403.8(f)(1)(iii)(A)

a. Involve the same or similar operations

b. Discharge the same types of wastes

c. Require the same effluent limitations

d. Written request by the IU for coverage by a general control

mechanism including:

 Contact information

 Production processes

 Types of waste generated

 Location for monitoring all wastes covered by the general

permit

 Any requests for a monitoring waiver for a pollutant neither

present nor expected to be present

e. Documentation to support the POTW’s determination

Comments

PCA-32 February 2010

SECTION II: IU EVALUATION (CONTINUED)

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

B. CA APPLICATION OF IU PRETREATMENT STANDARDS

1. IU categorization 403.8(f)(1)(ii)

2. Calculation and application of categorical standards

403.8(f)(1)(ii)

a. Classification by category/subcategory

b. Classification as new/existing source

c. Application of limits for all regulated pollutants

d. Classification as an NSCIU 403.3(v)(2)

e. Documentation for the qualification to be classified as NSCIU

f. Documentation of reasons for supporting sampling wavier for

pollutant not present

403.12(2)(iv)

3. Application of local limits

403.5(c)&(d)&

403.8(f)(1)(ii)

4. Application of BMPs 403.8(f)(1)(iii)(B)(3)

5. Calculation and application of production-based standards 403.6(c)

Comments

PCA-33 February 2010

SECTION II: IU EVALUATION (CONTINUED)

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

B. CA APPLICATION OF IU PRETREATMENT STANDARDS (continued)

6. Calculation of equivalent mass limits for concentration limits 403.6(c)(5)

a. IU has demonstrated or will demonstrate substantially reduced

water usage

403.6(c)(5)(i)(A)

b. IU uses control and technologies adequate to achieve

compliance

403.6(c)(5)(i)(B)

c. IU has provided information regarding actual average daily

flow

403.6(c)(5)(i)(C)

d. IU does not have variable flow rates, production levels, or

pollutant levels

403.6(c)(5)(i)(D)

e. IU has consistently complied with applicable categorical

requirements

403.6(c)(5)(i)(E)

f. Did the CA use appropriate flow rates when developing limits?

(Y/N)

406.3(c)(5)(iii)(A)

g. Did the CA use the correct concentration-based limits for the

applicable categorical standards? (Y/N)

403.6(c)(5)(iii)(B)

h. Upon notification of revised production rate, did the CA

reassess the mass limits? (Y/N)

7. Calculation of equivalent concentration limits for flow-based

standards

403.6(c)(6)

a. Is the IU subject to 40 CFR Part 414, 419, or 455? (Y/N)

b. Documentation that dilution is not being used as treatment?

(Y/N)

8. Calculation and application of CWF or FWA 403.6(d)&(e)

9. Application of most stringent limit 403.8(f)(1)(ii)

Comments

PCA-34 February 2010

SECTION II: IU EVALUATION (CONTINUED)

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

C. CA COMPLIANCE MONITORING

1. Inspection (at least once a year, except as otherwise specified) 403.8(f)(2)(v)

a. If the CA has determined a discharger to be an NSCIU 403.8(f)(2)(v)(B)

 Evaluation of discharger with the definition of NSCIU once per

year

b. If the CA has reduced an IU’s reporting requirements 403.8(f)(2)(v)(C)

 Inspect at least once every 2 years

2. Inspection at frequency specified in approved program 403.8(c)

3. Documentation of inspection activities 403.8(f)(2)(v)

4. Evaluation of need for slug discharge control plan (reevaluation

of existing plan)

403.8(f)(2)(vi)

5. Sampling (at least once a year, except as otherwise specified) 403.8(f)(2)(v)

a. If the CA has waived monitoring for a CIU 403.8(f)(2)(v)(A)

 Sample waived pollutant(s) at least once during the term of

the control mechanism

b. If the CA has reduced an IU’s reporting requirements 403.8(f)(2)(v)(C)

 Sample and analyze IU discharge at least once every 2

years

6. Sampling at the frequency specified in approved program 403.8(c)

7. Documentation of sampling activities (chain-of-custody; QA/QC) 403.8(f)(2)(vii)

8. Analysis for all regulated parameters 403.12(g)(1)

9. Appropriate analytical methods (40 CFR Part 136) 403.8(f)(2)(vii)

Comments

February 2010 PCA-35

SECTION II: IU EVALUATION (CONTINUED)

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

D. CA ENFORCEMENT ACTIVITIES

1. Identification of violations 403.8(f)(2)(vii)

a. Discharge violations

 IU self-monitoring

 CA compliance monitoring

b. Monitoring/reporting violations

 IU self-monitoring

 Reporting (e.g., frequency, content)

 Sampling (e.g., frequency, pollutants)

 Record-keeping

 Notification (e.g., slug, spill, changed discharge, 24-hour notice

of violation)

 Slug discharge control plan

 Compliance schedule/reports

c. Compliance schedule violations

 Start-up/final compliance

 Interim dates

Comments

PCA-36 February 2010

SECTION II: IU EVALUATION (CONTINUED)

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

D. CA ENFORCEMENT ACTIVITIES (continued)

2. Determination of SNC (on the basis of rolling quarters) 403.8(f)(2)(viii)

a. Chronic

b. TRC (Technical Review Criteria)

c. Pass through/interference

d. Spill/slug reporting load

e. Reporting

f. Compliance schedule

g. Other violations (e.g., BMPs requirements)

3. Response to violation

4. Adherence to approved ERP

403.8(f)(5)

5. Return to compliance

a. Within 90 days

b. Within time specified

c. Through compliance schedule

6. Escalation of enforcement 403.8(f)(5)(ii)

7. Publication for SNC 403.8(f)(2)(viii)

Comments

February 2010 PCA-37

SECTION II: IU EVALUATION (CONTINUED)

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

E. IU COMPLIANCE STATUS

1. Self-monitoring and reporting

a. Sampling at frequency specified in control

mechanism/regulation

403.12(e)&(h)

b. Analysis of all required pollutants 403.12(g)(1)&(h)

c. Appropriate analytical methods (40 CFR Part 136)

d. Appropriate sample collection methods

e. Compliance with sample collection holding times

f. Submission of BMR/90-day report 403.12(b) &(d)

g. Periodic self monitoring reports 403.12(e)&(h)

h. Reporting all required pollutants 403.12(g)(1)&(h)

i. Signatory/certification of reports 403.12(l)

j. Annual certification by NSCIUs 403.12(q)

k. Submission of compliance schedule reports by required

dates

403.12(c)

l. Notification within 24 hours of becoming aware of violations 403.12(g)(2)

 Discharge violation

 Slug load

 Accidental spill

m. Resampling/reporting within 30 days of knowledge of

violation

403.12(g)(2)

n. Notification of hazardous waste discharge 403.12(j)&(p)

o. Submission/implementation of slug discharge control plan 403.8(f)(2)(vii)

p. Notification of significant changes 403.12(j)

Comments

PCA-38 February 2010

SECTION II: IU EVALUATION (CONTINUED)

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

E. IU COMPLIANCE STATUS (continued)

2. Compliance with all general control mechanism requirements

3. If the CA has classified the discharger as a middle-tier CIU 403.12(e)(3)

 Categorical flow does not exceed 0.01% of the design dry-

weather hydraulic capacity or 5,000 gpd (whichever is

smaller)

 Categorical flow does not exceed 0.01% of the design dry

weather organic treatment capacity of the POTW

 Categorical flow does not exceed 0.01% of the maximum

allowable headworks loading for any regulated categorical

pollutant

4. If the CA has granted the discharger a monitoring waiver 403.12(e)(2)

 Certification statements with each compliance report

5. Compliance with BMR requirements, if applicable (Y/N)

6. If the CA has classified the discharger as an NSCIU 403.3(v)(2)

 IU discharges less than 100 gpd of total categorical

wastewater

 Annual certification statements from the IU

Comments

February 2010 PCA-39

SECTION II: IU EVALUATION (CONTINUED)

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

E. IU COMPLIANCE STATUS (continued)

7. If the CA has established equivalent mass limits for a CIU 403.6(c)(5)(ii)

 IU is effectively operating treatment technologies to achieve

compliance

 IU is recording the facility’s flow rates

 IU is recording the facility’s production rates

 IU has notified the CA whenever production rates vary

 IU continues to employ water conservation

methods/technologies

Comments

PCA-40 February 2010

SECTION II: IU EVALUATION (CONTINUED)

File File File File File

Reg.

___ ___ ___ ___ ___

IU FILE REVIEW Cite

F. OTHER

Comments

SECTION II COMPLETED BY: DATE:

TITLE: TELEPHONE:

February 2010 PCA-41

SECTION III: OBSERVATIONS AND CONCERNS

INSTRUCTIONS: On the basis of the information and data evaluated, summarize the observations and concerns of the

audit for each program element shown below. Identify all problems or deficiencies from the evaluation of program

components. Clearly distinguish between deficiencies, violations, and effectiveness issues. This is to ensure that the final

report will clearly identify required actions versus recommended actions and program modifications.

Regulatory Checklist

Description Citation Question(s)

A. CA PRETREATMENT PROGRAM MODIFICATION

 Status of program modifications

403.18 I.A.1

 Modification to the program to accommodate the 2005 General

Pretreatment Regulation changes

403.8(f)(1)(iii)(B)(6),

403.8(f)(2)(vi),

403.12(g)

I.A.1

B. LEGAL AUTHORITY

 Minimum legal authority requirements

403.8(f)(1) I.B.2&3

 Adequate multijurisdictional agreements

403.8(f)(1) I.B.1&3

PCA-42 February 2010

SECTION III: OBSERVATIONS AND CONCERNS (CONTINUED)

Regulatory Checklist

Description Citation Question(s)

C. IU CHARACTERIZATION

 Application of significant industrial user definition

403.3(v)(1) I.C.1;

Attach B.E.2

 Application of middle-tier CIU definition

 Application of NSCIU definition

 Identify and categorize IUs

403.8(f)(2)(i)&(ii) I.C.2&3; II.B

D. CONTROL MECHANISM

 Issuance of individual or general control mechanisms to all SIUs

403.8(f)(1)(iii) I.D.1

 Adequate control mechanisms

403.8(f)(1)(iii)(B) II.A.4

 Adequate control of trucked, railed, and dedicated pipe wastes

403.5(b)(8) I.D.2&3, E.1

February 2010 PCA-43

SECTION III: OBSERVATIONS AND CONCERNS (CONTINUED)

Regulatory Checklist

Description Citation Question(s)

E. APPLICATION OF PRETREATMENT STANDARDS AND REQUIREMENTS

 Appropriately categorize, notify, and apply all applicable pretreatment

standards

403.8(f)(1)(ii)&(iii)

403.5

II.B

 Basis and adequacy of local limits

403.8(f)(4);

122.21

I.E.3&4

F. COMPLIANCE MONITORING

 Adequate sampling and inspection frequency

Approved

program

403.8(f)(2)(ii)&(v)

I.F.1&2; II.C

 Adequate inspections

403.8(f)(2)(v)&(vi) I.F.2&4; II.C.1-3

 Adequate sampling protocols and analysis

403.8(f)(2)(vii) I.F. 5&6; II.C.5-9

PCA-44 February 2010

SECTION III: OBSERVATIONS AND CONCERNS (CONTINUED)

Regulatory Checklist

Description Citation Question(s)

F. COMPLIANCE MONITORING (continued)

 Adequate IU self-monitoring

403.8(f)(2)(iv) I.F.6,G.5; II.E

 Notification of changed and hazardous waste discharges

403.12(j)&(p)

I.F.8; II.D.1.b

 Evaluate the need for SIUs to develop slug discharge control plans

403.8(f)(2)(vi) I.F.9; II.C.4

 Monitor to demonstrate continued compliance and resampling after

violation(s)

403.12(g)(1)&(2)

403.8(f)(2)(vi)

II.A.4.j & II.C.5

G. ENFORCEMENT

 Appropriate application of significant noncompliance definition

403.8(f)(2)(viii) I.G.1; II.D.2;

Attach B.I.1

 Develop and implement an ERP

403.8(f)(5) I.G.2; II.D.3

 Annually publish a list of IUs in SNC

403.8(f)(2)(viii) I.G.4; II.D.7

February 2010 PCA-45

SECTION III: OBSERVATIONS AND CONCERNS (CONTINUED)

Regulatory Checklist

Description Citation Question(s)

G. ENFORCEMENT (continued)

 Effective enforcement

403.8(f)(5)

I.G.2.c, 5&6;

II.D.1.c, 4&5

H. DATA MANAGEMENT/PUBLIC PARTICIPATION

 Effective data management/public participation

403.5(c)(3);

403.12(o); 403.14

I.H

I. RESOURCES

 Adequate resources

403.8(f)(3) I.I

PCA-46 February 2010

SECTION III: OBSERVATIONS AND CONCERNS (CONTINUED)

Regulatory Checklist

Description Citation Question(s)

J. ENVIRONMENTAL EFFECTIVENESS/POLLUTION PREVENTION

 Understanding of pollutants from all sources

I.J.1&3

 Documentation of environmental improvements/effectiveness

I.J.2

 Integration of pollution prevention

I.J.6

K. ADDITIONAL EVALUATIONS/INFORMATION

SECTION II COMPLETED BY: DATE:

TITLE: TELEPHONE:

ATTACHMENT A: PRETREATMENT PROGRAM STATUS UPDATE

This page intentionally left blank.

February 2010 A-1

PRETREATMENT PROGRAM STATUS UPDATE

INSTRUCTIONS: This attachment is intended to serve as an update of program status. Either the auditor or

CA should updated this form before each audit on the basis of information obtained from the most recent PCI

and/or audit and the last pretreatment program performance report.

A. CA INFORMATION

1. CA name

2. a. Pretreatment contact b. Mailing address

c. Title d. Telephone number

3. Date of last CA report to Approval Authority

4. Is the CA operating under any pretreatment-related consent decree,

Yes No

Administrative Order, compliance schedule, or other enforcement action?

5. Effluent and sludge quality

a. List the NPDES effluent and sludge limits violated and the suspected cause(s)

Parameters Violated Cause(s)

b. Has the treatment plant sludge violated these tests?

Yes No

 EP toxicity

 TCLP

Yes No

6. Does the treatment plant discharge to a 303(d) impaired waterbody?

If yes, list the pollutants of concern.

Yes No

7. Does the treatment plant discharge to a waterbody that has a TMDL that has

been developed or is being developed?

If yes, include the information on the TMDL (i.e., pollutants of concern, limits, effective date).

A-2 February 2010

PRETREATMENT PROGRAM STATUS UPDATE

B. PRETREATMENT PROGRAM STATUS

1. Indicate components that were identified as deficient.

Last PCI Last Audit Program Report

Date: Date: Date:

a. Program modification

b. Legal authority

c. Local limits

d. IU characterization

e. Control mechanism

f. Application of Pretreatment Standards

g. Compliance monitoring

h. Enforcement program

I. Data management

j. Program resources

k. Other (specify)

2. Is the CA presently in RNC for any of these violations?

Data Source Yes No

a. Failure to enforce against pass through and/or interference

[ RNC - I ] [ SNC ]

b. Failure to submit required reports within 30 days [ RNC - I ] [ SNC ]

c. Failure to meet compliance schedule milestones within 90 days

[ RNC - I ] [ SNC ]

d. Failure to issue/reissue control mechanisms to 90% of SIUs within

6 months

[ RNC - II ]

e. Failure to inspect or sample 80% of SIUs within the past 12 months

[ RNC - II ]

f. Failure to enforce standards and reporting requirements [ RNC - II ]

g. Other (specify) [ RNC - II ]

3. List SIUs in SNC identified in the last pretreatment program performance report, PCI, or audit,

(whichever is most recent)

Name of SIU in SNC Compliance Status Source

4. Indicate the number and percent of SIUs that were identified as being in SNC* with the following

requirements from the CA’s last pretreatment program report. If the CA’s report does not provide

this information, obtain the information for the most recent four full quarters during the audit.

SNC Evaluation Period

% Applicable Pretreatment Standards and reporting requirements

*SNC defined by:

% Self-monitoring requirements

POTW

% Pretreatment compliance schedules

EPA

February 2010 A-3

PRETREATMENT PROGRAM STATUS UPDATE

B. PRETREATMENT PROGRAM STATUS (continued)

5. Describe any problems the CA has experienced in implementing or enforcing its pretreatment

program.

ATTACHMENT A COMPLETED BY:

DATE:

TITLE:

TELEPHONE:

A-4 February 2010

This page intentionally left blank.

ATTACHMENT B: PRETREATMENT PROGRAM PROFILE

This page intentionally left blank.

February 2010 B-1

PRETREATMENT PROGRAM PROFILE

INSTRUCTIONS: This attachment is intended to serve as a summary of program information. The

auditor or CA should obtain the needed information from the original, approved pretreatment program

submission and modifications and the NPDES permit. The auditor or CA should update this from, as

appropriate, in response to approved modifications and revised NPDES permit requirements.

A. CA INFORMATION

1. CA name

2. Original pretreatment program submission date

3. Required frequency of reporting to Approval Authority

4. Specify the following CA information

Treatment Plant Name NPDES Permit Number Effective Date Expiration Date

5. Does the CA hold a sludge permit or has the NPDES permit been modified

Yes No

to include sludge use and disposal requirements?

If yes, provide the following information.

Issuing Issuance Expiration

POTW Name Authority Date Date Regulated Pollutants

B. PRETREATMENT PROGRAM MODIFICATIONS

1. When was the CA’s NPDES permit first modified to require pretreatment

implementation?

2. Identify any substantial modifications the CA made in its pretreatment program since the approved

pretreatment program submission. [403.18]

Date Incorporated in NPDES

Date Approved Name of Modification Permit

B-2 February 2010

PRETREATMENT PROGRAM PROFILE (Continued)

C. TREATMENT PLANT INFORMATION

INSTRUCTIONS: Complete this section for each treatment plant operated under an NPDES permit issued to the CA.

1. Treatment plant name 2. Location address

3. a. NPDES permit

b. Expiration date 4. Treatment plant wastewater flows

number

Design

mgd Actual mgd

5. Sewer System a. Separate % b. Combined % c. Number of CSOs

6. a. Industrial contribution (mgd) b. Number of SIUs discharging to plant

c. Percent industrial flow to plant

7. Level of treatment

Type of Process(es)

a. Primary

b. Secondary

c. Tertiary

8. Indicate methods of sludge disposal.

Quantity of sludge Quantity of sludge

a. Land application

dry tons/year e. Public distribution

dry tons/year

b. Incineration

dry tons/year f. Lagoon storage

dry tons/year

c. Monofill

dry tons/year g. Other (specify)

dry tons/year

d. MSW landfill

dry tons/year

D. APPLICATION OF STANDARDS

If there is more than one treatment plant, were local limits established

N/A Yes No

specifically for each plant?

February 2010 B-3

PRETREATMENT PROGRAM PROFILE (Continued)

E. ADDITIONAL INFORMATION

ATTACHMENT B COMPLETED

BY:

DATE:

TITLE:

TELEPHONE:

B-4 February 2010

This page intentionally left blank.

ATTACHMENT C: LEGAL REVIEW CHECKLIST

This page intentionally left blank.

February 2010 C-1

CHECKLIST – PRETREATMENT PROGRAM LEGAL AUTHORITY REVIEWS

NAME OF POTW:

DATE OF REVIEW:

Note: Several changes to the National Pretreatment Regulations made as a result of the 2005 revisions to the General Pretreatment

Regulations (streamlining rule, 70 FR 60134-60198: October 14, 2005) are more stringent than the previous federal requirements and

therefore are considered required modifications for the POTW. Therefore, to the extent that existing POTW legal authorities are inconsistent

with those required changes, they must be revised. Where local authorities are already consistent with the required provisions, further

changes are not necessary.

NONE = No revision necessary REQ = Require Revision REC = Recommend Revision

REVISIONS

Part 403

Citation

Model

SUO

Section NONE REQ REC

POTW

Ordinance

Section

Comments/Notes

A. Definitions [403.3 & 403.8(f)(2)]

1. Act, Clean Water Act

403.3(b) § 1.4 A

2. Authorized or Duly Authorized

Representative of the User

403.12(l) § 1.4 C

3. Best Management Practices or BMPs

403.3(e) § 1.4 E

4. Categorical Pretreatment Standard or

Categorical Standard

403.6 § 1.4 F

5. Indirect Discharge or Discharge

403.3(i) § 1.4 M

6. Industrial User (or equivalent)

403.3(j) § 1.4 LL

7. Interference

403.3(k) § 1.4 O

8. National Pretreatment Standard,

Pretreatment Standard, or Standard

403.3(l) § 1.4 BB

9. New Source

403.3(m) § 1.4 T

10. Pass Through

403.3(p) § 1.4 V

11. Pretreatment Requirement

403.3(t) § 1.4 AA

12. Publicly Owned Treatment Works or POTW

403.3(q) § 1.4 DD

13. Significant Industrial User

[NOTE: §1.4 GG(3) is an optional streamlining

provision for Nonsignificant Categorical

Industrial User classification.]

403.3(v) § 1.4 GG

14. Significant Noncompliance

403.8(f)(2)(vii) § 9 (A-H)

C-2 February 2010

NONE = No revision necessary REQ = Require Revision REC = Recommend Revision

REVISIONS

Part 403

Citation

Model

SUO

Section

NONE REQ REC

POTW

Ordinance

Section

Comments/Notes

15. Slug Load or Slug Discharge

403.8(f)(2)(vi) § 1.4 HH

16. Other definitions based on terms

used in the POTW Ordinance

B. National Pretreatment Standards –

Prohibited Discharges

1. General Prohibitions

a. Interference

403.5(a) § 2.1A

b. Pass Through

403.5(a) § 2.1A

2. Specific Prohibitions [403.5(b)]

a. Fire/Explosion Hazard (60 °C or

140 °F flashpoint)

403.5(b)(1) § 2.1B(1)

b. pH/Corrosion

403.5(b)(2) § 2.1B(2)

c. Solid or Viscous/Obstruction

403.5(b)(3) § 2.1B(3)

d. Flow Rate/Concentration

(BOD, etc.)

403.5(b)(4) § 2.1B(4)

e. Heat; exceeds 40 °C (104 °F)

403.5(b)(5) § 2.1B(5)

f. Petroleum/Nonbiodegradable

Cutting/Mineral Oils

403.5(b)(6) § 2.1B(6)

g. Toxic Gases/Vapor/Fumes

403.5(b)(7) § 2.1B(7)

h. Trucked/Hauled Waste

403.5(b)(8) § 2.1B(8)

February 2010 C-3

NONE = No revision necessary REQ = Require Revision REC = Recommend Revision

REVISIONS

Part 403

Citation

Model

SUO

Section

NONE REQ REC

POTW

Ordinance

Section

Comments/Notes

3. National Categorical Standards

403.8(f)(1)(ii) § 2.2

4. Local Limits Development

[NOTE: POTWs may develop Best Management

Practices (BMPs) to implement the prohibitions listed

in 40 CFR 403.5(a)(1). Such BMPs shall be

considered local limits and Pretreatment Standards.]

403.5(c) & (d) § 2.4

5. Prohibition Against Dilution as Treatment

403.6(d) § 2.6

6. Best Management Practices Development

[NOTE: Optional streamlining provision.]

403.5(c)(4) § 2.4C

C. Control Discharges to POTW System

1. Deny/Condition New or Increased

Contributions

403.8(f)(1)(i) §§ 4.8 &

5.2

2. Individual Control Mechanism (e.g., permit)

to ensure compliance

- Permit Content

403.8(f)(1)(iii) § 4.2

a. Statement of Duration

403.8(f)(1)(B)

(1)

§§ 5.1 &

5.2A(1)

b. Statement of Nontransferability

403.8(f)(1)(B)(2) §5.2A(2)

c. Effluent Limits

403.8(f)(1)(B)

(3)

§ 5.2A(3)

C-4 February 2010

NONE = No revision necessary REQ = Require Revision REC = Recommend Revision

REVISIONS

Part 403

Citation

Model

SUO

Section

NONE REQ REC

POTW

Ordinance

Section

Comments/Notes

d. Best Management Practices

[Note: This is a required streamlining provision

for a CIU with BMP requirements as part of its

Categorical Standards. But if BMPs are being

applied to other CIUs or noncategorical SIUs

without categorical BMP requirements, this

provision would be optional and is required only if

the POTW has incorporated the use of BMPs (§

2.4 C).]

403.8(f)(1)(B)

(3)

§ 5.2A(3)

e. Self-Monitoring Requirements

403.8(f)(1)(B)

(4)

§ 5.2A(4)

f. Reporting & Notification Requirements

403.8(f)(1)(B)

(4)

§ 5.2A(4)

g. Record-Keeping Requirements

403.8(f)(1)(B)

(4)

§ 5.2A(4)

h. Process for Seeking a Waiver for

Pollutants Not Present or Expected to be

Present

[NOTE: Optional streamlining provision.

Required only if the POTW has incorporated §

6.4B of the Model SUO.]

403.8(f)(1)(B)

(4) & 403.12(e)

(2)

§ 5.2A(5)

i. Statement of Applicable Civil and Criminal

Penalties

403.8(f)(1)(B)

(5)

§ 5.2A(6)

j. Slug Discharge Requirements (if

necessary)

[NOTE: Required streamlining change. Where the

POTW has determined that slug controls are neces-

sary, the ordinance must provide authority for the

POTW to include such requirements in IU permits.]

403.8(f)(1)(B)

(6)

§ 5.2A(7)

February 2010 C-5

NONE = No revision necessary REQ = Require Revision REC = Recommend Revision

REVISIONS

Part 403

Citation

Model

SUO

Section

NONE REQ REC

POTW

Ordinance

Section

Comments/Notes

k. Specific Waived Pollutant

[NOTE: Optional streamlining provision.

Required only if the POTW has incorporated §

6.4B of the Model SUO.]

403.8(f)(1)

(B)(4)

§ 5.2A(8)

l. Permit Application/Reapplication

Requirements

[Note: Optional permit provision]

§§ 5.3 &

5.7

m. Permit Modification

[Note: Optional permit provision]

§ 5.4

n. Permit Revocation/Termination

[Note: Optional permit provision]

§§ 5.6 &

10.8

o. Proper Operation and Maintenance

[Note: Optional permit provision]

§ 3.1

p. Duty of Halt/Reduce

[Note: Optional permit provision]

§ 10.7

q. Requirement to Submit Chain-of-Custody

Forms with Monitoring Data

[Note: Optional permit provision]

3. General Control Mechanism to Ensure

Compliance

[NOTE: Optional streamlining provision. Required

only if the POTW has incorporated the use of

General Permits (§ 4.6 of the Model SUO).]

- Permit Content

403.8(f)(1)

(iii)(A)

§ 4.2 & 4.6

a. Statement of Duration

403.8(f)(1)

(B)

(1)

§§ 5.1 &

5.2A(1)

b. Statement of Nontransferability

403.8(f)(1)

(B)(2)

§ 5.2A(2)

C-6 February 2010

NONE = No revision necessary REQ = Require Revision REC = Recommend Revision

REVISIONS

Part 403

Citation

Model

SUO

Section

NONE REQ REC

POTW

Ordinance

Section

Comments/Notes

c. Effluent Limits

403.8(f)

(1)(B)(3)

§ 5.2A(3)

d. Best Management Practices

[Note: This is a required streamlining provision

for a CIU with BMP requirements as part of its

Categorical Standards. But if BMPs are being

applied to other CIUs or noncategorical SIUs

without categorical BMP requirements, this

provision would be optional and is required only if

the POTW has incorporated the use of BMPs (§

2.4C).]

403.8(f)

(1)(B)(3)

§ 5.2A(3)

e. Self-Monitoring Requirements

403.8(f)

(1)(B)(4)

§ 5.2A(4)

f. Reporting & Notification Requirements

403.8(f)

(1)(B)(4)

§ 5.2A(4)

g. Record-Keeping Requirements

403.8(f)

(1)(B)(4)

§ 5.2A(4)

h. Process for Seeking a Waiver for

Pollutants Not Present or Expected to be

Present

[Note: Required only if POTW has incorporated

the use of Pollutants Not Present and § 6.4 of the

Model SUO.]

403.8(f)

(1)(B)(4)

403.12(e)

(2)

§ 5.2A(5)

i. Statement of Applicable Civil and Criminal

Penalties

403.8(f)

(1)(B)(5)

§ 5.2A(6)

February 2010 C-7

NONE = No revision necessary REQ = Require Revision REC = Recommend Revision

REVISIONS

Part 403

Citation

Model

SUO

Section

NONE REQ REC

POTW

Ordinance

Section

Comments/Notes

j. Slug Discharge Requirements (if

necessary)

[NOTE: Required streamlining change. The

ordinance should indicate that a user is required

to develop a slug discharge control plan if

determined by the POTW to be necessary.]

403.8(f)

(1)(B)(6)

§ 5.2A(7)

k. Permit Application/Reapplication

Requirements

[Note: Optional permit provision]

§§ 5.3 &

5.7

l. Permit Modification

[Note: Optional permit provision]

§ 5.4

m. Permit Revocation/Termination

[Note: Optional permit provision]

§§ 5.6 &

10.8

n. Proper Operation and Maintenance

[Note: Optional permit provision]

§ 3.1

o. Duty of Halt/Reduce

[Note: Optional permit provision]

§ 10.7

p. Requirement to Submit Chain-of-Custody

Forms with Monitoring Data

[Note: Optional permit provision]

D. Required Reports

1. Develop Compliance Schedule for Installation

of Technology

403.8(f)

(1)(iv)

§§ 5.2b(2)

& 10.4

C-8 February 2010

NONE = No revision necessary REQ = Require Revision REC = Recommend Revision

REVISIONS

Part 403

Citation

Model SUO

Section

NONE REQ REC

POTW

Ordinance

Section

Comments/Notes

2. Reporting Requirements [403.12]

Types of Reports

a. Baseline Monitoring Report

403.12(b) § 6.1

(i) Identifying Information

403.12(b)(1) § 6.1B(1) &

§ 4.5A(1)a

(ii) Other Environmental Permits

Held

403.12(b)(2) §§ 6.1B(1) &

4.5A(2)

(iii) Description of Operations

403.12(b)(3) §§ 6.1B(1) &

4.5A(3)a

(iv) Flow Measurements

403.12(b)(4) §§ 6.1(b)(2)

& 4.5A(6)

(v) Measurement of Pollutants

403.12(b)(5) § 6.1B(2)

(vi) Certification

403.12(b)(6) § 6.1B(3)

(vii) Compliance Schedule

403.12(b)(7) § 6.1B(4)

b. Compliance Schedule Progress Report

403.12(c) § 6.2

c. Report on Compliance with Categorical

Pretreatment Standard Deadline

403.12(d) § 6.3

d. Periodic Reports on Continued

Compliance

- From categorical users

403.12(e) § 6.4A

- From significant noncategorical

users

403.12(h) § 6.4A

e. Notice of Potential Problems to be

Reported Immediately (Including Slug

Loads)

403.12(f) § 6.6

February 2010 C-9

NONE = No revision necessary REQ = Require Revision REC = Recommend Revision

REVISIONS

Part 403

Citation

Model SUO

Section

NONE REQ REC

POTW

Ordinance

Section

Comments/Notes

f. Notification of Changes Affecting Potential

for a Slug Discharge

[NOTE: Required streamlining revision]

403.8(f)

(2)(vi)

§ § 6.5 & 6.6

g. Notice of Violation/Sampling Requirement

[NOTE: Required streamlining revision.]

403.12(g)

(2)

§ 6.8

h. Requirement to Conduct Representative

Sampling

403.12(g)

(3)

§ 6.4E

i. Notification of Changed Discharge

403.12(j) § 6.5

j. Notification of Discharge of Hazardous

Waste

403.12(p) § 6.9

Other Reporting Requirements

k. Data Accuracy Certification & Authorized

Signatory

403.6(a)

(2)(ii) &

403.12(l)

§§ 6.4D &

6.14

l. Record-Keeping Requirement (3 years or

longer)

403.12(o) § 6.13

- Including documentation associated

with Best Management Practices

[NOTE: Required streamlining provision.]

403.12(o) § 6.13

m. Submission of All Monitoring Data

[NOTE: Required streamlining revision]

403.12(g)

(6)

§ 6.4F

n. Annual Certification by Nonsignificant

Categorical Industrial Users

[Note: Optional provision, required only if the

POTW has incorporated §1.4GG(3) of the Model

SUO.]

403.3(v)

(2)

§§ 4.7C &

6.14B

C-10 February 2010

NONE = No revision necessary REQ = Require Revision REC = Recommend Revision

REVISIONS

Part 403

Citation

Model SUO

Section

NONE REQ REC

POTW

Ordinance

Section

Comments/Notes

o. Certification of Pollutant Not Present

[NOTE: Optional provision, required only if the

POTW has incorporated § 6.4 B of the Model

SUO]

403.12(e)(2)(v) § 6.14C

E. Test Procedures [40 CFR Part 136 &

403.12(g)]

1. Analytical Procedures (40 CFR Part 136)

[NOTE: Required streamlining provisions]

403.12(g) § 6.10

2. Sample Collection Procedures

[NOTE: Required streamlining provisions]

403.12(g)(3) &

(4)

§ 6.11

F. Inspection and Monitoring Procedures

[403.8(f)]

1. Right to Enter All Parts of the Facility at

Reasonable Times

403.8(f)

(1)(v)

§ 7.1

2. Right to Inspect Generally for Compliance

403.8(f)

(1)(v)

§ 7.1

3. Right to Take Independent Samples

403.8(f)

(1)(v), 403.8(f)

(2)(v) &

403.8(f)

(2)(vii)

§ 7.1

4. Right to Require Installation of Monitoring

Equipment

403.8(f)

(1)(iv)

§ 7.1

5. Right to inspect and copy records

403.12(o)(2) § 7.1

G. Remedies for Noncompliance

(Enforcement) [403.8(f)(1)(vi)]

1. Non-Emergency Response

a. Injunctive Relief

403.8(f)

(1)(vi)

§ 11.1

b. Civil/criminal Penalties

403.8(f)

(1)(vi)

§§ 11.2 &

11.3

February 2010 C-11

NONE = No revision necessary REQ = Require Revision REC = Recommend Revision

REVISIONS

Part 403

Citation

Model

SUO

Section

NONE REQ REC

POTW

Ordinance

Section

Comments/Notes

2. Emergency Response

a. Immediately Halt Actual/Threatened

Discharged

403.8(f)(1)

(vi)(B)

§ 10.7

3. Legal Authority to Enforce Enforcement

Response Plan

403.8(f)(1)

(vi)

§ 11.4

H. Public Participation

1. Publish List of Industrial Users in Significant

Noncompliance

[NOTE: Required streamlining revision]

403.8(f)(2)

(viii)

§ 9

2. Access to Data [403.8(f)(1)(vii) & 403.14]

a. Government

403.14(a) &

(c)

§ 8

b. Public

403.14(b) § 8

I. Optional Provisions

1. Net/Gross Adjustments [streamlining provision]

403.15 § 2.2 D

2. Equivalent Mass Limits for Concentration

Limits [streamlining provision]

403.6(c) § 2.2 E

3. Equivalent Concentration Limits for Mass

Limits [streamlining provision]

403.6(c) § 2.2 F

4. Upset Notification

403.16 § 13.1

5. Waive Monitoring for Pollutant Not Present or

Expected to be Present [streamlining provision]

403.12(e)(2) § 6.4B

6. Reduce Periodic Compliance

Reporting [streamlining provision]

403.12(e)(3) § 6.4C

7. Other Special Agreement or Waivers

(Excluding Wavier of National Categorical

Pretreatment Standards and Requirements)

C-12 February 2010

NONE = No revision necessary REQ = Require Revision REC = Recommend Revision

REVISIONS

Part 403

Citation

Model SUO

Section

NONE REQ REC

POTW

Ordinance

Section

Comments/Notes

8. Hauled Waste Reporting/Requirements

§ 3.4

9. Grease Interceptor Reporting/Requirements

§ 3.2 C

10. Authority to Issue Notice of Violations

(NOVs)

§ 10.1

11. Authority to Issue Administrative Orders

(AOs)

12. Authority to Issue Administrative Penalties

§ 10.6

13. Authority to Enforce Against Falsification or

Tampering

14. Any Other Supplemental Enforcement

Actions as Noted in the POTW’s

Enforcement Response Plan

15. Permit Appeals Procedures

16. Penalty or Enforcement Appeals Procedures

17. Bypass Notification

403.17 § 13.3

Document(s) submitted for review: Name of Reviewers

ATTACHMENT D: SITE VISIT DATA SHEET, WENDB DATA ENTRY WORKSHEET, PCA

REQUIRED ICIS DATA ELEMENTS WORKSHEET, RNC WORKSHEET

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February 2010 D-1

SITE VISIT DATA SHEET

INSTRUCTIONS: Record observations made during the IU site visit. Provide as much detail as

possible.

Name of industry:

Address of industry:

Date of visit: Time of visit:

Name of inspector(s):

Provide the name(s) and title(s) of industry representative(s)

Name Title Phone/E-mail

IU Permit Number: Exp Date: IU Classification:

Scheduled Unscheduled PCA Inspection

Type/Purpose

PCI New Company Complaint

Please provide the following documentation:

1. Nature of operation:

2. Number of

employees

Number of

shifts:

Hours of

operation:

3. Water source:

4. Wastestream flow(s) discharged to the POTW:

Sanitary: (gpd) Process: (gpd) Combined: (gpd)

5. Describe any significant changes in process or flow:

6. Type of pretreatment system (Describe):

Continuous flow Batch Combined

7. Condition/operation of pretreatment system (Describe):

Any unusual conditions or problems with the pretreatment system:

D-2 February 2010

SITE VISIT DATA SHEET (Continued)

8. Process area description (identify raw materials and processes used):

9. Condition/operation of process area (Describe):

Any unusual conditions or problems with the process area:

10. General housekeeping in process area (Describe):

Any unusual conditions or problems with general housekeeping in process area:

11. Chemical storage area (identify the chemicals that are maintained on-site and how they are

stored):

Any floor drains? Any spill control measures?

General housekeeping of chemical storage area (Describe):

12. Are hazardous wastes drummed and labeled?

13. Does the IU have hazardous waste manifests?

Any problems associated with hazardous waste:

February 2010 D-3

SITE VISIT DATA SHEET (Continued)

14. Solid waste production:

Solid waste disposal method(s):

15. Description of sample location:

Sampling method/technique:

16. Evaluation of self-monitoring data: Yes No N/A

If yes, was self-monitoring adequate:

17. Who performs the self-monitoring analysis?

Notes:

D-4 February 2010

WENDB DATA ENTRY WORKSHEET

INSTRUCTIONS: Enter the data provided by the specific checklist questions that are referenced.

CA name

NPDES number

Date of inspection

Date entered into PCS

PCS Checklist

Code Reference Data

 Number of SIUs*

SIUS I.B.2.a

- Number of SIUs without control mechanism NOCM I.C.1.b

- Number of SIUs not inspected or sampled NOIN I.E.2

- Number of SIUs in SNC** with standards or reporting PSNC I.F.3.a

- Number of SIUs in SNC with self-monitoring MSNC I.F.3.a

- Number of SIUs in SNC with self-monitoring and not

inspected or sampled SNIN I.G.5

 Number of CIUs

CIUS I.B.2.a

*The number of SIUs entered into PCS is based on the CA’s definition of Significant Industrial User.

**As defined in EPA’s 1986 Pretreatment Compliance Monitoring and Enforcement Guidance.

WENDB DATA ENTRY WORKSHEET

DATE:

COMPLETED BY:

TITLE:

TELEPHONE:

February 2010 D-5

PCA REQUIRED ICIS DATA ELEMENTS WORKSHEET

► TYPE OF COMPLIANCE MONITORING:

PCA

► NAME OF PRETREATMENT PROGRAM:

► CONTROLLING AUTHORITY NPDES ID:

START DATE OF INSPECTION ............................. ► END DATE OF INSPECTION............................

LEAD INSPECTOR (Name, Company, Phone, E-mail [if available]):

ACCOMPANYING INSPECTOR(s) (Name, Company, Phone, E-mail [if available]):

SIGNIFICANT INDUSTRIAL USERS (SIUs)

PCI CHECKLIST

REFERENCE

PCA CHECKLIST

REFERENCE

DATA

► SIUs*: II.B.2.a I.C.4.a

► SIUs Without Control Mechanism: II.C.1.c I.D.1 and II.A

► SIUs Not Inspected: II.E.2.c I.F.2.c

► SIUs Not Sampled: II.E.2.b I.F.2.b

► SIUs in SNC with Pretreatment Standards** : II.F.3.a I.F.3.a

► SIUs in SNC with Reporting Requirements: II.F.3.a I.F.3.a

SIUs in SNC with Pretreatment Schedule: I.F.3.a

SIUs in SNC Published in Newspaper: I.G.4; II.D.7

Criminal Suits Filed Against SIUs: II.F.1

CATEGORICAL INDUSTRIAL USERS (CIUs)

► CIUs: I.C.4.a

OTHER INFORMATION

Pass-Through/Interference Indicator (none, Yes, or No) I.G.6

DEFICIENCIES

Control Mechanism Deficiencies (No or Yes) I.D.1;II.A.4

Inadequacy of Sampling and Inspections (No or Yes) II.C and

Site Visit Sheets

Adequacy of Pretreatment Resources (Yes or No) I.I

FOOTNOTES:

► denotes required information

* The number of SIUs entered into PCS is based on the CA’s definition of “Significant Industrial User.”

** AS DEFINED IN EPA’s 1986 Pretreatment Compliance Monitoring and Enforcement Guidance.

DATA ENTRY WORKSHEET

COMPLETED BY:

DATE:

TITLE:

TELEPHONE NO.:

D-6 February 2010

RNC WORKSHEET

INSTRUCTIONS: Place a check in the appropriate box to the left, if the CA is found to be in RNC or SNC.

CA name

NPDES number

Date of audit

Checklist

Level Reference

Failure to enforce against pass through and/or interference I I.G.6

Failure to submit required reports within 30 days I Attach A.B.2.b

Failure to meet compliance schedule milestone date within 90 days I Attach A.B.2.c

Failure to issue/reissue control mechanisms to 90% of SIUs within 6 months II I.D.1.c

Failure to inspect or sample 80% of SIUs within the past 12 months II I.F.2.a

Failure to enforce Pretreatment Standards and reporting requirements (more

than 15% of SIUs in SNC)

II II.D.1; I.G.2

Other (specify) II

SNC

CA in SNC for violation of any Level I criterion

CA in SNC for violation of two or more Level II criterion

For more information on RNC, see EPA’s 1990 Guidance for Reporting and Evaluating POTW Noncompliance with Pretreatment

Implementation Requirements

RNC WORKSHEET COMPLETED BY:

DATE:

TITLE:

TELEPHONE:

CHAPTER 3. AUDIT CHECKLIST INSTRUCTIONS

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CHAPTER 3 Audit Checklist Instructions

SECTION I: DATA REVIEW

Each of the questions in Section I of the checklist is listed below along with an explanation of the purpose

or intent of the question. Brief guidance is provided on how the auditor can evaluate the CA’s efforts.

This section is primarily designed to be interactive between the auditor and the CA personnel. However,

the information collected should not be solely from the answers provided by the CA personnel. Where

possible, all answers provided by the CA should be supported by other data (e.g., monitoring reports,

correspondence). The auditor should use this section to complement the data gathered through the file

review and to further evaluate the effectiveness of the CA’s implementation of the pretreatment program.

To facilitate completion of this section, elements of each program area are listed for consideration. The

regulatory citations are provided where there are specific requirements for that element. The auditor

should be aware that not all questions on the checklist reflect regulatory requirements. Some of the

questions are included to allow the auditor to better evaluate program effectiveness. The auditor should

take this fact into consideration when developing required versus recommended actions to be taken by the

CA.

A. CA Pretreatment Program Modification [403.18]

Note: The auditor should attempt to determine if any modifications have taken place without

approval by the AA. In addition, the auditor should determine if any modifications are planned in

the near future or are currently being worked on.

A.1.a. Has the CA made any substantial changes to the pretreatment program that were not

reported to the Approval Authority (e.g., legal authority, less stringent local limits,

multijurisdictional situation)? If yes, discuss.

A.1.b. Is the CA in the process of making any substantial modifications to any pretreatment

program component (including legal authority, less stringent local limits, and required

pretreatment provisions from the 2005 revisions to the General Pretreatment Regulations,

multijurisdictional situation, and others)? If yes, describe:

A.1.c. Has the CA made any nonsubstantial changes to the pretreatment program (i.e., pH limit

modifications, reallocation of the maximum allowable headworks loading, and such)? If yes,

describe.

February 2010 3-1

CHAPTER 3 Audit Checklist Instructions

A.1.d. Has the CA amended its pretreatment program to include the following components

required under the 2005 amendments to the General Pretreatment Regulations: slug

control requirements in control mechanisms [40 CFR 403.8(f)(1)(iii)(B)(6)]; notification

requirements to include changes that might affect the potential for a slug discharge [40

CFR 403.8(f)(2)(vi)]; revised SNC definition [40 CFR 403.8(f)(2)(viii)]; clarification that SIU

reports must include any applicable BMP compliance information [40 CFR 40.12(b); (e),

(h)]; SIU control mechanisms must contain any BMPs required by a Pretreatment

Standard, local limits, state, or local law [40 CFR 403.8(f)(1)(iii)(B)(3)]; record-keeping

requirements for BMPs [40 CFR 403.12(o)]; clarification that CAs that perform sampling

for SIUs must perform any required repeat sampling and analysis within 30 days of

becoming aware of a violation [40 CFR 403.12(g)(2)]; modifications to the sampling

requirements [40 CFR 403.12(g)]; and requirement to report all monitoring results [40 CFR

403.12(g)]. If not, when?

A.1.e. Has the CA adopted or does the CA plan to adopt any of the optional measures provided by

the 2005 amendments to the General Pretreatment Regulations? If yes, check which ones.

(Issuance of monitoring waivers for pollutants that are not present [40 CFR 403.8(f)(2)(v)

and 403.12(e)(2)]; issuance of general control mechanisms to regulate multiple industrial

dischargers with similar wastes [40 CFR 403.8(f)(1)(iii)]; using BMPs as an alternative to

numeric limits; authority to implement alternative sampling [40 CFR 403.3(e), 403.5(c)(4),

403.12(b), (e), and (h)], reporting, and inspections frequencies for NSCIUs [40 CFR

403.3(v)(2), 403.8(f)(2)(v)(B), 403.8(f)(6), 403.12(e)(i), 403.12(g), (i), and (q)]; authority to

implement alternative sampling, reporting, inspections frequencies for middle-tier CIUs [40

CFR 403.8(f)(2)(v)(C), 403.12(e)(3), and 403.12(i)]; authority to implement equivalent

concentration limits for flow-based standards [40 CFR 403.6(c)(6)]; and authority to

implement equivalent mass limits for concentration-based standards [40 CFR 403.6(c)(5)].)

A.2.a. Are there any planned changes to the POTW’s treatment plant(s)? If yes, describe.

A.2.b. Are these changes to the treatment plant(s) due to pretreatment issues? If yes, what were

the issues?

PURPOSE: The CA is required to notify the AA of any substantial modifications it intends to

make in its pretreatment program. Substantial modifications should not be made without approval

by the AA. Note, however, that the changes to the pretreatment program due to the 2005 revisions

3-2 February 2010

CHAPTER 3 Audit Checklist Instructions

to the General Pretreatment Regulations (70 FR 60134-60198: October 14, 2005) are not

considered substantial as long as the changes mirror EPA language and intent.

FACTORS TO CONSIDER:

 In some authorized states, the CA cannot adopt less stringent or less restrictive program

elements until the state has modified its state rules and regulations to authorize the less

stringent provisions.

 When investigating this area, the auditor should keep in mind that program modifications are

likely to be made in any of the following areas:

– Contributing jurisdictions added

– Legal authority—SUO and interjurisdictional agreements

– Local limits—reevaluation and modification, addition or deletion of parameters

– Definition of SIU and/or changes in criteria for IUs to be included in the pretreatment

program

– Control mechanisms—type (order vs. permit, etc.), content, format, or standard

conditions

– Inspection and sampling (including self-monitoring) frequencies and/or priorities

– Resources committed to the program—equipment, personnel, funding

B. Legal Authority [403.8(f)(1)]

Note: This section is designed to investigate whether the CA has adequate legal authority to

implement its program. The auditor should review the CA’s legal authority/ordinance to make

sure it is current with the new regulations and to determine that the CA has adequate authority to

cover any extrajurisdictional situation that might exist. The auditor should note any problems and

explain them in the spaces provided on the checklist. Furthermore, if the CA has adopted any of

the optional provisions from the 2005 revisions of the General Pretreatment Regulations (70 FR

60134-60198: October 14, 2005) into its legal authority, the auditor should ensure that the

optional provision is allowed by state law.

February 2010 3-3

CHAPTER 3 Audit Checklist Instructions

B.1.a. Are there any contributing jurisdictions discharging wastewater to the POTW? If yes,

complete questions b–e.

B.1.b. List the contributing jurisdictions.

B.1.c. Does the CA have an agreement in place that addresses pretreatment program

responsibilities?

B.1.d. Is the CA or the contributing jurisdictions responsible for the following: updating the IWS,

notifying IUs of requirements, issuance of control mechanisms, receiving and reviewing IU

reports, conducting inspections, conducting compliance monitoring, enforcement of

Pretreatment Standards and Requirements?

B.1.e. Has the CA had any problems with implementation of its pretreatment program within the

contributing jurisdictions? If yes, explain.

PURPOSE: The CA is responsible for implementing and enforcing its pretreatment program for

all IUs (i.e., existing and future IUs) throughout its service area, regardless of jurisdictional

boundaries. The CA should have a mechanism(s) to ensure implementation and enforcement in its

contributing jurisdictions.

FACTORS TO CONSIDER:

 The CA could be relying on its SUO to regulate IUs in contributing municipalities, but it

might not have adequate authority to do so under state law.

 The CA might be relying on existing interjurisdictional agreements that were entered into for

the purpose of guaranteeing treatment capacity and providing for payment thereof. Such

agreements seldom address the needs of pretreatment program implementation. At a

minimum, the agreement should require the contributing municipality to adopt and

maintain a SUO that is at least as stringent and inclusive (including local limits) as the

CA’s SUO. Ideally, the agreement (or a supplement to the agreement) should provide for

every program implementation activity. For additional information regarding

interjurisdictional agreements, see EPA’s Multijurisdictional Pretreatment Programs

Guidance Manual (EPA-833-B-94-005).

 The CA might have no means of obtaining an adequate agreement with a contributing

municipality (i.e., the CA might be required to continue providing service to the

municipality) and might not have entered into a contract with extrajurisdictional IUs.

3-4 February 2010

CHAPTER 3 Audit Checklist Instructions

 The CA might not have entered into an agreement (or might have an inadequate agreement)

with contributing municipalities that do not currently have IUs within their boundaries. Even

if zoning in such cases allows for commercial and/or residential premises, because zoning

laws are subject to change, the CA should have an agreement that requires notification to and

approval by the CA if any IU request is made to connect to the system.

B.2.a. Has the CA updated its legal authority to reflect the 2005 General Pretreatment Regulation

changes?

B.2.b. Did all contributing jurisdictions update their SUOs to be as stringent as the receiving

POTW?

B.2.c. Did the CA update its procedures and ERP to implement the changes in its SUO? Explain.

PURPOSE: The CA is required to amend its legal authority, as necessary, to be consistent with

all revisions of the General Pretreatment Regulations. The amendment would be a substantial

program modification and must be approved by the AA. The auditor should verify the status of

the CA’s legal authority.

FACTORS TO CONSIDER:

 The CA might have modified its SUO without submitting proposed changes to the AA or

might have enacted modifications without approval. If so, that should be noted along with the

date modifications were enacted and citations of the modified provisions.

 The CA might have submitted proposed changes but has not yet received approval. The date

of the submission should be noted.

 The General Pretreatment Regulations were revised on October 14, 2005 (70 FR 60134-

60198: October 14, 2005). The required provisions from this revision must be adopted by the

CA in accordance with the requirements of the CA’s NPDES permit, enforcement order, or

state law. In addition, before the CA’s adoption of many of the optional provisions

promulgated in the 2005 revision to the General Pretreatment Regulations, those provisions

must be adopted into the state regulations. For further guidance regarding changes to the SUO

in regards to the provisions, see EPA Model Pretreatment Ordinance (EPA 833-B-06-002)

and Checklist – Pretreatment Program Legal Authority Reviews (EPA 833-B-07-001).

February 2010 3-5

CHAPTER 3 Audit Checklist Instructions

B.3. Does the CA experience difficulty in implementing its legal authority [i.e., SUO,

interjurisdictional agreement (e.g., permit challenged, entry refused, penalty appealed?)] If

yes, explain.

PURPOSE: The CA should be able to ensure the successful implementation of its SUO

provisions throughout its service area.

FACTORS TO CONSIDER:

 The CA’s SUO authorities might have been challenged as being inconsistent with state

statutes or as being unconstitutional. State statutes might not provide adequate authority for

the CA to take effective enforcement action. The SUO could contain language that is open to

interpretation.

 In general, the CA’s SUO applies only to IUs within its jurisdictional boundaries. However, a

few states provide authority to public utilities to regulate all users throughout their service

area. In such cases, the SUO could apply to all users of the POTW.

 The CA might not have an agreement with all contributing municipalities, or it might have an

inadequate existing agreement that cannot be modified without the mutual consent of both

parties.

 Interjurisdictional agreements might not be specific enough to ensure that the contributing

municipality takes adequate enforcement when required.

 Interjurisdictional agreements might not provide the CA with authority to take direct action

against a violating IU where the contributing jurisdiction has failed to do so. Where this is the

case, it could be that state law does not allow for such authority. Further, this authority

generally does not exist in interstate situations unless special legislation has been enacted.

C. IU Characterization [403.8(f)(2)(i)&(ii)]

Note: This section is to be used to evaluate how the CA identifies and characterizes its IUs. The

auditor should determine whether the CA has any problems identifying IUs, differentiating

between SIUs and non-SIUs, and further, differentiating between CIUs and significant non-CIUs.

Any problems should be recorded.

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C.1.a. How does the CA define SIU? (Is it the same in contributing jurisdictions? Is it different

from the federal definition at 40 CFR 403.3(v)?)

C.1.b. If the CA has implemented the middle-tier CIU provisions, how does the CA define middle-

tier CIU?

C.1.c. If the CA has implemented the NSCIU provisions, how does the CA define NSCIU?

PURPOSE: In accordance with 40 CFR 403.8(f)(l)(iii), the CA is required to issue individual

control mechanisms to all its SIUs as defined under 40 CFR 403.3(v). The CA must apply

equivalent or more encompassing criteria to determine which IUs must obtain individual control

mechanisms. The auditor should determine what definition the CA is applying to its SIUs and

whether the definition is equivalent or more stringent than the federal definition.

FACTORS TO CONSIDER:

 EPA adopted its definition of SIU on July 24, 1990. Furthermore, on October 14, 2005 (70

FR 60134-60198: October 14, 2005), EPA amended the definition of SIU by the addition the

NSCIU definition. An NSCIU is still considered a categorical user but is not considered

significant.

 Before implementing an NSCIU provision, the CA must ensure that it has submitted to the

AA its program for the NSCIU in accordance with 40 CFR Part 403 and has the legal

authority to do so (i.e., this option has been adopted in state and local regulations).

 Frequently, the CA’s definition of SIU includes any IU that has in its discharge toxic

pollutants as defined under CWA section 307. That provision is not a substitute for specifying

all IUs subject to national categorical Pretreatment Standards because not all categorical

standards regulate toxic pollutants. For example, the categorical Pretreatment Standards for

dischargers subject to 40 CFR Part 415 subpart AC does not specifically regulate toxic

pollutants.

 The CA’s definition of SIU must include any IU whose discharge constitutes 5 percent or

more of the average dry-weather hydraulic or organic capacity of the POTW treatment plant.

Auditors should review the POTW’s legal authority to ensure that both criteria are included.

 EPA’s definition includes any IU that the CA determines has a reasonable potential to

adversely affect the POTW or cause a violation of applicable standards or requirements. If the

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CA’s definition contains only criteria that include any IU that the Director has found to have

an effect on the POTW, such criteria are not as inclusive as the federal definition.

 EPA’s definition of a middle-tiered CIU is a categorical user that discharges less than 0.01

percent of the design dry-weather hydraulic capacity of the POTW or 5,000 gallons per day

(gpd) (whichever is smaller); less than 0.01 percent of the design dry-weather organic

treatment capacity of the POTW; and less than 0.01 percent of the maximum allowable

headworks loading of any pollutant for which approved local limits were developed by the

POTW.

 EPA’s definition of an NSCIU is a CIU that never discharges more than 100 gpd of total

categorical wastewater (excluding sanitary, noncontact cooling and boiler blowdown

wastewater, unless specifically included in the Pretreatment Standard), the user has

consistently complied with all applicable categorical Pretreatment Standards and

Requirements, and the user never discharges any untreated concentrated wastewater.

C.2 How are SIUs identified and categorized (including those in contributing jurisdictions)?

Discuss any problems.

PURPOSE: Proper identification and categorization of SIUs is essential to applying appropriate

Pretreatment Standards and Requirements. The CA should have procedures for determining

which IUs are significant, which of those are subject to categorical standards, and the appropriate

category/subcategory to apply to each CIU.

FACTORS TO CONSIDER:

 Because of EPA’s adoption of the definition of NSCIU on October 14, 2005, NSCIUs are not

considered to be SIUs even though they are still considered CIUs (70 FR 60134-60198:

October 14, 2005).

 The CA should have procedures to determine which SIUs are subject to categorical

Pretreatment Standards and the applicable category(ies) for those that are. The procedures

should include permit application/Baseline Monitoring Report (BMR) review, on-site

inspection, and comparison to categorical Pretreatment Standard regulations, guidance

documents, and/or development documents.

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C.3.a. How and when does the CA update its IWS to identify new IUs (including those in

contributing jurisdictions)?

PURPOSE: The CA needs to be able to identify new IUs that move into the CA’s service area.

The CA is also required to update its IWS at least annually [40 CFR 403.12(i)]. Generally, a

system for continuous update is the most effective.

FACTORS TO CONSIDER:

 The CA should be relying on numerous sources to identify new users. Reliance on one

municipal department (e.g., building permits) to identify these users is likely to result in the

CA overlooking some new IUs such as those in existing facilities. At a minimum, EPA

recommends that the CA verify its IWS by comparing it to another source such as water

billing records at least annually.

 CAs also frequently experience difficulty in identifying new users in contributing

municipalities. If the CA relies on that municipality to notify it of new IUs, the CA should

have procedures to verify this information at least monthly.

C.3.b. How and when does the CA identify changes in wastewater discharges at existing IUs

(including contributing jurisdictions)?

PURPOSE: Identifying changed discharges from existing IUs is part of the CA’s IWS update

and must be done at least annually. Again, continuous updating procedures are the most effective.

FACTORS TO CONSIDER:

 Existing IUs are required to notify the CA of any changes in their facilities or processes that

might result in the discharge of new or substantially increased pollutants. The CA should

ensure that all IUs (including those in contributing jurisdictions) are aware of the

requirement.

 The CA should have procedures to review existing IUs not currently included in the program.

The CA should verify current conditions at those facilities having the greatest potential for

changes that could result in a change of status. Water billing records provide data for IUs that

suddenly change volume of water used, which is a strong indicator of a change in processes

being performed.

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 The CA might only update its IWS for IUs in its program when their control mechanisms are

due for reissuance. If this is the case, update for existing IUs might not be occurring annually

and/or might be reliant upon permit application data rather than on-site inspection data.

 If contributing municipalities are conducting their own inspections, the CA should have

oversight procedures to ensure that those inspections are adequate to identify any facility

changes that might result in the discharge of new or increased pollutants.

C.4. How many IUs are identified by the CA in each of the following groups?

C.4.a. SIUs (as defined by the CA): CIUs, excluding middle-tier CIUs and NSCIUs; Middle-tier

CIUs; Noncategorical SIUs

PURPOSE: The CA is required to use control mechanisms such as the issuance of permits for all

SIUs and middle-tier CIUs in its service area. It is also required to identify those IUs that are

subject to categorical Pretreatment Standards and their applicable category/subcategory.

FACTORS TO CONSIDER:

 The CA generally should have the numbers of CIUs and noncategorical SIUs readily

available. However, in the case of a very large program, the CA might need to obtain data

from its computer system to provide these numbers. Enough time should be allowed to ensure

that the auditor obtains these data during the course of the audit.

 If the CA issues contro1 mechanisms to non-SIUs, it should still be able to identify which IUs

are SIUs to ensure that all applicable Pretreatment Standards and Requirements are being

applied.

 The approved pretreatment program for an individual CA might not have the legal authority

necessary to implement NSCIU or middle-tier reduced reporting provisions. If the CA is

implementing those provisions, the auditor should verify that the CA has the authority to do so.

 If allowed by state law and if the CA’s legal authority has been revised and approved

accordingly, a CA may designate certain CIUs to be middle-tier CIUs. A middle-tiered CIU

is a categorical user that discharges less than 0.01 percent of the design dry-weather hydraulic

capacity of the POTW or 5,000 gpd (whichever is smaller); less than 0.01 percent of the

design dry-weather organic treatment capacity of the POTW; and less than 0.01 percent of the

maximum allowable headworks loading of any pollutant for which approved local limits were

developed by the POTW.

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 An IU must obtain approval from the CA before reducing its reporting frequency. The auditor

should keep in mind that the CA must have this provision incorporated into its legal authority

before granting reduced reporting frequencies.

C.4.b. Other regulated noncategorical nonsignificant IUs (specify): Noncategorical nonsignificant

IUs; NSCIUs, excluding zero-discharging CIUs [as defined by 40 CFR 403.3(v)(2)] (specify);

Zero-discharging CIUs (specify)

PURPOSE: The CA is not required to issue control mechanisms to non-SIUs; however, many

choose to issue control mechanisms to some of or all the IUs. Furthermore, the CA might choose

to adopt the optional regulations as promulgated in the 2005 revision to the General Pretreatment

Regulations that allow reduced monitoring and reporting requirements for NSCIUs (70 FR

60134-60198: October 14, 2005).

FACTORS TO CONSIDER:

 Often, the CA regulates non-SIUs strictly for revenue purposes. If that is the case, the auditor

should determine what pollutants are monitored and/or what other requirements are applied to

such users.

 Some CAs regulate specific categories of non-SIUs such as photo finishers, dry cleaners, and

transportation centers. In such cases, the auditor should ask why and how the CA decided to

regulate those IUs.

 Some CAs might regulate non-SIUs through BMPs or Pollution Reduction Plans.

 If allowed by state law and if the CA’s legal authority has been revised and approved

accordingly, a CA may designate certain CIUs to be NSCIUs. An NSCIU is a discharger that

never discharges more than 100 gpd of categorical wastewater to the POTW, has consistently

complied with all applicable categorical standards and requirements, and never discharges

any untreated concentrated wastes.

 An NSCIU is not considered an SIU, and therefore 40 CFR Part 403 has no requirement to

control the discharger through a permit or other control mechanism. The CA, however, is

required to provide a list of all NSCIU facilities in the annual pretreatment report and to

ensure that the annual certification report is submitted.

 An NSCIU is still, however, a categorical discharger and therefore is still required to comply

with applicable categorical Pretreatment Standards and related reporting and notice

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requirements. EPA recommends that the CA issue some form of control mechanism for those

dischargers to ensure compliance with the federal requirements.

C.4.c. Total

PURPOSE: Although the CA is required to issue only individual control mechanisms to its SIUs,

many also issue control mechanisms to non-SIUs. Non-SIU control mechanisms are not required

to contain the elements specified under 40 CFR 403.8(f)(l)(iii)(B); however, EPA recommends

that they do so.

FACTOR TO CONSIDER:

The CA can issue control mechanisms to specific categories of industries/commercial facilities

because of problems experienced from such facilities (e.g., shipping depots—O&G). Although

those control mechanisms are not required to be as comprehensive as those for SIUs, they should

contain standards and/or requirements that make sense (e.g., clean traps biweekly). Furthermore,

the CA is allowed to issue control mechanisms to categorical industries that do not discharge

regulated process wastestreams. EPA recommends that if a control mechanism is issued, it

contain the following conditions: No discharge of process wastewater is permitted; a requirement

to notify the POTW of any changes in operation resulting in a potential for discharge; a

requirement to certify at least annually that no discharge has occurred; and a requirement to

comply with RCRA and state hazardous waste regulations regarding the proper disposal of

hazardous waste

Note: This question is designed to help the auditor determine which facilities the CA has

classified as either NCSIU, zero-discharging CIU, or middle-tier CIU. In addition, this question

will help the auditor identify which industry sectors the CA has developed general control

mechanisms for. The auditor should determine whether the CA’s implementation of the optional

classification categories and general control mechanisms are adequate and in compliance with

federal regulations.

D. Control Mechanism Evaluation [403.8(f)(l)(iii)]

Note: This section is designed to help the auditor evaluate the CA’s issuance and reissuance of

control mechanisms. The auditor should determine whether the control mechanisms used are

issued or reissued in a timely manner, whether the CA is controlling all sources, and whether the

control mechanisms are adequate and effective. Any problems should be recorded.

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D.1.a. How many and what percent of the total SIUs are not covered by an existing, unexpired

permit or other individual control mechanism?

PURPOSE: The regulations at 40 CFR 403.8(f)(l)(iii), require the CA to issue individual or

general control mechanisms to all SIUs.

FACTORS TO CONSIDER:

 The auditor should consider how many SIUs the CA reported in question C.4 and whether the

number of control mechanisms reported here matches. If it does not, the auditor should

determine why the discrepancy exists.

 If the CA reports any expired and not reissued or reissued late control mechanisms, the

auditor should determine the reason.

D.1.b. Has the CA implemented any general control mechanisms?

D.1.c. If yes, how many SIUs (as defined by the CA) are covered by a general control mechanism?

List the types of SIUs covered under a general control mechanism.

PURPOSE: Under 40 CFR 403.8(f)(1)(iii)(A), at the CA’s discretion, the CA may issue general

control mechanisms to SIUs.

FACTORS TO CONSIDER:

 If allowed by state law and if the CA’s legal authority has been revised and approved

accordingly, a CA might be able to issue general control mechanisms to SIUs, at the CA’s

discretion.

 The facilities covered by general control mechanisms must [40 CFR 403.8(f)(1)(iii)(A)(1)]

– Involve the same or substantially similar types of operations

– Discharge the same types of wastes

– Require the same effluent limitations

– Require the same or similar monitoring

– In the opinion of the CA, be more appropriately controlled under a general control

mechanism than under individual control mechanisms

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 Facilities regulated by categorical standards expressed as mass limits cannot receive coverage

under a general control mechanism. The one exception to this exclusion would be situations

where the CA has imposed the same mass-based limit on a number of facilities.

 General control mechanisms are not available for IUs whose limits are based on the CWF or

net/gross calculations.

 General control mechanisms are not available for CIUs subject to production-based limits.

D.1.d. How many control mechanisms were not issued within 180 days of the expiration date of the

previous control mechanism or extended beyond 5 years? [RNC – II] If any, explain.

PURPOSE: A CA is considered to be in RNC if it fails to issue, reissue, or ratify control

mechanisms for at least 90 percent of its SIUs within 180 days of the expiration date of the

previous control mechanism. If the CA failed to issue or reissue all control mechanisms in the

appropriate time frames, the auditor should record and explain why.

FACTORS TO CONSIDER:

 The CA should have procedures that ensure timely reissuance of all control mechanisms.

Control mechanisms should be issued or reissued on time; if any were not, the auditor should

record this and determine the reason they were not issued or reissued on time.

 The CA may grant an administrative extension of the current control mechanism. However,

only those extensions provided for due cause (e.g., awaiting the approval of revised local

limits) are adequate to exempt the CA from being considered in RNC. In addition, in no case

may extensions cause the term of the permit to exceed 5 years. A lack of adequate CA staff

and resources or simply failure to issue or reissue permits in a timely manner are not

acceptable reasons for granting an extension.

D.2.a. Do any UST, CERCLA, RCRA corrective action sites and/or other contaminated

groundwater sites discharge wastewater to the CA?

D.2.b. How are control mechanisms (specifically limits) developed for these facilities? Discuss.

PURPOSE: Any UST, CERCLA, or RCRA corrective action site that requests to discharge to

the CA, even though the discharge might be of short duration, should be considered an SIU. As

such, each facility must be issued a control mechanism containing all required elements.

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FACTORS TO CONSIDER:

 The CA’s local limits should cover the pollutants of concern to be discharged by these

facilities. The CA should have prepared an IU-specific permit to address such pollutants.

Unfortunately, in the case of CERCLA and RCRA facilities, there might not be much

literature data available regarding secondary treatment inhibition from the applicable

pollutants. The CA will have to rely upon whatever data is available and best professional

judgment. Where there is doubt that the sources will ensure protection of the POTW, the CA

should consider requiring/conducting a bench-scale study to obtain better data.

 The CA should be aware that receipt of hazardous wastes through a dedicated pipe or via

truck into the headworks of the POTW will cause the CA to be considered a Treatment

Storage and Disposal Facility (TSDF) under the RCRA permit-by-rule. The CA is then

subject to applicable liabilities.

D.3.a. Does the CA accept any waste by truck, rail, or dedicated pipe (including septage)?

D.3.b. Is any of the waste hazardous as defined by RCRA?

D.3.c. Does any waste accepted via truck, rail, or dedicated pipe meet the CA’s SIU definition?

D.3.d. Describe the CA’s program to control hauled wastes including a designated discharge point

(e.g., number of points, control/security procedures). [403.5(b)(8)]

PURPOSE: According to 40 CFR 403.1(b)(l), the General Pretreatment Regulations apply to

pollutants from all nondomestic sources subject to Pretreatment Standards (including prohibited

discharge standards, local limits, and categorical Pretreatment Standards) that are indirectly

discharged into or transported by truck or rail or otherwise introduced into a POTW or could

contaminate sewage sludge.

Under 40 CFR 403.5(b)(8), the CA is required to prohibit the discharge of trucked or hauled

pollutants except at a point that the CA designates. The auditor should determine what kind of

program the CA has in place for handling hauled waste and whether any of the hauled waste

qualifies as hazardous waste under RCRA. The auditor should determine if there is some kind of

permitting system in place, and if so, how it is implemented.

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FACTORS TO CONSIDER:

 The CA should be aware that any hazardous wastes received by the POTW from such sources

are not covered by the domestic sewage exclusion provision of RCRA. Therefore, a POTW

receiving such waste may be considered a TSDF and subject to permit by rule.

 Where the CA states that it accepts only sanitary or sanitary and grease trap wastes, it should

be able to demonstrate that it prohibits the discharge by the sources of any other wastes.

Unless it has established (in its SUO or elsewhere in its code) that it is illegal for the sources

to discharge industrial waste, the CA probably will not be able to enforce against such

discharges. In these instances, however, the municipality should contact the appropriate state

personnel to discuss illegal hauled waste dischargers when they occur because there might be

state septage or industrial waste law violations. Even where the CA has prohibited the

discharge of industrial wastes by these sources, it should have sufficient oversight procedures

(e.g., manifest verification, manned discharge points, random sampling) to ensure

compliance.

E. Application of Pretreatment Standards and Requirements

Note: This section is set up to complement the file reviewer’s investigation of the CA’s

application of Pretreatment Standards. The auditor should collect information on the CA’s use

and understanding of Pretreatment Standards. He or she should try to determine whether the CA

understands all issues relevant to the application of the standards. The auditor should also

determine how the CA developed local limits. Any problems encountered by the CA in applying

Pretreatment Standards or developing local limits should be recorded.

E.1. What limits (categorical, local, other) does the CA apply to wastes that are hauled to the

POTW (directly to the treatment plant or within the collection system, including

contributing jurisdictions)? [403.1(b)(1)]

PURPOSE: According to 40 CFR 403.1(b)(l), the General Pretreatment Regulations apply to

pollutants from all nondomestic sources subject to Pretreatment Standards (including prohibited

discharge standards, local limits, and categorical Pretreatment Standards) that are indirectly

discharged into or transported by truck or rail or otherwise introduced into a POTW. The auditor

should determine whether the appropriate limits are being applied to hauled waste.

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FACTORS TO CONSIDER:

 Any nondomestic wastes from these sources must, at minimum, be subject to the CA’s

prohibited discharge standards and local limits.

 If the discharge contains, or is likely to contain, pollutants that could interfere with or pass

through the POTW but are not currently regulated by the CA (e.g., discharges from

groundwater cleanup sites), EPA recommends that the CA determine the allowable

concentrations/loadings from such pollutants and apply them in a control mechanism issued

for that discharge.

E.2. How does the CA keep abreast of current regulations to ensure proper implementation of

standards? [403.8(f)(2)(iii)]

PURPOSE: It is the CA’s responsibility to keep up-to-date with all applicable regulations.

FACTORS TO CONSIDER:

 EPA recommends that the CA have procedures to review the Federal Register or some other

publications or source that provides routine updates of the Federal Register.

 CAs frequently rely on information provided by EPA or the approved state to keep up-to-date

with pretreatment and applicable RCRA revisions. This might not be adequate because such

updates usually occur quarterly or less frequently.

E.3. Local limits evaluation: [403.8(f)(4); 122.21(j)(2)(ii)]

Note: The auditor should determine what methods were used to establish the CA’s local limits,

how the limits are being allocated, and whether there is any indication that the limits should be

reevaluated (e.g., more pollutants covered).

E.3.a. For what pollutants have local limits been set?

PURPOSE: The CA is required to evaluate the need for new or revised local limits. This must be

a technical evaluation to determine the maximum allowable POTW headworks loading for each

pollutant that will ensure protection of the treatment plant unit processes from inhibition or upset;

compliance with the POTWs’ NPDES permit, conditions (including water quality-based effluent

limitations); protection of the receiving stream from violation of any water quality standards;

compliance with any effluent or sludge use and disposal requirements in the NPDES permit; and

protection of worker health and safety.

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FACTORS TO CONSIDER:

 Frequently, the local limits contained in the approved program submission were developed by

a consultant, and the CA might not know the methods used for their development. The CA

might be able to call the consultant to obtain the appropriate documentation. Time should be

allowed, where possible, for this documentation to be provided.

 A technical evaluation might have been conducted but might have been reliant mainly on

literature values because of a lack of real data. In such a case, the validity of the limits might

be questionable, except where data obtained is below the quantifiable levels of the test

method.

E.3.b. How were these pollutants selected?

PURPOSE: The CA should evaluate the need for local limits for any pollutant that might

reasonably be expected to be discharged to the POTW in sufficient amounts to cause pass through

or interference, cause problems in its collection system, or jeopardize its workers. Pollutants that

are contributing to or known to cause operational problems should also be considered even if the

pollutants are not currently causing NPDES permit violations.

FACTORS TO CONSIDER:

 EPA generally recommends that limits be evaluated for 10 parameters that frequently occur

in POTWs receiving industrial discharges. The parameters include arsenic, cadmium,

chromium, copper, cyanide, lead, mercury, nickel, silver, zinc, molybdenum, selenium, 5-day

biochemical oxygen demand, total suspended solids, and ammonia (for WWTPs that accept

nondomestic sources of ammonia). For additional information regarding the development of

local limits, the auditor should review EPA’s Local Limits Development Guidance (EPA 833-

R-04-002A).

 The CA should also evaluate other pollutants reasonably expected to occur in the POTW. The

CA might identify those pollutants in several ways, including running a priority pollutant

scan on the POTW influent and identifying pollutants common to the types of industries in its

service area. The CA should be able to explain the rationale for selecting the pollutants for

which local limits exist.

 The CA should consider limits for volatile pollutants likely to be found in the collection

system that might not be detectable in the POTW but are necessary to protect worker health

and safety.

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E.3.c. What was the most prevalent/most stringent criteria (e.g., NPDES permit requirements,

plant inhibition, and/or sludge disposal requirements) for the limits?

PURPOSE: According to 40 CFR 122.21(j)(2)(ii), the CA must reevaluate its local limits. Under

40 CFR 403.5(c)(l), the CA developing a pretreatment program must develop and enforce local

limits to prevent interference and pass through. The CA must also continue to develop those

limits as necessary.

FACTORS TO CONSIDER:

 The CA must develop local limits as part of its pretreatment program submission, reevaluate

local limits following the reissuance of the POTW’s NPDES permit, and when any substantial

change in loadings occur at the plant (for instance when new IUs hook into the system).

 The CA should develop local limits for any pollutant that is known to have caused

interference, pass through, or worker health and safety problems, or that has a reasonable

potential to cause those problems.

E.3.d. Which allocation method(s) were used?

PURPOSE: Federal regulations require local limits to be developed on a technical basis to

prevent interference and pass through. The regulations do not specify the manner in which the CA

must allocate those loadings.

FACTORS TO CONSIDER:

 The regulations require that the CA have the legal authority to establish local limits. They do

not require local limits to be contained in the SUO. If the CA chooses to allocate its

maximum allowable headworks loadings to all IUs on a uniform concentration basis, EPA

recommends that the end-of-pipe discharge limits be specified in the SUO.

 The CA may choose to allocate the loadings for specific pollutants among those IUs with the

potential for those pollutants in their discharge. In such a case, the limits are best placed in

the IU control mechanisms.

 IU-specific limits are not required to be uniform for all IUs to which they apply. However,

the CA should have a defensible rationale for its allocations. Where IU-specific limits are

applied, the SUO should specify the maximum allowable headworks loadings and must

prohibit the discharge of those pollutants at a rate that, alone or in conjunction with other

discharges, cause an exceedance of those loadings.

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E.3.e. What was the limit basis (i.e., instantaneous maximums, daily maximums, or other) for the

local limits?

PURPOSE: Frequently, the CA does not specify the limit basis for its local limits.

FACTORS TO CONSIDER:

 Without proper identification of limit basis, the auditor cannot determine whether the CA and

SIUs are complying with the local limits.

 An instantaneous maximum limit is a value never to be exceeded for any period of time and

requires grab samples to evaluate compliance.

 Compliance with a daily maximum limit is evaluated by the average measurement of a

pollutant during a calendar day.

 Compliance with a monthly average limit is evaluated by the average measurement of a

pollutant during a calendar month.

E.3.f. When was the CA’s last local limit evaluation? What was the approval date?

E.3.g. Has the CA identified any pollutants of concern beyond those in its local limits? If yes, how

has this been addressed?

PURPOSE: The CA is required to continue to develop local limits, as necessary.

FACTORS TO CONSIDER:

 If the CA has experienced a pass through or interference event caused by a pollutant not

included in its list of local limits, the auditor should determine what follow-up has been done

to regulate that pollutant in the future.

 Where a new SIU, particularly a groundwater cleanup site has come online and has the

potential to discharge pollutants that could affect the POTW but for which the CA does not

have a local limit, the auditor should determine the CA’s approaches to regulating that

pollutant.

 Pollutants that are not likely to be discharged by more than one or two IUs might be more

appropriately regulated on an IU-specific basis. The CA should still have a technical rationale

for those limits. The CA must possess the legal authority to establish and enforce such limits.

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E.4. What challenges, if any, were encountered during local limits development and/or

implementation?

PURPOSE: Frequently, the CA encounters difficulties in evaluating its local limits.

FACTOR TO CONSIDER:

The state might not have developed water quality standards for the receiving stream. Data might

not be available for a unit process used at the POTW. There might not be a point at which the CA

can monitor to get a good profile of domestic contributions.

F. Compliance Monitoring

Note: This section evaluates the CA’s compliance monitoring of its IUs. The monitoring should

be conducted at a frequency that will produce data that is indicative of the IU’s discharge and

with care (proper sampling, analysis, and record keeping) to produce data that are supportive of

enforcement actions. The auditor should record any problems that are found.

F.1.a. How does the CA determine adequate IU monitoring (sampling, inspecting, and reporting)

frequency? [403.8(f)(2)(iv)&(v)]

PURPOSE: Under 40 CFR 403.8(f)(2)(v), the CA is required to inspect and sample all SIUs at

least once a year except for CIUs for which the CA has reduced reporting requirements under 40

CFR 403.12(e)(3). The CA must inspect and sample those dischargers (also known as middle-tier

CIUs) at least once every 2 years. Furthermore, the CA is not required to inspect or sample any

dischargers classified as nonsignificant CIU (NSCIUs). According to 40 CFR 403.12(e), CIUs are

required to submit reports twice per year, and 40 CFR 403.12(h) requires the same reporting from

noncategorical SIUs. Further, the CA’s approved program or NPDES permit may specify

required sampling, inspection, self-monitoring or reporting requirements. The auditor should

determine that the CA knows how to establish proper monitoring frequencies and that it is aware

of their minimum requirements.

FACTORS TO CONSIDER:

 At minimum, the CA’s monitoring frequencies should be consistent with the regulatory

requirements.

 The CA should also consider each IU’s potential for affecting the POTW and determine

monitoring frequencies accordingly.

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F.1.b. Is the frequency established above more, less, or the same as required? Explain any

difference.

PURPOSE: The CA should have a rationale for its monitoring frequency. The auditor should

investigate any discrepancies between required and actual monitoring frequencies.

FACTOR TO CONSIDER:

Where monitoring frequencies are not consistent with required frequencies, the CA’s rationale for

its monitoring frequencies should demonstrate that the monitoring is adequate to determine

ongoing compliance by all regulated IUs.

F.1.c. Does the CA perform IU monitoring in lieu of requiring IUs to conduct self-monitoring? If

yes, list IUs.

F.2. In the past 12 months, how many, and what percentage of, SIUs were [403.8(f)(2)(v)]

(Define the 12-month period):

F.2.a. Not sampled or not inspected at least once

F.2.b. Not sampled at least once

F.2.c. Not inspected at least once (all parameters)

If any, explain. Indicate how the percentage was determined (e.g., actual, estimated).

PURPOSE: Under 40 CFR 403.8(f)(2)(v), the CA is required to inspect and sample all SIUs at

least once a year with the exception of middle-tier CIUs and NSCIUs. For middle-tier CIUs, the

CA is required to inspect and sample at least once every 2 years, and for NSCIUs, the CA is not

required to conduct any inspections or monitoring. According to 40 CFR 403.12(e), CIUs are

required to submit reports twice per year, and 40 CFR 403.12(h) requires the same reporting from

noncategorical SIUs. In addition, middle-tier CIUs are required to submit an annual report only as

long as the sample results are representative of the discharge conditions for the reporting period,

and NSCIUs are required only to submit a certification statement.

FACTORS TO CONSIDER:

 If the CA fails to inspect or sample at least 80 percent of its SIUs at least once during the past

12 months, the CA is considered to be in RNC.

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 If the CA is performing the sampling and analysis in lieu of the IU and determines that a

violation has occurred, the CA must perform the repeat sampling and analysis unless it

notifies the user of the violation and requires the user to perform the repeat analysis.

Note: The auditor should be aware that CAs often establish their monitoring schedules around

their reporting to the AA. Therefore, they might not have completed all the required monitoring

in the past 12 months, but they will complete it before they are required to submit their annual

performance report to the AA.

F.3.a. Indicate the number and percent of SIUs that were identified as being in SNC (as defined

by the POTW or EPA) with the following requirements as listed in the CA’s last

pretreatment program performance report [WENDB, RIDE] [RNC – II] (SNC Evaluation

Period): Applicable Pretreatment Standards and reporting requirements, Self-monitoring

requirements, Pretreatment compliance schedule(s)

PURPOSE: The auditor must determine the number and percent of SIUs in SNC for

noncompliance with applicable Pretreatment Standards and reporting requirements, self-

monitoring requirements, and pretreatment compliance schedules for input into PCS or ICIS, and

to determine RNC.

F.3.b. Are any of the SIU that were listed as being in SNC in the most recent pretreatment report

still in SNC status? If yes, list SIUs.

F.3.c. Indicate the number of SIUs that have been in 100% compliance with all Pretreatment

Standards and Requirements. (Evaluation Period, Number of SIUs, Names of SIUs)

PURPOSE: To collect data for Strategy for Pretreatment Program Results-Based

[Environmental] Measures.

FACTOR TO CONSIDER:

The auditor should look for upward trends in SIUs in 100 percent compliance with all

Pretreatment Standards and reporting requirements.

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F.4. What does the CA’s basic inspection include? (process areas, pretreatment facilities,

chemical and hazardous waste storage areas, chemical spill-prevention areas, hazardous-

waste handling procedures, sampling procedures, laboratory procedures, and monitoring

records) [403.8(f)(2)(v)&(vi)] Request a copy of the CA’s inspection form, if applicable.

PURPOSE: The CA is required to inspect its IUs to determine compliance with all applicable

standards and requirements. The auditor should determine whether the CA is aware of all areas

that need to be investigated during an inspection.

FACTORS TO CONSIDER:

 The regulations do not specify required components of an IU inspection. However, to

adequately determine compliance with all applicable standards and requirements, the CA

should inspect all areas indicated above.

 If the CA inspects facilities more frequently than once a year, only one inspection might need

to be comprehensive. Other inspections might be limited to areas of specific concern.

F.5. Who performs the CA’s compliance monitoring analysis? (Metals, cyanide, organics, other

(specify))

PURPOSE: The CA is required to conduct its compliance monitoring and analysis in a manner

that will provide admissible evidence in enforcement proceedings [40 CFR 403.8(f)(2)(vii)].

Furthermore, all analyses must be performed in accordance with procedures established by EPA.

Where 40 CFR Part 136 does not include sampling or analytical techniques for the pollutants in

questions, or where EPA determines that the Part 136 sampling and analytical techniques are

inappropriate for the pollutant in question, sampling and analyses must be performed using

validated analytical methods or any other sampling and analytical procedures approved by EPA

[40 CFR 403.12(g)(5)]. The auditor should verify whether the analyses are performed properly by

reviewing reports and through discussions with the CA.

FACTOR TO CONSIDER:

If the CA performs all its own analyses or if it is performed by a contract lab, the CA should have

documented that adequate procedures, equipment, and qualified personnel were used to analyze

for all pollutants required to be monitored under its program.

F.6. What QA/QC techniques does the CA use for sampling and analysis (e.g., splits, blanks,

spikes), including verification of contract laboratory procedures and appropriate analytical

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methods? [403.8(f)(2)(vi)] Check all that are applicable. (Sampling: gloves, chain-of-custody

forms, new sampling tubes, field blanks, other; Analysis: sample splits, sample blanks,

sample spikes, other)

PURPOSE: The CA is required to conduct its compliance monitoring and analysis in a manner

that will provide admissible evidence in enforcement proceedings [40 CFR 403.8(f)(2)(vii)].

Furthermore, all analyses must be performed in accordance with procedures established by EPA.

Where 40 CFR Part 136 does not include sampling or analytical techniques for the pollutants in

question or where the EPA determines that the Part 136 sampling and analytical techniques are

inappropriate for the pollutant in question, sampling and analyses must be performed using

validated analytical methods or any other sampling and analytical procedures approved by EPA

[40 CFR 403.12(g)(5)]. The auditor should review the QA/QC and chain-of-custody procedures

used by the CA to determine if they are adequate.

FACTOR TO CONSIDER:

The analytical results for spikes, splits, and blanks should be included with the analytical data.

The CA’s in-house lab should have written QA/QC protocols. QA/QC protocols should be

provided by the contract lab.

F.7. Discuss any problems encountered in identification of sample location, collection, and

analysis.

PURPOSE: The CA must sample its IUs to determine compliance independent of data submitted

by the IU. The auditor should investigate any problems the CA has determining the compliance

status of its IUs.

FACTORS TO CONSIDER:

 Frequently, the CA requires CIUs to self-monitor after pretreatment but conducts its own

monitoring at end-of-pipe to avoid having to enter the facility. All sampling should be

conducted at the same sampling point.

 Both the IU and the CA must follow 40 CFR Part 136 procedures.

 Appropriate types of samples should be taken (i.e., composite vs. grab).

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F.8.a. Did any IUs notify the CA of hazardous waste discharge since the last PCI or PCA?

(403.12(j) & (p)] If yes, summarize.

F.8.b. How does the CA notify its users of the hazardous-waste reporting requirements? When

was the last time the CA notified its IUs?

PURPOSE: The CA is required to notify all its IUs of the requirement to notify the CA, EPA,

and the state of any hazardous waste in their discharges that are subject to the requirement, as

specified at 40 CFR 403.12(p). The auditor should verify that the CA notified its IUs of this

requirement and determine whether any IUs contacted the CA.

FACTOR TO CONSIDER:

Many CAs have notified their permitted IUs of this requirement but are unaware that it applies to

all IUs. Unless the CA permits all IUs, it is likely that many non-SIUs have not been notified.

The IUs are still required to contact the POTW, state, and EPA even if the CA did not contact the

IUs.

F.9.a. How and when does the CA evaluate/reevaluate the need for a slug discharge control plan?

[403.8(f)(2)(v)] List SIUs required to have a slug discharge control plan.

PURPOSE: The CA is required to evaluate all IUs at least once to determine the need to develop

or revise a slug discharge control plan. The auditor should determine if the CA evaluated its SIUs

for the need to develop a slug control plan.

FACTORS TO CONSIDER:

 Many CAs require through their SUO that all IUs submit an accidental spill prevention plan.

Although this might be adequate for non-SIUs, it is not adequate for any SIU with the

potential to discharge an intentional slug load (e.g., nonroutine batch discharge).

 The CA must include in its IU permits the conditions requiring implementation of a slug

discharge control plan, if determined to be required for an IU, for discharges other than

accidental spills. The IU must also notify the CA of changes that affect the plan or the need

for one.

F.9.b. For all existing SIUs identified as significant before November 14, 2005, or within a year of

becoming an SIU (whichever is later), has the POTW performed the evaluation to

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determine whether each SIU needs a plan or action to control slug discharges? If not, which

SIUs have not been evaluated?

PURPOSE: To determine compliance with the regulations regarding slug discharge control

evaluations. The CA is required to evaluate each SIU for the need to develop a slug discharge

control plan at least once.

G. Enforcement

Note: This section is designed to evaluate the CA’s enforcement program. The auditor should

evaluate the adequacy and effectiveness of the CA’s enforcement actions by examining its

definition of SNC, implementation of the SNC definition, implementation of its approved ERP,

problems with the POTW, and use of compliance schedules. The auditor should record any

problems found.

G.1. What is the CA’s definition of SNC? [403.8(f)(2)(viii)]

PURPOSE: EPA has defined the term significant noncompliance in 40 CFR 403.8(f)(2)(viii) and

requires the CA to publish all SIUs in SNC at least once per year. The auditor should determine

what the CA’s definition for SNC is and whether it matches the federal definition and subsequent

guidance.

FACTOR TO CONSIDER:

The 2005 revisions to the General Pretreatment Regulations have changed the definition of SNC

(70 FR 60134-60198: October 14, 2005).

G.2. ERP implementation: [403.8(f)(5)]

G.2.a. Has the ERP been adopted by the POTW?

G.2.b. Has the ERP been approved by the Approval Authority?

G.2.c. Does the ERP describe how the CA will investigate instances of noncompliance?

G.2.d. Does the ERP describe types of escalating enforcement responses and the time frames for

each response?

G.2.e. Does the ERP identify the title of official(s) responsible for implementing each type of

enforcement response?

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G.2.f. Does the ERP reflect the CA’s responsibility to enforce all applicable Pretreatment

Standards and Requirements?

G.2.g. Is the ERP effective, and does it lead to timely compliance? Provide examples if any are

available.

PURPOSE: The CA is required to develop an ERP. Once approved by the AA, the ERP must be

incorporated into the approved POTW pretreatment program. As such, the CA is obligated to

conduct its enforcement activities consistently with the procedures established in the ERP. The

auditor should determine whether the CA is following its approved ERP.

Note: If the CA does not have an approved ERP, the auditor should use this section to evaluate

and discuss the enforcement actions the CA is taking.

FACTORS TO CONSIDER:

 If the ERP has not been approved, the CA has no obligation to conduct its enforcement

activities in accordance with the ERP procedures.

 In some cases, the ERP might not work or might be in conflict with the CA’s legal authority.

This does not exempt the CA from implementing its ERP. However, where such problems are

identified, the CA should be required to submit a request for modification of its ERP to

correct the problem.

 Even when the CA successfully implements its ERP as approved, it might run into problems.

For instance, although repetitive enforcement (i.e., enforcement actions without escalation)

might not be apparent in the ERP, certain scenarios could result in such a situation. In any

such instances, the ERP should be modified.

 The ERP should result in a return to compliance by the IU within 90 days or within the time

specified in a compliance schedule or order.

 If the POTW has more than 15 percent of its SIUs in SNC over a 6-month period without

formal POTW actions or penalties where appropriate, there is a reasonable assumption that

the CA is not effectively enforcing its program. To overcome the presumption of ineffective

enforcement, the POTW should be able to demonstrate maximum use of its enforcement

authorities in a time frame consistent with its enforcement procedures (FY 1990 Guidance for

Reporting and Evaluating POTW Noncompliance with Pretreatment Implementation

Requirements).

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 The auditor should review the nature and timeliness of the enforcement actions taken by the

POTW to obtain compliance from individual SIUs. As a general rule, EPA recommends that

a POTW respond initially to all violations with either formal or informal enforcement action

within 30 days from the date the violation is reported or identified by the POTW (FY 1990

Guidance for Reporting and Evaluating POTW Noncompliance with Pretreatment

Implementation Requirements).

G.3.a. Does the CA use compliance schedules? [403.8(f)(1)(iv)(A)]

G.3.b. If yes, are they appropriate? Provide a list of SIUs on compliance schedules.

PURPOSE: The CA should establish compliance schedules for SIUs in accordance with its

approved ERP. The auditor should determine if the CA uses compliance schedules; if so, the

auditor should determine if they are effective.

FACTORS TO CONSIDER:

 Compliance schedules should identify specific actions the SIUs are to take and establish

specific dates by which those actions are to be completed.

 Where a CIU is on a compliance schedule for achieving compliance with a categorical

deadline that has already passed or will pass before the schedule’s final compliance deadline,

the compliance schedule/enforcement order should clearly state that the CIU is subject to

enforcement for failure to comply with a federal deadline even though the user is in

compliance with the terms of the schedule.

G.4. Did the CA publish a list of all SIUs in SNC in a daily newspaper of general circulation that

provides meaningful public notice within the jurisdiction in the previous year?

[403.8(f)(2)(viii)] If yes, attach a copy. If no, explain.

PURPOSE: The CA is required to publish (annually) a list of all SIUs that had been in SNC

during the reporting year. The auditor should verify that the CA did publish the list of those IUs

that were in SNC during the reporting year.

FACTOR TO CONSIDER:

The definition of SNC and the requirements for publication were revised as part of the 2005

regulatory revisions. Publication of IUs in SNC must be based on EPA’s definition of SNC or on

more stringent criteria. Publication is required to appear in a daily newspaper of general

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circulation that provides meaningful public notice with the jurisdiction (70 FR 60134-60198:

October 14, 2005).

G.5.a. How many SIUs are in SNC with self-monitoring requirements and were not inspected (in

the four most recent full quarters)?

G.5.b. How many SIUs are in SNC with self-monitoring requirements and were not sampled (in

the four most recent full quarters)?

PURPOSE: Failure by the CA to inspect and/or sample any SIU that is in SNC with self-

monitoring requirements should be reported in PCS or ICIS. The auditor should determine the

number of SIUs in SNC with self-monitoring that were not inspected and/or sampled and

recorded in PCS or ICIS.

FACTOR TO CONSIDER:

SIUs that are not complying with self-monitoring requirements have the potential to have serious

discharge violations. Therefore, failure by the CA to inspect or sample such IUs could result in

allowing serious violations to continue without enforcement.

G.6.a. Did the CA experience any of the following caused by industrial discharges? (interference,

pass through, fire or explosion (flashpoint, and such), corrosive structural damage, flow

obstruction, excessive flow rates, excessive pollutant concentrations, heat problems,

interference due to O&G, toxic fumes, illicit dumping of hauled wastes, worker health and

safety, and other (specify))

G.6.b. If yes, did the CA take enforcement action against the IUs causing or contributing to pass

through or interference? [RNC - I]

PURPOSE: The CA must investigate and take enforcement actions against IUs causing or

contributing to pass through or interference. The auditor should be aware of any effluent

violations at the POTW on the basis of Discharge Monitoring Report (DMR) data that might be

due to discharges from IUs. The auditor should investigate the CA’s response to any problems

caused by IU discharges.

FACTOR TO CONSIDER:

Any indications of pass through or interference should result in immediate response by the CA to

determine the source(s) of the violation and take appropriate enforcement actions. Where the

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source(s) of the violation could not be determined, the CA should have detailed documentation of

the event and the reasons why the source could not be determined.

G.7.a. Did the POTW have any sanitary sewer overflows since the last PCI or PCA?

G.7.b. If yes, how many were due to nondomestic waste issues (O&G blockages)?

H. Data Management/Public Participation

Note: This section is designed to evaluate the adequacy and effectiveness of the CA’s data

management and public participation procedures. The auditor should examine the CA’s

procedures for dealing with confidential information, public inquiry, public notice, and

confidentiality issues affecting the program. The auditor should record any problems identified.

H.1. How is confidential information handled by the CA? [403.14]

PURPOSE: Where the CA allows for confidentiality for information determined to be

proprietary, it should have procedures to guarantee that confidentiality while ensuring that IU

effluent data remain available to the public and that all IU data obtained through the course of

program implementation remain available to EPA and the approved state. The auditor should

determine if the CA has procedures to handle confidential information; if so, the auditor should

evaluate whether they are adequate.

FACTOR TO CONSIDER:

EPA recommends that the CA maintain confidential information in a locked file to which only

one or a few people have access. All personnel with access to confidential information should be

fully conversant in the CA’s confidentiality procedures.

H.2. How are requests by the public to review files handled?

PURPOSE: All IU effluent data must be made available to the public. The auditor should

determine the level of interest in the program and whether the CA has a mechanism in place to

handle public inquiry.

FACTOR TO CONSIDER:

Effluent data should be maintained separately, or procedures should be established to ensure that

the public has ready access to these data. Furthermore, production data used to calculate effluent

limits cannot be considered confidential.

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H.3. Does the CA accept electronic reporting? If no, does it plan to do so?

PURPOSE: A POTW that chooses to receive electronic documents must satisfy the requirements

of 40 CFR Part 3. The final Cross-Media Electronic Reporting Rule (CROMERR) is effective as

of January 11, 2006.

H.4. Describe whether the CA’s data management system is effective in supporting pretreatment

implementation and enforcement activities.

PURPOSE: A well-organized data management system is essential to maintaining the IWS,

issuance of control mechanisms, efficient compliance tracking, and timely and effective

enforcement. The auditor should evaluate the CA’s data management system.

FACTORS TO CONSIDER:

 An effective data management system can range from a well-organized filing system to a

sophisticated computer data system.

 All data on each IU should be readily accessible in the IU’s file.

 For each IU, the data should be organized in a reasonable manner. That is, all control

mechanism components should be kept together as should all CA sampling data, and so forth.

EPA recommends organizing files by subject matter and then chronologically within the

subject.

 All inspections, meetings, and telephone calls should be clearly and comprehensively

documented so as to provide evidence in enforcement actions.

 All chain-of-custody and QA/QC data should be complete.

H.5. How does the CA ensure public participation during revisions to the SUO and/or local

limits? [403.5(c)(3)]

PURPOSE: The auditor should determine what mechanism the CA has for ensuring adequate

public comment during revisions to the program.

FACTOR TO CONSIDER:

The CA should have procedures for public notice that include the opportunity for public

comment. Frequently, the procedures are specified in the municipality’s code or state code.

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H.6. Explain any public or community issues affecting the CA’s pretreatment program.

PURPOSE: Frequently, public/community issues affect the implementation of the CA’s

pretreatment program. Such issues that impede effective implementation and enforcement of the

local program should be discussed.

FACTORS TO CONSIDER:

 Enforcement could be difficult where a violating IU is one of the community’s major sources

of revenues and employment.

 CAs practicing public outreach often find that it facilitates program implementation.

H.7. How long are records maintained? [403.12(o)]

PURPOSE: SIUs are required to maintain and retain data obtained in response to program

requirements for a period of at least 3 years and/or throughout the course of any ongoing

litigation related to the IU. The auditor should determine that SIUs maintain files for the

appropriate length of time.

FACTOR TO CONSIDER:

The CA should review SIU records during the course of its annual comprehensive inspection.

Any problems with IU record maintenance should be noted in the inspection report and should

result in an enforcement response.

I. Resources 403.8(f)(3)

Note: This section is designed to determine whether the CA has dedicated enough resources (i.e.,

personnel, equipment, and funding) to implement each program activity effectively. The auditor

should bear in mind that while resources for present activities might be adequate, if the CA’s

activities themselves are not adequate (e.g., not regulating all SIUs), the resources might be

inadequate to cover the additional work necessary to correctly implement the program. The

auditor should identify any existing resource problems as well as any anticipated problems.

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I.1. Estimate the number of personnel (in FTEs) available for implementing the program. (legal

assistance, permitting, inspections, sample collection, sample analysis, data analysis (review

and response), enforcement, and administration).

PURPOSE: The CA is obligated to have at least the number of full-time equivalents (FTEs)

specified in the approved program available for program implementation activities. It should have

increased personnel if required to adequately implement the program. The auditor should

determine the number of FTEs devoted to the program and whether a lack of resources

contributes to ineffective implementation.

FACTORS TO CONSIDER:

 Frequently, the CA uses the same personnel for collection system maintenance, POTW

sampling, and pretreatment sampling. With this, and with all program areas, the FTEs should

reflect the number of employees that are actually and consistently available to the program.

 If the CA uses a contract lab for sampling or analysis or both, the CA should provide

documentation outlining adequate funding to implement compliance sampling. The contract

budget should be converted to the approximate number of FTEs.

 Consider the following: legal assistance, permitting, IU inspections, sample collection,

sample analysis, data analysis, review and response, enforcement, and administration

(including record keeping and data management).

I.2. Does the CA have adequate access to monitoring equipment? (Consider sampling, flow

measurement, safety, transportation, and analytical equipment.) If not, explain.

PURPOSE: The CA must have at least the equipment specified in the approved program

available for program implementation activities. It should have additional equipment if required

to adequately implement the program. The auditor should inquire about whether the CA has

certain basic equipment necessary to run its program.

FACTORS TO CONSIDER:

 Although not specifically required by the program, the CA should have adequate safety

equipment, including equipment for safely entering a manhole, where necessary.

 If the CA uses a contract lab, the contract budget should provide for an adequate number of

analyses, including additional analyses for demand sampling that the CA is expected to

require.

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I.3.a. Estimate the annual operating budget for the CA’s program.

I.3.b. Is funding expected to stay the same, increase, decrease (note time frame; e.g., following

year, next 3 years)? Discuss any changes in funding.

PURPOSE: The CA must have at least the funding specified in the approved program available

for program implementation activities. It should have increased funding if required to adequately

implement the program. The auditor should inquire about the annual operating budget necessary

to run the program.

FACTOR TO CONSIDER:

Frequently, funding for the pretreatment program comes from the municipality’s or department of

public works’ general fund. A review of the CA’s program funding over the past several years

might be necessary to determine funding adequacy. The auditor should also inquire into any

anticipated funding problems. In addition, if the audit has found that the scope of any program

activity is inadequate, funding will most likely need to be increased to bring the program into

compliance.

I.4. Discuss any problems in program implementation that appear to be related to inadequate

resources.

PURPOSE: The CA must have at least the funding specified in the approved program available

for program implementation activities. It should have increased funding if required to adequately

implement the program. The auditor should investigate whether the funding devoted to the

program seems adequate, and if there are any problems related to funding, the auditor should note

it in the report.

FACTOR TO CONSIDER:

See question I.3.b. above.

I.5.a. How does the CA ensure that personnel are qualified and up-to-date with current program

requirements?

PURPOSE: To adequately implement the pretreatment program, all program staff need to be

qualified for the positions they hold and trained to perform their jobs consistently with

pretreatment program requirements. The auditor should determine whether staff seem adequately

trained and note any problems in the report.

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FACTOR TO CONSIDER:

Although the CA’s pretreatment coordinator might be qualified and up-to-date with program

requirements, it is not uncommon to find that field and lab personnel are not so qualified and up-

to-date.

I.5.b. Does the CA have adequate reference material to implement its program?

PURPOSE: To determine correct categorization of SIUs, the CA should have ready access to the

General Pretreatment Regulations, categorical Pretreatment Standard Regulations, and EPA’s

categorical pretreatment standards guidance documents. The auditor should determine whether

the CA seems to have adequate access to resource material or whether resource material has an

effect on the implementation of the program. The auditor should review the CA’s reference

materials to determine whether any additional materials might be needed. The auditor should plan

to provide any missing materials.

FACTORS TO CONSIDER:

 The region or state might know that particular documents have been provided to the CA.

However, some mailings never quite make it to the pretreatment staff but end up in the public

works department, and so on. Also, when staff members leave for another position, the

documents sometimes leave with them.

 It is not uncommon that documents were received and shelved but that the pretreatment staff

(including inspectors) might not have reviewed them. All pretreatment personnel should be

familiar with guidance material.

 For additional information, the CA should access EPA’s Web site at www.epa.gov.

J. Environmental Effectiveness/Pollution Prevention

Note: This section is designed to help the auditor determine whether the CA has evaluated and

documented any environmental benefits to date as a result of the implementing program.

Although there are no regulatory requirements directly related to achieving environmental

benefits, it is EPA’s stated goal for all environmental regulatory programs. The auditor should

make every effort to determine if sufficient data are being collected, analyzed, and summarized to

demonstrate trends (whether positive or negative) in the years since the CA’s pretreatment

program implementation, particularly in the years since the last audit. All findings should be

documented as thoroughly as possible.

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J.1.a. How many times was the POTW monitored during the past year? (metals, priority

pollutants, biomonitoring, TCLP, EP toxicity, other)

J.1.b. Is this frequency less than, equal to, or more than that required by the NPDES permit?

Explain any differences.

PURPOSE: The primary goal of the pretreatment program is to improve environmental quality.

Environmental monitoring is essential to determine the program’s effectiveness and the

accomplishment of this goal. The auditor should determine whether the CA has a monitoring

program in place that will help the CA track any progress or lack of progress the CA is making in

enhancing environmental effectiveness.

FACTOR TO CONSIDER:

It is recommended that the CA perform monitoring of its treatment plant(s) to track the

environmental effectiveness of the program’s implementation. The frequency should be such that

enough data are collected to recognize trends of increasing or decreasing loadings in the influent,

effluent, and sludge.

J.1.c. Is the CA reporting these results to the Approval Authority? If so, at what frequency?

FACTOR TO CONSIDER:

If the POTW monitors any pollutant more frequently than required by its NPDES permit using

approved test procedures, the CA must include the results of the monitoring (including data

calculations) in the POTW’s DMR or sludge reporting form specified by the AA [40 CFR

122.41(l)(4)(ii)].

J.2.a. Has the CA evaluated historical and current data to determine the effectiveness of the

pretreatment controls on the following: improvements in POTW operations, loadings to

and from the POTW, NPDES permit compliance, sludge quality, and sludge disposal

options?

J.2.b. Has the CA documented these findings? Explain. (Attach a copy of the documentation, if

appropriate.)

PURPOSE: A successful pretreatment program is expected to result in improved POTW

operations and NPDES compliance, as well as in reduced pollutant loadings. Some POTWs have

historical influent data that could indicate a downward trend of pollutant loadings. In addition,

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some POTWs have implemented pollution prevention programs have actual data from before and

after the implementation of the programs. These data sets can be used to showcase how pollution

prevention is an effective way to control pollution. The auditor should review any data the CA

has available on environmental effectiveness and record any findings. If the CA has no data, the

auditor should recommend that the CA start collecting data. In addition, this information would

help with EPA’s Strategy for Pretreatment Program Results-Based Measures.

FACTORS TO CONSIDER:

 Environmental monitoring should demonstrate a trend of decreasing concentrations of

pollutants coming to the POTW and ending up in the receiving stream and sludge.

 The cost of operating and maintaining the POTW (minus cost of living increases and any

more stringent effluent limits) should decrease because of fewer system upsets and

inhibitions.

 As sludge quality improves, less expensive disposal operations could become available.

 NPDES permit compliance should improve.

J.3. If the CA has historical data compiled concerning influent, effluent, and sludge sampling

for the POTW, what trends have been seen? (Increases in pollutant loadings over the years?

Decreases? No change?) Discuss on a pollutant-by-pollutant basis.

PURPOSE: It is generally anticipated that a successfully implemented local pretreatment

program will result in a decrease of pollutant loadings to the POTW and a resulting decrease in

loadings to the receiving waters.

FACTORS TO CONSIDER:

 If all IUs were in compliance with applicable Pretreatment Standards before the CA obtained

POTW monitoring data, it is likely that no change will be seen.

 If the CA’s service area has recently experienced industrial growth or a change in the

character of its industries, the data might show an increase in pollutant loadings even though

effective program implementation is taking place.

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J.4. Has the CA investigated the sources contributing to current pollutant loadings to the

POTW (i.e., the relative contributions of toxics from industrial, commercial, and domestic

sources)? If yes, what was found?

PURPOSE: To effectively control toxics discharged to the POTW, the CA needs to determine

the types and amount of toxics received from the above sources. The auditor should determine

what the CA is doing to evaluate and keep track of pollutant loadings to the treatment plant,

specifically what kind of monitoring program the CA has in place for tracking contributions to

the collection system. If no system exists, the auditor should recommend that the CA start one.

FACTOR TO CONSIDER:

Along with sampling plant influent, effluent, and sludge, EPA recommends that the CA monitor

points within the collection system to better characterize the contributions of toxics. This will

help determine program effectiveness and help the CA develop more appropriate local limits.

J.5.a. Has the CA implemented any kind of public education program?

J.5.b. Are there any plans to initiate such a program to educate users about pollution prevention?

Explain.

PURPOSE: Practicing pollution prevention by changing the types of products used can be a

painless way for the public to make a contribution to the environment. Industries often realize

significant cost savings when they adopt pollution-prevention measures. Adopting pollution-

prevention practices on all fronts will almost certainly result in a reduced need for enforcement as

well as a decreased loading of pollutants at the POTW. The CA is in an ideal position to foster

pollution prevention and improve its image with both its IUs and the general public. Where the

CA has no pollution-prevention awareness program in place, the auditor might want to

recommend that the CA adopt one.

FACTORS TO CONSIDER:

 CAs often consider pollution-prevention awareness as yet another task they are being asked

to take on in an already too-full workload. Sometimes, they are unaware of the benefits to be

reaped for both the POTW and their pretreatment program, including an eventual reduction in

their workload.

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 Making their IUs aware of pollution prevention need not really affect the CA’s workload.

They might consider bringing state pollution-prevention literature out with them on IU

inspections. State personnel can then handle specific questions.

J.6 What efforts have been taken to incorporate pollution prevention into the CA’s

pretreatment program (e.g., waste minimization at IUs, household hazardous waste

programs)?

PURPOSE: Pollution prevention is of great importance in implementing a comprehensive

pretreatment program. To further the CA’s attainment of program goals, the auditor should

discuss pollution prevention initiatives and ideas with CA personnel.

FACTOR TO CONSIDER:

EPA hopes that, at a minimum, the CA will be talking to its IUs about pollution prevention and

the benefits of pollution prevention/waste minimization to the IU.

J.7. Does the CA have any documentation concerning successful pollution-prevention programs

being implemented by IUs (e.g., case studies, sampling data demonstrating pollutant

reductions)? Explain.

PURPOSE: The more documentation EPA can provide to other CAs regarding successful IU

pollution-prevention programs, the more willing CAs will be to bring the pollution-prevention

message to their own IUs. The auditor should obtain all available documentation. He or she

should also consider contacting the IU to ask whether the IU would be willing to be named in

case studies or to respond to questions from interested parties.

FACTOR TO CONSIDER:

Sometimes IUs have made recent modifications to incorporate pollution-prevention measures of

which the CA is unaware. In the course of the IU site visit, the auditor should ask the IU whether

this has been done or is being considered.

K. Additional Evaluations/Information

FACTOR TO CONSIDER:

The auditor should record any activities that the CA, EPA, the state, environmental organizations,

or the public at large are taking that have, or might in the future have, any bearing on the CA’s

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pretreatment program. Included in such considerations should be any new initiatives (e.g.,

regulatory, hospital waste, river, bay, geographic targeted, result-oriented initiatives).

CHAPTER 3 Audit Checklist Instructions

SECTION II: IU FILE EVALUATION

Each of the major program components in Section II of the checklist is listed below, along with an

explanation (generally an explanation of the regulatory requirement). Guidance is provided on how the

auditor can evaluate the CA’s (or IU’s) compliance with the program requirement and on what constitutes

a deficiency. Much of the information needed to do necessary evaluations will probably be in the CA’s

files on the individual IUs. The auditor should begin by finding out how the CA organizes its files. Some

CAs have individual files for each IU and all information pertaining to that IU is in the file. Other CAs

might have files segregated by subject so that all permits are in one file, while all monitoring data are in

another file, and all correspondence in another, and so on. It is important to stress that all data related to

the program be provided including any slug control, pollution prevention, and toxic organic management

plans. Once the auditor has determined the file organization, he or she can move on to doing the

evaluation.

Section II would require the auditor to review certain components of the CA’s IU files. After reviewing

each component, the auditor should determine if what he or she found was adequate or appropriate. Once

this determination has been made, the auditor should decide if the information learned is worthy of

comment or explanation. If comment or explanation is necessary, the auditor should put a number in the

square corresponding to the component being evaluated and the same number in the comment area

followed by the explanation of what was found.

To help the auditor complete this section, elements of each program area are listed for consideration. The

regulatory citations are provided where there are specific requirements for that element. The auditor

should be aware that not all questions on the checklist reflect regulatory requirements. Some of the

questions are included to allow the auditor to better evaluate program effectiveness. The auditor should

take this fact into consideration when developing required versus recommended CA actions.

IU Identification

PURPOSE: This section is designed to provide a brief profile of the IU. The information should

summarize industrial categorization, discharge characterization, and comment on compliance history or

other issues of note. The auditor should briefly look through the file and fill out the information

requested. Some information will be filled out at the start of the file review (e.g., name, address). This

information can usually be found in an IU’s control mechanism application or permit fact sheets. Some

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information (e.g., category, flow, compliance status) will be obtained as the review proceeds. The auditor

should enter additional information about the industry obtained from the interview with CA staff or the

site visit to the IU.

IU File Review

The auditor should review each point covered in the file review to determine if there is anything worth

noting to question the CA about during the closing interview. For instance, something the CA is doing

that is out of the ordinary, either positive or negative.

A. Issuance of IU Control Mechanism

Note: This section takes a comprehensive look at the CA’s control mechanism. The auditor

should evaluate the adequacy and effectiveness of the control mechanism used. Comments should

reflect an evaluation of the control mechanism for both presence and the adequacy of all control

mechanism components. For each area examined in this section of the file review, the auditor

should determine whether the CA meets the regulatory requirement and if the CA is effective in

controlling its IUs. If the auditor determines there is a problem or deficiency (e.g., control

mechanisms are not issued/revised in a timely manner, do not contain all the elements required by

the regulation, and contain incorrect limits), he or she should comment on it in the area provided

and explain it in the report to be attached.

A.1 Control mechanism application form

PURPOSE: The CA should require certain baseline data from the IU to write an appropriate

control mechanism. Although there are several ways these data can be obtained, it is EPA

strongly recommends that the CA use an application form (there is no regulatory requirement for

this). For CIUs, the BMR (Baseline Monitoring Report) can serve as an application and can then

be updated for permit reissuance purposes. For each point covered or issue addressed in the file

review, the auditor should also review each point to determine if there is anything worth noting to

question the CA about during the closing interview. For instance, it could be something the CA is

doing that is out of the ordinary, either positive or negative.

FACTORS TO CONSIDER:

 If the application is being used as a BMR, it must contain all the 40 CFR 403.12(b)-required

elements.

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 To be useful, the application should at least include IU identification, address, phone,

responsible officer, a clear description of processes, the flow from each, as well as a

description of any pretreatment system in place or proposed.

 Where applications are incomplete, there should be evidence that the CA followed up by

requiring the applicant to submit missing data or, at least, that the CA obtained the missing

data on its own.

 The application (when used) should be updated before issuing the permit.

 Where there is evidence that the data in the application are inaccurate, there should be

evidence that the CA has either requested that the application be corrected or has received a

revised application form from the IU.

A.2 Fact sheet

PURPOSE: Individual control mechanisms issued to SIUs must contain specific conditions

applicable to the IU. A fact sheet is recommended to provide data concerning decisions made in

developing the control mechanism. There are no regulatory requirements for a fact sheet just as

there is no requirement for documentation when the CA is granting certain waivers. A fact sheet,

however, serves as a useful way to document the basis for permitting decisions.

FACTORS TO CONSIDER:

The fact sheet should explain the basis of every IU-specific standard or requirement contained in

the control mechanism, including

– The basis for determining that the IU is subject to a particular category and subcategory,

if applicable.

– The basis for the permit limits applied (i.e., local limits versus categorical standards,

production-based limits, CWF/FWA, and mass- versus concentration-based limits).

– The rationale behind the pollutants specified for self-monitoring.

– Documentation for the need for any slug discharge control plan, BMPs, and compliance

schedule requirements. It should include the circumstances identified that necessitated the

requirements.

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A.3 Issuance or reissuance of control mechanism

A.3.a-b. Individual and general control mechanism

PURPOSE: The CA is required to control IU discharges to the POTW. At 40 CFR

403.8(f)(1)(iii), all SIU discharges are required to be controlled under either an individual or

general control mechanism (i.e., permit, order, or similar means)

FACTORS TO CONSIDER:

 If the auditor cannot locate a control mechanism or if the control mechanism is not current or

valid, the auditor should note a deficiency. If the control mechanism has to be signed by the

CA and if it is not signed, it might not be valid.

 The effective date must be after the issuance date.

 The auditor should check an expired control mechanism to see if it has been or will be

reissued within 180 days from the expiration of the last control mechanism. Extensions could

be granted, but the term of the permit cannot exceed 5 years.

 The POTW should issue control mechanisms to 90 percent of the SIUs within 6 months after

the POTW’s program approval or within 6 months following the promulgation of a federal

requirement. POTWs that failed to reissue permits within that time frame should be reported

on the Quarterly Noncompliance Report (FY 1990 Guidance for Reporting and Evaluating

POTW Noncompliance with Pretreatment Implementation Requirements).

 The POTW should reissue control mechanisms to 90 percent of the SIUs within 6 months of

the expiration of the previous permit. POTWs that failed to reissue permits within that time

frame should be reported on the Quarterly Noncompliance Report (FY 1990 Guidance for

Reporting and Evaluating POTW Noncompliance with Pretreatment Implementation

Requirements).

A.4 Control mechanism contents

PURPOSE: Individual and general control mechanisms issued to SIUs must contain the

minimum conditions listed at 40 CFR 403.8(f)(l)(iii)(B). The required elements to consider are

elaborated upon below in A.4.a-l.

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FACTOR TO CONSIDER:

Each condition in the control mechanism must also be evaluated for appropriateness and

accuracy. For instance, if production-based categorical standards are applied, the auditor must

determine whether the IU was correctly categorized and whether the discharge limit in the control

mechanism was correctly calculated. An explanation of each control mechanism condition is

presented below.

A.4.a. Statement of duration (≤ 5 years)

PURPOSE: The auditor should review the control mechanism to determine that the duration is

no longer than 5 years.

FACTORS TO CONSIDER:

 Beware of permit durations of 5 years and 1 day. If the permit issuance date is November 1,

2006, and the expiration date is November 1, 2011, that permit duration actually exceeds the

maximum 5-year period.

 Keep in mind the CA’s answer to question D.1 of the Interview portion of the audit regarding

expired permits.

A.4.b. Statement of nontransferability w/o prior notification/approval

PURPOSE: The control mechanism is not allowed to be transferred without, at a minimum, prior

notification to the CA and provision of a copy of the existing control mechanism to the new

owner or operator.

FACTOR TO CONSIDER:

This statement must be included in the permit. Inclusion of this statement in the control

mechanism by referencing the CA’s legal authority (i.e., SUO) is not considered adequate.

A.4.c. Applicable effluent limits (local limits, categorical limits, BMPs)

PURPOSE: The control mechanism must contain effluent limits based on applicable general

Pretreatment Standards at 40 CFR 403.5, categorical Pretreatment Standards, local limits, and

state and local law. The auditor should determine that the limits in the control mechanism are

correct.

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FACTORS TO CONSIDER:

 Application of applicable categorical standards includes the following:

– Classification by category/subcategory

– Classification as new/existing source

– Application of limits for all categorical pollutants

– Application of Total Toxic Organics (TTO) or Toxic Organic Management Plan (TOMP)

alternative

– Calculation and application of production-based standards

– Calculation and application of CWF or FWA

– Application of variance to categorical standards, including Fundamentally Different

Factors (FDF) variances and net/gross adjustments.

 Application of applicable local limits

 Application of the most stringent limit

 Application of BMPs (if applicable)

A.4.d. Self-monitoring requirements

PURPOSE: All SIUs (except for middle-tier CIUs whose semiannual reporting requirement have

been reduced by the CA to once a year) are required to submit a report at least semiannually. For

all CIUs (except nonsignificant categorical users and middle-tier CIUs), the semiannual report

must include results of monitoring for all pollutants regulated under the applicable categorical

standard limits unless a waiver of pollutants not present is granted and any additional applicable

local limits. Such requirements can be modified if the CA assumes responsibility for the

sampling. The auditor should review the self-monitoring requirements contained in the control

mechanism to determine whether they will be effective in identifying noncompliance considering

the type and size of the facility, variability in sampling results, the IU’s compliance history, and

so forth.

 The CA may reduce a CIU’s semiannual requirement to submit periodic compliance reports

to report no less frequently than once a year, unless required more frequently in the

Pretreatment Standard or by the CA or the AA, if the IU meets all the conditions listed at 40

CFR 403.12(e)(3). If the CA has reduced a CIU’s reporting and monitoring requirement, the

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auditor should ensure that this provision is allowed by state law and that the CA’s legal

authority has been revised and approved accordingly.

FACTORS TO CONSIDER:

 Identification of pollutants to be monitored—All pollutants regulated under an applicable

categorical standard must be sampled and analyzed at least semiannually unless the CA has

authorized the CIU to forego sampling of a pollutant regulated by a categorical standard or

the CA has reduced this compliance monitoring requirement to once a year.

– The CA could authorize a waiver where a pollutant is determined to be present solely due

to sanitary wastewater discharged, provided that the sanitary wastewater is not regulated

by an applicable categorical standard and is typical of domestic background in the

community.

– The monitoring waiver is valid only for the duration of the effective period of the control

mechanism, but in no case longer than 5 years.

– In making a demonstration that a pollutant is not present, the IU must provide data from

at least one sampling of the facility’s process wastewater that is representative of all

wastewater from all processes before any treatment present at the facility.

– Nondetectable sample results could be used only as a demonstration that a pollutant is not

present if the EPA-approved method from 40 CFR Part 136 with the lowest minimum

detection level for the pollutant was used in the analysis.

 Process for seeking a waiver for pollutant not present or not expected to be present (CIUs

only)

– In seeking a waiver for a pollutant not present nor expected to be present, the discharger

must provide data from at least one sampling of the facility’s process wastewater before

any treatment present.

– The request for the waiver must be signed in accordance with 40 CFR 403.12(l) and

include the certification statement at 40 CFR 403.6(a)(2)(ii).

 Is the monitoring waiver certification language included in the control mechanism? (Y/N)

– Any grant of the monitoring waiver by the CA must be included as a condition in the

discharger’s control mechanism. The CA must maintain reasons supporting the waiver

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for at least 3 years after the expiration of the waiver (i.e., typically 3 years after the

permit expiration).

 Are conditions for reinstating monitoring requirements if pollutants not present are detected

in the future included in the permit? (Y/N)

– In the event that a waived pollutant is found to be present or is expected to be present

based on changes that occur in the CIU’s operation, the CIU must immediately: (1)

comply with the monitoring requirements of 40 CFR 403.12(e)(1) or other more frequent

monitoring requirements imposed by the CA, and (2) notify the CA of this in discharge

condition.

 Sampling frequency—Although all SIUs (except those CIUs that have been authorized to

forego or to reduce sampling) are required to self-monitor for all regulated pollutants at least

semiannually, those two monitoring events might not be sufficient to provide the CA with a

true picture of ongoing compliance, but it is the minimum frequency.

 Sampling location/discharge points—The sampling location(s) should be clearly identified.

This can be achieved by a narrative description of the sampling location(s), a facility map

clearly indicating where the sampling location(s) are located, and/or digital pictures of the

sampling location along with global positioning system (GPS) mapping.

 Sample types (grab or composite):

– Types of samples (e.g., 24-hour composite, grab)—This must be noted for each

parameter. The auditor should be aware that all pretreatment compliance monitoring must

be done in accordance with the procedures specified at 40 CFR Part 136. Further, 24-hour

composite samples (or their equivalent) must be used to determine compliance with

categorical Pretreatment Standards except for the following parameters that require the

use of grab samples: pH, heat, O&G, volatile organics, and phenols.

– Grab samples must be used to determine compliance with instantaneous maximum limits.

 Reporting requirements (including all monitoring results)—SIUs are required to submit

periodic compliance reports, resampling reports, and any additional monitoring results of any

regulated pollutant monitored at the appropriate sampling location using 40 CFR Part 136-

approved methods more frequently than required by the CA.

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 Record-keeping requirements—All SIUs are required to retain effluent self-monitoring data

and other related documentation for a period of at least 3 years, throughout the course of any

ongoing litigation related to the IU, and for the period of time specified by the CA.

A.4.e. Statement of applicable civil and criminal penalties

PURPOSE: All control mechanisms are required to specify the penalties applicable for violation

of control mechanism conditions. The penalties must include civil and/or criminal penalties in an

amount of at least $1,000 per day per violation [40 CFR 403.8(f)(1)(vi)(A)].

FACTORS TO CONSIDER:

 The CA should also apply administrative penalties for control mechanism violations, and

EPA encourages the CA to do so. However, administrative penalties do not satisfy this

regulatory requirement.

 This statement of penalties must be included in the control mechanism. Incorporating the

statement by referencing a specific ordinance provision is not acceptable.

 The auditor should be aware of more stringent state or local requirements.

A.4.f. Compliance schedules/progress reports (if applicable)

PURPOSE: The CA must require compliance schedules where a CIU is not in compliance with a

newly promulgated categorical standard. The schedule must have a final compliance date that is

no later than the compliance deadline specified by the standard. The schedule must also include

milestone dates and a requirement for progress reports to be submitted for each milestone (see the

requirement at 40 CFR 403.12(b)(7) and (c)).

FACTORS TO CONSIDER:

 Compliance schedules for compliance with a categorical standard deadline that has already

passed should not be contained in the control mechanism but in an enforcement order.

 EPA also strongly recommends compliance schedules for use where any IU is out of

compliance with any Pretreatment Standard or requirement. The schedules are also best

placed in an enforcement order.

 Compliance schedules used for attaining compliance with a revised local limit by the limit’s

effective date should be treated similarly to those prepared for compliance with a categorical

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compliance date, however, the final compliance date with the revised local limits should be

achieved as soon as possible.

A.4.g. Notice of slug loadings

PURPOSE: All IUs are required to notify the CA of any slug loadings (e.g., spills, pretreatment

system malfunctions).

A.4.h. Notification of spills, bypasses, upsets, etc.

PURPOSE: If an IU knows in advance of the need for a bypass (the intentional diversion of

wastestreams from any portion of an IU’s treatment facility), the IU must notify the CA at least

10 days before the date of the bypass.

FACTORS TO CONSIDER:

 Notification requirements of a bypass must be included the control mechanism. If an

unanticipated bypass occurs, the IU is required to notify the CA within 24 hours of becoming

aware of the bypass. Within 5 days of the bypass event, the IU is required to submit a written

notification containing a description of the bypass and its cause; the duration of the bypass,

including exact dates and times, and if the bypass has not been corrected, the anticipated time

it is expected to continue; and steps taken or planned to reduce, eliminate, and prevent the

reoccurrence of the bypass.

 An IU is required to report an upset (an exceptional incident in which there is unintentional

and temporary noncompliance with categorical standards because of factors beyond the

reasonable control of the IU), if the discharger would like to constitute an affirmative defense

to an action brought for noncompliance with categorical standards.

A.4.i. Notification of significant change in discharge

PURPOSE: All IUs are required to promptly notify the CA in advance of any substantial change

in volume or character of pollutants in their discharge, including the listed or characteristic

hazardous wastes for which the IU has submitted initial notification under 40 CFR 403.12(p).

This notification requirement is required to be in the control mechanism.

A.4.j. Notification of change affecting the potential for a slug discharge

PURPOSE: SIUs are required to notify the POTW immediately of any changes at its facility

affecting the potential for a slug discharge.

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A.4.k. 24-hour notification of violation/resample requirement

PURPOSE: SIUs subject to self-monitoring requirements are required to notify the CA within 24

hours of noticing an effluent violation. In addition, SIUs are required to conduct resampling and

analysis of the pollutant in violation and submit the resampling results to the CA within 30 days

of becoming aware of the violation. This requirement must be included in the control mechanism.

A.4.l. Slug discharge control plan requirement, if determined by the POTW to be necessary.

PURPOSE: Where IU slug discharge control plans are required to prevent slug loadings to the

POTW, such plans must contain the elements specified at 40 CFR 403.8(f)(2)(vi): (1) A

description of discharge practices, including nonroutine batch discharges; (2) a description of

stored chemicals; (3) procedures for immediately notifying the POTW of slug discharges,

including any discharge that would violate a prohibition at 40 CFR 403.5(b), with procedures for

follow-up written notification within 5 days; and (4) if necessary, procedures to prevent adverse

effect from accidental spills, including inspection and maintenance of storage areas, handling and

transfer of materials, loading and unloading operations, control of plant site runoff, worker

training, building of containment structures or equipment, measures for containing toxic organic

pollutants (including solvents), and/or measures and equipment necessary for emergency

response.

FACTORS TO CONSIDER:

 SIU control mechanisms must contain the requirement to immediately notify the CA of any

slug discharge.

 Any plan that is less inclusive or less stringent than that required under 40 CFR

403.8(f)(2)(vi) should be recorded as a deficiency.

 The CA must revise its legal authority to clarify that slug control requirements must be

referenced in the control mechanism because the 2005 revisions to the General Pretreatment

Regulations specify new minimum requirements for all control mechanisms. Furthermore, the

control mechanism must require the SIU to notify the CA of any changes that could affect the

IU’s slug discharge or spill potential (70 FR 60134-60198: October 14, 2005).

 If the CA has determined that an IU is required to develop and implement a slug discharge

control plan, the IU’s control mechanism must specify that the IU is required to control slug

discharges.

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 The auditor should keep in mind the CA’s answer to F.9 of the Interview portion of the audit.

A.5 Issuance of General Control Mechanisms

PURPOSE: The 2005 revisions to the General Pretreatment Regulations authorize CAs to use

general control mechanisms to regulate SIUs in certain circumstances in lieu of issuing individual

control mechanisms (70 FR 60134-60198: October 14, 2005). Before implementing the optional

provision, the CA and state must have the appropriate structure in place to implement general

control mechanisms.

FACTOR TO CONSIDER:

The CA and state must have the legal authority to issue general control mechanisms before the

CA may issue general control mechanisms.

A.5.a. Involve the same or similar operations

PURPOSE: All the dischargers to be covered by a general control mechanism must employ the

same or substantially similar types of industrial processes [40 CFR 403.8(f)(1)(iii)(A)(1)(i)].

FACTOR TO CONSIDER:

The CA must determine that the SIU is more appropriately controlled under a general control

mechanism than under individual control mechanisms.

A.5.b. Discharge the same types of wastes

PURPOSE: All the dischargers to be covered by a general control mechanism must discharge the

same types of wastes [40 CFR 403.8(f)(1)(iii)(A)(1)(ii)].

A.5.c. Require the same effluent limitations

PURPOSE: All the dischargers to be covered by a general control mechanism must have the

same effluent limitation requirements [40 CFR 403.8(f)(1)(iii)(A)(1)(iii)].

FACTORS TO CONSIDER:

 Facilities regulated by categorical standards expressed as mass-based limits cannot receive

coverage under a general control mechanism. The one exception to this exclusion would be a

situation in which the CA has imposed the same mass-based limit on a number of facilities.

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 General control mechanisms are not available for IUs whose limits are based on the CWF or

net/gross calculations.

 General control mechanisms are not available for CIUs subject to production-based limits.

A.5.d. Written request by the IU for coverage by a general control mechanism (including contact

information, production processes, types of waste generated, location for monitoring all

wastes covered by the general permit, and any requests for a monitoring waiver for a

pollutant neither present nor expected to be present)

PURPOSE: To be covered by a general control mechanism, an SIU must file a written request

for coverage that identifies its contact information, production processes, the types of wastes

generated, the location for monitoring all wastes covered by the general control mechanism, and

any requests for a monitoring waiver for a pollutant neither present nor expected to be present.

A.5.e. Documentation to support the POTW’s determination

PURPOSE: The CA is required to retain a copy of the general control mechanism;

documentation to support the POTW’s determination that a specific SIU meets the criteria of 40

CFR 403.8(f)(1)(iii)(A)(1)(i-v); and a copy of the IU’s written request for coverage for 3 years

after the expiration of the general control mechanism.

B. CA Application of IU Pretreatment Standards

B.1 IU Categorization

PURPOSE: The CA must correctly apply Pretreatment Standards and Requirement to all SIUs.

The auditor should verify that the CA has correctly classified the discharger as an SIU or a CIU.

B.2 Calculation and application of categorical standards

PURPOSE: The CA is required to ensure that SIUs are in compliance with applicable

Pretreatment Standards and Requirements.

B.2.a. Classification by category/subcategory

FACTORS TO CONSIDER:

 The IU’s permit must contain the correct category and/or subcategory.

 If the CIU is subject to several categories or subcategories, the permit should clearly identify

them.

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B.2.b. Classification as new/existing source

FACTOR TO CONSIDER:

The category and subcategory classification refers to Pretreatment Standards for Existing Sources

(PSES) or Pretreatment Standards for New Sources (PSNS) and not to direct discharge

requirements.

B.2.c. Application of limits for all regulated pollutants

FACTORS TO CONSIDER:

 Compliance with categorical limits is determined at the end-of-process, before mixing with

any sanitary wastewaters.

 Typically, compliance with local limits is determined at the end-of-pipe, after all process

wastewater, sanitary wastewater, and any other nondomestic wastewaters are commingled.

B.2.d. Classification as an NSCIU

FACTORS TO CONSIDER:

 State law must provide for distinguishing between SIUs and NSCIUs before the CA may

adopt it into its legal authority.

 The CA must have legal authority to adopt the NSCIU provision before implementation.

 The CIU never discharges more than 100 gpd of total categorical wastewater (excluding

sanitary, noncontact cooling, and boiler blowdown wastewater).

 The CIU has consistently complied with all applicable categorical standards and

requirements.

 The CIU never discharges any untreated, concentrated wastewater.

 The CIU submits an annual certification statement.

B.2.e. Documentation for the qualification to be classified as NSCIU

FACTORS TO CONSIDER:

 The CA is required to include a list of users considered to be NSCIUs in its annual report to

the AA [40 CFR 403.12(i)].

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 The federal regulations require the CA to evaluate, at least once per year, whether an IU

previously determined to be NSCIU still meets the nonsignificant criteria in 40 CFR

403.3(v)(2) [40 CFR 403.8(f)(2)(v)].

B.3 Application of local limits

FACTORS TO CONSIDER:

 Local limits are developed by POTWs to enforce the specific and general prohibitions, as

well as any state and local regulations. The prohibitions and categorical standards are

designed to provide a minimum acceptable level of control over IU discharges. They do not,

however, take into account site-specific factors at POTWs that might necessitate additional

controls.

 Local limits are intended to prevent site-specific POTW and environmental problems due to

nondomestic discharges.

 The CA can impose local limits on an IU that are more stringent, or cover more pollutants,

than an applicable categorical standard.

B.4 Application of BMPs

FACTORS TO CONSIDER:

 BMPs means schedules of activities, prohibitions of practices, maintenance procedures, and

other management practices to implement the prohibitions lists at 40 CFR 403.5(a)(1). BMPs

may be used in lieu of Pretreatment Standards when the CA has established BMPs as local

limits to implement the general and specific prohibitions.

 BMPs also include treatment requirements, operating procedures, and practices to control

plant site runoff, spillage or leaks, sludge or waste disposal, or drainage from raw material

storage.

 BMPs may be used in lieu of Pretreatment Standards when the BMPs are categorical

pretreatment standards established by EPA.

 If allowed by state law and if the CA’s legal authority has been revised accordingly, the CA

can use BMPs in lieu of local limits.

 Enforceable BMPs should have the following:

– Specific notice to IUs of requirements and enforceability

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– Installation of treatment

– Requirements for or prohibitions on certain practices, activities, or discharges

– Requirements for operation and maintenance (O&M) of treatment units

– Time frames associated with key activities

– Compliance certification, reporting, and records retention

– Provisions for reopening or revoking the BMP conditions

– Other requirements as determined by the CA.

B.5 Calculation and application of production-based standards

FACTORS TO CONSIDER

 Production-based standards are expressed in terms of allowable pollutant mass discharge rate

per unit of production such as pollutant per 1,000 pounds of product produced.

 Production-based standards are administratively more difficult for the CA to implement than

concentration-based standards. To ensure compliance with production-based standards, the

CA must measure the flow of the regulated wastestream and determine the corresponding

production rate. When determining representative production levels, the CA should evaluate

historical production data and the corresponding wastewater flowrates.

 Rather than measure the production rate each time that compliance monitoring is performed,

the CA may use equivalent mass or concentration limits as a tool for routine monitoring and

enforcement purposes [40 CFR 403.6(c)]. Equivalent mass or concentration limits use an

IU’s long-term average daily production and flow rates to derive a limit that is essentially

equivalent to the production-based standard but is expresses as mass per day or concentration.

 The CA should require an IU subject to production-based standards to submit periodic

production data. The CA should compare the periodic data with the values used to calculate

the permit limits to ensure continued use of representative production values and

corresponding limits.

 If multiple production lines are acknowledged in the calculated production-based limit, the

production rate should be based on the production of the process lines operating

simultaneously.

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B.6 Calculation of equivalent mass limits for concentration limits

FACTORS TO CONSIDER:

 If the CA has implemented equivalent mass limits for concentration limits, the auditor should

determine if it is allowed by state law and if the CA has revised its legal authority to reflect

the authority to include this provision.

 The CA should provide documentation of its calculation of equivalent mass limits.

B.6.a. IU has demonstrated or will demonstrate substantially reduced water usage

FACTORS TO CONSIDER:

 The IU must demonstrate that it will employ water-conservation methods and technologies

that will substantially reduce water use during the term of its control mechanism.

 The IU is required to employ water conservation to remain eligible for equivalent mass limits.

 EPA considers a 20 percent change in flow rate to be a significant change in flow rate (EPA’s

Guidance Manual for the Use of Production Based Pretreatment Standards and the

Combined Wastestream Formula, September 1985).

 The National Metal Finishing Strategic Goals Program promotes a 50 percent water reduction

from each participating industry’s baseline 1992 water usage

(http://www.strategicgoals.org/coregoals.cfm

B.6.b. IU uses control and technologies adequate to achieve compliance

FACTORS TO CONSIDER:

 The IU’s use of technologies adequate to achieve compliance with applicable Standards

provides the CA with a level of assurance that qualifying IUs have not been meeting their

concentration-based limits through dilution.

 Although waste conservation typically increases the concentration of pollutants in the process

wastewater before treatment, facilities with on-site treatment typically show a reduction of

pollutant loadings in their final effluent before its discharge to the POTW even where the

facility has instituted water conservation methods and technologies.

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B.6.c. IU has provided information regarding actual average daily flow

FACTORS TO CONSIDER:

 Accurate flow monitoring is required to determine compliance with an equivalent mass limit

on the basis of a concentration sample result received from the laboratory. Relying on water

consumption records when determining compliance with mass-based limits is not an

acceptable practice (EPA’s Industrial User Inspection and Sampling Manual for POTWs,

April 1994).

 The use of the long-term average daily and monthly flow is the only way to ensure that mass-

based limits are truly equivalent.

B.6.d. IU does not have variable flow rates, production levels, or pollutant levels

FACTOR TO CONSIDER

 In order to be eligible for equivalent mass limits, the IU must not have daily flow rates,

production levels, or pollutant levels that vary so significantly that equivalent mass limits are

not appropriate to control the discharge.

B.6.e. IU has consistently complied with applicable categorical requirements

FACTOR TO CONSIDER:

The IU should be consistently compliant with applicable categorical requirements for at least 2

years before its request for equivalent mass-limits.

B.6.f. Did the CA use appropriate flow rates when developing limits? (Y/N)

FACTOR TO CONSIDER

A CA which chooses to establish equivalent mass limits must calculate the equivalent mass limit

by multiplying the actual average daily flow rate of the regulated process(es) of the IU by the

concentration-based daily maximum and monthly average Standard for the applicable categorical

Pretreatment Standard and the appropriate unit conversion factor. The CA should also review

historical wastewater flow rates to determine if there any seasonal or production fluctuations.

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B.6.g. Did the CA use the correct concentration-based limits for the applicable categorical

standards? (Y/N)

FACTORS TO CONSIDER:

 The formula for converting daily maximum concentration standards to equivalent daily

maximum mass limits is the product of the facility’s actual average daily flow rate, the

applicable concentration-based categorical daily maximum standard, and the appropriate unit

conversion factor. The unit conversion factor is 8.34 when multiplying a concentration limit

(expressed as milligrams per liter) by flow (expressed as millions of gallons per day).

 The formula for converting monthly average concentration standards to equivalent monthly

average mass limits is the product of the facility’s actual average daily flow rate, the

applicable concentration-based categorical monthly average standard, and the appropriate

unit conversion factor.

 It is important to note that the same flow value, the CIU’s long-term average daily flow rate,

is used in the calculation of both the daily maximum and monthly average equivalent mass

limits.

B.6.h. Upon notification of revised production rate, did the CA reassess the mass limits? (Y/N)

FACTOR TO CONSIDER

If an IU subject to equivalent mass limits notifies the CA of a revised production rate, the CA

must reassess the equivalent mass limit and recalculate the limit as necessary to reflect the

changed conditions at the facility.

B.7 Calculation of equivalent concentration limits for flow-based standards

FACTOR TO CONSIDER:

If the CA has implemented equivalent concentration limits for flow-based standards, the auditor

should determine if it is allowed by state law and if the CA has revised its legal authority to

reflect the authority to include the provision.

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B.7.a. Is the IU subject to 40 CFR Part 414, 419, or 455? (Y/N)

FACTOR TO CONSIDER:

The federal regulations at 40 CFR 403.6(c)(6) allow the CA to use concentration-based limits

instead of flow-based mass limits for new and existing indirect dischargers in the Organic

Chemicals, Plastics, and Synthetic Fibers category; new indirect dischargers in the Petroleum

Refining category; and new and existing indirect dischargers in the Pesticide Chemicals category.

B.7.b. Documentation that dilution is not being used as treatment? (Y/N)

FACTOR TO CONSIDER

If the CA is converting mass limits for the categorical Pretreatment Standards at 40 CFR Parts

414, 419, or 455 to concentration limits, the CA must document that dilution is not being

substituted for treatment as prohibited by 40 CFR 403.6(d).

B.8 Calculation and application of CWF or FWA

FACTORS TO CONSIDER:

 The CA should provide documentation of its calculation and application of CWF or FWA.

 The CA should use the correct classification of regulated, nonregulated, and dilute

wastestreams.

B.9 Application of most stringent limit

FACTORS TO CONSIDER:

 The CA should ensure that compliance with categorical limits is evaluated at end-of-process.

 The CA should ensure that compliance with local limits is typically evaluated at end-of-pipe.

 The CA should ensure that instantaneous maximum, daily maximum, 4-day average, and

monthly average limits are not the same, and therefore are not comparable.

C. CA Compliance Monitoring

Note: The CA is required to do sampling and inspecting of IUs to verify compliance independent

of information supplied by the IU. If the CA has not undertaken any surveillance activity or no

documentation exists, if documentation is insufficient, or if the CA has not sampled for all

regulated parameters, the auditor should note such problems.

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C.1 Inspection (at least once a year, except as otherwise specified)

PURPOSE: The CA is required to inspect all IUs to determine compliance with Pretreatment

Standards and Requirements independent of data submitted by the IU.

FACTORS TO CONSIDER:

 Inspection is required at least once a year (except for middle-tier CIUs and NSCIUs) or as

specified in the approved program.

 Although the CA is required to inspect the SIU once a year (except for middle-tier CIUs), or

more frequently if required by the approved program, the auditor should assess the adequacy

of this frequency on the basis of the IU’s compliance history, IU-specific requirements,

process changes, and so forth.

 For middle-tier CIUs, the CA is required to conduct inspections once every 2 years. If the CA

has implemented middle-tier CIU classification, the auditor should determine if it is allowed

by state law and if the CA has revised its legal authority to reflect the authority to include this

provision.

 Documentation of inspection activities should be clear and cover every aspect of the

inspection. Some CAs might use activity logs to demonstrate an inspection took place;

however, the log alone will not fulfill the requirement for sufficient care to produce evidence

admissible in enforcement cases [40 CFR 403.8(f)(2)(vii)].

C.1.a. If the CA has determined a discharger to be an NSCIU

FACTORS TO CONSIDER:

 Evaluation of discharger with the definition of NSCIU once per year—The CA is required to

evaluate whether an IU previously determined to be an NSCIU still meets the nonsignificant

criteria listed at 40 CFR 403.3(v)(2). This evaluation should primarily involve the CA’s

verification that the NSCIU has submitted certification forms documenting continued

eligibility for NSCIU status and compliance with applicable Pretreatment Standards and

Requirements.

 The state must adopt the NCSIU provision into its state law before the CA may adopt it into

is legal authority.

 The CA must adopt the NSCIU provision into its legal authority before implementation.

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C.1.b. If the CA has reduced an IU’s reporting requirements

FACTOR TO CONSIDER:

Inspect at least once every 2 years—If the IU no longer meets the conditions for reduced

reporting listed at 40 CFR 403.12(e)(3), the CA must immediately begin inspecting the IU at least

once a year.

C.2 Inspection at frequency specified in approved program

C.3 Documentation of inspection activities

C.4 Evaluation of need for slug discharge control plan (reevaluation of existing plan)

FACTORS TO CONSIDER:

 Evaluation of need for slug discharge control plan (reevaluation of existing plan)—the CA is

required to evaluate each IU’s need for a slug discharge control plan or other action to control

slug discharges.

 For IUs identified as significant before November 14, 2005, this evaluation must be

completed at least once by October 14, 2006. Additional SIUs must be evaluated within one

year of being designated as significant.

 The slug discharge control plan could also be called an accidental spill prevention plan.

However, to fulfill the regulatory requirement, the plan must also address any potential,

nonaccidental, slug discharges.

C.5 Sampling (at least once a year, except as otherwise specified)

PURPOSE: The CA is required to sample each SIU discharge point to verify compliance

independent of self-monitoring data supplied by the IU. The auditor should determine that the CA

has sampled the IU by reviewing sampling records, lab reports, chain-of-custody forms, and so

forth. The auditor should examine all CA compliance sampling data in the IU’s file.

FACTORS TO CONSIDER:

 Sampling frequency—At least once a year (except for middle-tier CIUs and NSCIUs) or at

the frequency specified in the approved program.

– For middle-tier CIUs, the CA is required to conduct compliance sampling once every 2

years.

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– For NSCIUs, the CA is not required to conduct any compliance sampling, but this does

not relieve the NSCIU of its duty to comply with applicable categorical Pretreatment

Standards.

 Documentation of sampling activities should include QA/QC analytical results and chain-of-

custody forms (sample date and time; location; flow, where applicable; sampling

method/type; sampler’s name; sample preservation techniques; sample characteristics; dates

of analyses; name of analyst; analytical technique/method [40 CFR Part 136]; and analytical

results).

 Sampling results should include analyses for all regulated parameters.

C.5.a. If a POTW has waived monitoring for a CIU

FACTORS TO CONSIDER:

 If allowed by state law and if the CA’s legal authority has been revised and approved

accordingly, the CA may waive monitoring requirements for pollutant(s) not expected to be

present.

 The CA must sample waived pollutant(s) at least once during the term of the control

mechanism.

 If the CA subsequently determines that the waived pollutant(s) is present or is expected to be

present in the IU’s wastewater, the CA must immediately begin at least annual monitoring of

the IU’s discharge, and the SIU must resume monitoring at least once every 6 months.

C.5.b. If a POTW has reduced an IU’s reporting requirements

FACTORS TO CONSIDER:

 If allowed by state law and if the CA’s legal authority has been revised and approved

accordingly, the CA can reduce a CIU’s reporting frequency.

 If the CA has reduced an IU’s reporting requirements, the CA must sample and analyze the

IU’s discharge at least once every 2 years. If the IU no longer meets the conditions for

reduced reporting listed at 40 CFR 403.12(e)(3), the CA must immediately begin sampling at

least once a year.

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C.6 Sampling at the frequency specified in approved program

C.7 Documentation of sampling activities (chain-of-custody; QA/QC)

C.8 Analysis for all regulated parameters

C.9 Appropriate analytical methods (40 CFR Part 136)

FACTORS TO CONSIDER:

 The SIU is required to use the methods defined under 40 CFR Part 136 when collecting and

analyzing all samples obtained to determine compliance with Pretreatment Standards.

 Because the CA’s compliance monitoring serves to verify compliance with the same

standards and to check the validity of self-monitoring data, the CA’s monitoring must also be

conducted in accordance with 40 CFR Part 136. While specific test procedures included in

Standard Methods for the Examination of Water and Wastewater are approved at 40 CFR

Part 136 for many parameters, not all the test procedures in that document are approved. If

multiple methods are approved for the same parameter at 40 CFR Part 136, the analytical

method used should have an appropriate detection method to determine compliance with the

effluent limit.

D. CA Enforcement Activities

Note: This section serves several purposes. The auditor will determine the compliance status of

the selected IUs and the corresponding response of the CA. If the IU is in noncompliance and the

CA fails to identify the noncompliance, the auditor should note that on the checklist and explain

the situation in the comment section. The auditor should also determine if the IU is in SNC and

whether the enforcement taken by the CA was effective and followed the approved ERP. If the

auditor finds any problems, he or she should note them and explain the situation in the report.

PURPOSE: The CA is required to identify and investigate all instances of noncompliance with

Pretreatment Standards and Requirements. The auditor should verify that the CA has identified all

violations.

FACTORS TO CONSIDER:

 The CA must identify any and all instances of IU noncompliance. EPA recommends that the

CA use a tracking system to

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– Obtain and compare sampling data with applicable limits and identify and investigate any

violations. The investigation should include requiring the IU to explain the violation.

– Receive IU reports and determine their timeliness, completeness, and accuracy.

– Determine appropriate progress with compliance schedules.

 The CA must obtain enough IU discharge data to determine compliance on an ongoing basis.

If the IU has a history of noncompliance and/or variability in discharge constituents and

characteristics, the CA will need more frequent sampling data to determine the pattern and

causes of noncompliance.

 If the IU has a history of noncompliance, has not submitted any required self-monitoring

reports, or discharges pollutants for which the POTW has NPDES violations, the CA should

note such facts.

 The auditor should attempt to determine whether the monitoring frequency and the reports for

the IU are sufficient to provide a true picture of compliance.

 IU self-monitoring—As discussed above, all SIUs are required to report at least twice a year

(except for middle-tier CIUs), and more frequently if required by the CA.

 A middle-tier CIU’s self-monitoring requirement could be reduced to once a year. This self-

monitoring data must be representative of conditions occurring during the reporting period.

 Where CA compliance monitoring data show instances of noncompliance, the auditor should

find Notices of Violation (NOVs) provided to the IU for each instance, as well as other

records of appropriate follow-up.

 Violations of monitoring and reporting requirements must be addressed by the CA’s

enforcement program. IU reporting includes all notices required to be submitted by the IU

(i.e., notice of a slug discharge [including accidental spills], prior notice of a changed

discharge, and 24-hour notice of violation identified in self-monitoring data).

 The CA should respond to any failure by the IU to comply with a compliance schedule

requirement.

D.1 Identification of violations

D.1.a. Discharge violations

D.1.b. Monitoring/reporting violations

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D.1.c. Compliance schedule violations

D.2 Determination of SNC (on the basis of rolling quarters)

PURPOSE: The CA is required to determine SNC to verify which industries it will publish at

least annually in daily newspaper of general circulation that provides meaningful public notice

within the jurisdiction. The CA must also report a summary of IU compliance status in its

pretreatment program performance reports to the state or EPA. The auditor should evaluate the

file to verify if the CA correctly determined SNC. This can be done by reviewing violations and

performing SNC calculations. (Note: If the auditor is unfamiliar with the definition of SNC, he or

she should refer to the definition in the General Pretreatment Regulations and EPA policy.)

FACTORS TO CONSIDER:

 CAs should be evaluating SNC on the basis of procedures set forth in the regulations and

EPA’s September 9, 1991, memorandum on the Application and Use of the Regulatory

Definition of Significant Noncompliance for Industrial Users.

 The auditor should find and evaluate evidence of SNC evaluation. This information might be

in the CA’s enforcement file, the pretreatment program performance report submitted to EPA

or the state, as well as in the CA and IU sampling reports or included in the data management

system. The auditor should look for any SNC violations as described below and determine

whether the CA has correctly determined SNC.

D.2.a. Chronic

D.2.b. TRC (Technical Review Criteria

)

D.2.c. Pass through/interference

D.2.d. Spill/slug load

D.2.e. Reporting

D.2.f. Compliance schedule

D.2.g. Other violations (e.g., BMPs requirements)

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D.3 Response to violation

PURPOSE: The CA is expected to respond to every violation in an appropriate manner

consistent with its approved ERP.

FACTORS TO CONSIDER:

 If the CA has an approved ERP, did the CA respond to each violation as specified in the

ERP?

 Effective enforcement requires a timely response by the CA to all violations. The auditor

should investigate the cause of any instances where a response did not occur in a timely

manner.

D.4 Adherence to approved ERP

PURPOSE: Where the CA has an approved ERP, it is required to implement that plan in all its

enforcement proceedings.

FACTORS TO CONSIDER:

 Implementation of the approved ERP involves timely and appropriate enforcement and

escalation of enforcement actions where violations persist. The CA should have noted and

responded to any instance of noncompliance with local limits and/or categorical Pretreatment

Standards. At a minimum, for minor violations, the CA should have notified the IU of the

violation through a phone call, meeting, or NOV. Instances of noncompliance with any

pretreatment requirement should also have resulted in a response by the CA.

 In cases where the CA’s actions conformed to the ERP but were not effective (i.e., they did

not result in a final resolution within a reasonable length of time), the auditor should

document the situation and consider whether the ERP requires modification.

D.5 Return to compliance

PURPOSE: There are a number of criteria by which to determine effective enforcement. A

return to compliance within 90 days of the initial violation is the primary goal, but even effective

enforcement might take longer.

FACTORS TO CONSIDER:

 One criterion for successful enforcement is the IU’s return to compliance within 90 days.

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 Enforcement actions taken in response to discharges that resulted in pass through and/or

interference that failed to eliminate the violation within 90 days of identifying the responsible

industry or failed to place the responsible industry on an enforceable schedule within 90 days

of identification are not considered to be effective enforcement, unless otherwise defined in

an approved ERP. The auditor should consider this as a Level I criteria POTW violation (FY

1990 Guidance for Reporting and Evaluating POTW Noncompliance with Pretreatment

Implementation Requirements).

 Enforcement actions taken in response to incidents of SNC that failed to return the SIU to

compliance (or in compliance with an enforceable compliance schedule) within 90 days of

the receipt of information establishing SNC are not considered effective enforcement, unless

otherwise defined in an approved program ERP. The auditor should consider this as a Level

II criteria POTW violation (FY 1990 Guidance for Reporting and Evaluating POTW

Noncompliance with Pretreatment Implementation Requirements).

 The IU should be returned to compliance within the time specified by the CA. If the IU must

come into compliance with a categorical Pretreatment Standard deadline or a deadline for

compliance with a modified local limit, the CA should take appropriate actions (usually by

issuing a compliance schedule) to ensure that the IU will meet that deadline.

 Violation of a compliance schedule deadline could indicate lack of effective enforcement. If

the deadline has built-in milestone dates, the CA has the opportunity to take actions whenever

the IU falls behind in its progress toward compliance. Effective action should result in

achievement of compliance by the schedule’s deadline.

D.5.a. Within 90 days

D.5.b. Within time specified

D.5.c. Through compliance schedule

D.6 Escalation of enforcement

PURPOSE: The CA is expected to escalate enforcement for persistent violations.

FACTORS TO CONSIDER:

 The CA is expected to bring noncompliant users back into compliance by timely and

appropriate enforcement. This requires escalation of enforcement activity for persistent

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violations per the CA’s ERP. The auditor should look for patterns of increasingly severe

enforcement actions (e.g., NOVs followed by Administrative Orders [AOs]) where the past

enforcement actions have not resulted in the IU achieving consistent compliance. The auditor

should evaluate dates of the enforcement actions and IU responses (provide examples).

 Where self-monitoring data show instances of noncompliance, the auditor should look for and

note follow-up by the CA to any violations and determine the appropriateness of actions

taken.

 As a general rule, escalation of enforcement should occur within 90 days of the initial

enforcement action, if compliance has not been achieved. Where an SIU continues to violate,

so that the pattern of violations meets the criteria for SNC, the violation should be resolved

within 90 days of the receipt of information that established the SIU to be in SNC, or the

POTW should issue an enforceable schedule for resolution of the noncompliance within 90

days (FY 1990 Guidance for Reporting and Evaluating POTW Noncompliance with

Pretreatment Implementation Requirements).

D.7. Publication for SNC

PURPOSE: The CA is required to annually publish, in a daily newspaper of general circulation

that provides meaningful public notice within the jurisdiction(s) served by the POTW, a list of

IUs found to be in SNC. The auditor should verify that IUs in SNC, if any, were properly

published.

FACTORS TO CONSIDER:

 The IU file or a central enforcement file should contain a copy or clipping of the latest notice

placed in the local newspaper. The CA could keep this public notice in a separate file.

 If an IU has been in SNC at any time during the year to which the publication pertains, the IU

must be included in the published list. Even those IUs that returned to compliance and are in

compliance at the time of publication must be included in the published list. IUs that are on

compliance schedules (but have had or continue to have SNC violations of standards or

requirements) must also be published.

 The auditor should randomly check IUs in SNC against the published list and determine

whether the CA published and reported on all these IUs.

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 Publication could take the form of a legal notice; however, it might be more effective in the

form of an article or advertisement.

E. IU Compliance Status

PURPOSE: The auditor should use this section to evaluate whether the discharger is in

compliance with its self-monitoring and reporting requirements. If the auditor finds that a

discharger is not in compliance with these requirements, the auditor should verify whether the CA

took appropriate enforcement actions.

FACTOR TO CONSIDER:

The auditor should evaluate whether the CA’s compliance monitoring procedures and analytical

methods are in compliance with 40 CFR Part 136.

E.1 Self-monitoring and reporting

E.1.a. Sampling at frequency specified in control mechanism/regulation

E.1.b. Analysis of all required pollutants

E.1.c. Appropriate analytical methods (40 CFR Part 136)

E.1.d. Appropriate sample collection method

E.1.e. Compliance with sample collection holding times

E.1.f. Submission of BMR/90-day report

E.1.g. Periodic self-monitoring reports

E.1.h. Reporting all required pollutants

E.1.i. Signatory/certification of reports

E.1.j. Annual certification by NSCIUs

E.1.k. Submission of compliance schedule reports by required dates

E.1.l Notification within 24-hours of becoming aware of violations

FACTORS TO CONSIDER:

 Discharge violation

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CHAPTER 3 Audit Checklist Instructions

 Slug load

 Accidental spill

E.1.m. Resampling/reporting within 30 days of knowledge of violation

E.1.n. Notification of hazardous waste discharge

E.1.o. Submission/implementation of slug discharge control plan

E.1.p. Notification of significant changes

E.2 Compliance with all general control mechanism requirements

E.3 If the CA has classified the discharger as a middle-tier CIU

FACTORS TO CONSIDER:

 Categorical flow does not exceed 0.01% of the design dry-weather hydraulic capacity or

5,000 gpd (whichever is smaller)

 Categorical flow does not exceed 0.01% of the design dry-weather organic treatment capacity

of the POTW

 Categorical flow does not exceed 0.01% of the maximum allowable headworks loading for

any regulated categorical pollutant

E.4 If the CA has granted the discharger a monitoring waiver

FACTOR TO CONSIDER:

Certification statements with each compliance report

E.5 Compliance with BMP requirements, if applicable (Y/N)

E.6 If the CA has classified the discharger as an NSCIU

FACTORS TO CONSIDER:

 Discharges less than 100 gpd of total categorical wastewater

 Annual certification statements

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E.7 If the CA has established equivalent mass limits for a CIU

FACTORS TO CONSIDER:

 An IU subject to equivalent mass limits must maintain and effectively operate control and

treatment technologies adequate to achieve compliance with the equivalent mass limits.

 The IU must continue to record the facility’s flow rates through the use of a continuous

effluent flow monitoring device.

 The IU must continue to record the facility’s production rates and notify the CA whenever the

production rates are expected to vary by more than 20 percent from its baseline production

rates as determined by the regulations at 40 CFR 403.6(c)(5)(i)(C).

 The IU must employ the same or comparable water conservation methods and technologies as

those implemented pursuant to 40 CFR 403.6(c)(5)(i)(A) so long as it discharges under an

equivalent mass limit.

F. Other

PURPOSE: The auditor should use this section to document any initiatives, unusual situations,

or other issues of note or concern identified in the file review and not covered under the sections

above.

CHAPTER 3 Audit Checklist Instructions

SECTION III: OBSERVATIONS AND CONCERNS

Section III is intended to provide a brief summary of the concerns and deficiencies identified

(observations and concerns) throughout the audit in each program area. It also provides the opportunity to

identify inconsistencies in information collected. For instance, information obtained through the interview

process is sometimes in disagreement with information obtained during the file review. For this reason,

EPA strongly recommends that the auditor(s) complete Section III before the audit’s closing conference

to raise, and hopefully resolve, such issues at that time.

To help the auditor complete this section, elements of each program area are listed for consideration.

Citations to all pertinent checklist questions are provided for each element. The regulatory citations are

also provided where there are specific requirements for that element. The auditor should be aware that not

all questions on the checklist reflect regulatory requirements. Some of the questions are included to allow

the auditor to better evaluate program effectiveness. The auditor should take this fact into consideration

when developing the subsequent report, which specifies the required versus recommended actions the CA

should take.

When documenting the observations and concerns, the auditor should take care to clearly distinguish

between findings of deficiencies, violations, and program effectiveness issues. The auditor should also

specify whether follow-up actions are required or recommended or whether program modification is

needed. Thoroughness in completing Section III of the checklist will facilitate preparation of a clear and

accurate final report. In addition, the auditor should document positive aspects of the CA’s pretreatment

program. For example, recognize positive steps the CA is taking in its program that go beyond the

minimum federal requirements or any corrective actions taken to address previous deficiencies.

Section III should provide the framework for the report to which the checklist could be attached. Because

the checklist constitutes the auditor’s field documentation of findings, it should contain only the audit’s

factual findings.

3-74 February 2010

Appendix of Documents Referenced In The Manual

Appendix of Documents Referenced in the Manual

Title 40 of the Code of Federal Regulations [CFR] Part 403

40 CFR Part 136

Checklist – Pretreatment Program Legal Authority Reviews (EPA 833-B-07-001)

NPDES Compliance Inspection Manual (EPA 305-X-03-004, July 2004)

EPA Model Pretreatment Ordinance (EPA 833-B-06-002)

EPA’s self-audit policy. Federal Register Volume 65, No. 70, 19618–19627 (April 11, 2000)

FY 1990 Guidance for Reporting and Evaluating POTW Noncompliance with Pretreatment

Implementation Requirements

Guidance Manual for the Use of Production Based Pretreatment Standards and the Combined

Wastestream Formula (September 1985)

Industrial User Inspection and Sampling Manual for POTW’s (April 1994)

Local Limits Development Guidance (EPA 833-R-04-002A)

Multijurisdictional Pretreatment Programs Guidance Manual (EPA-833-B-94-005)

February 2010 Appendix-1

Appendix of Documents Referenced In The Manual

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Appendix-2 February 2010