EPA's The Pretreatment 101 Series: Introduction to the National Pretreatment Program
>> I–Hsin Lee
Good afternoon and welcome to today's webcast. The Pretreatment 101 Series: Introduction to the National Pretreatment Program. This webcast is sponsored by EPA's Office of Water. I am I–Hsin Lee with Tetra Tech and I will moderate today's session. Thank you for joining us.

This webcast is intended for those who are unfamiliar with the National Pretreatment Program. The webcast will provide a brief overview of the program for interested parties including, but not limited to states, Publicly Owned Treatment Works or POTWs and industry stakeholders. Topics covered during the webcast will include how the Clean Water Act pertains to the National Pretreatment Programs, an overview of the general pretreatment regulations which are 40 CFR Part 403, the POTW implementation requirements and industrial user reporting requirements. Before our presentation we will start by going over a few housekeeping items. The materials in this webcast have been reviewed by EPA staff for technical accuracy. The mention of any commercial enterprise, product or publication does not mean that EPA endorses them.

Guide to Our Webcasts
First, I would like to briefly summarize some of the features of today's webcast. If you have any technical difficulties, you can request assistance by entering your technical issue into the box at the bottom of your screen and clicking the ask button to receive technical support. Responses to technical questions will appear at the bottom of your screen. If you would like to see closed captioning, just click on the closed captioning button on the top of your screen. We encourage you to submit questions to our speakers during this webcast. The question and answer session will follow each of the presentations. To ask a question, simply type in the box located at the bottom of your screen. Then click on the ask button. Given the large number of participants today, I encourage you to submit your questions early. We will try to answer as many questions as possible. Christine Wong of Tetra Tech will be reviewing all of the questions that you submit. However, due to the number of participants, not all of the questions will be answered. We have posted the speakers' contact information, in case you would like to contact them after the webcast.

When you get a chance please click on the details and download buttons, to access your speaker contact information and to download a copy of today's slides. A certificate will be available for the audience members that have watched at least 90 minutes of this webcast. During the webcast, we will also be asking you some questions. These poll questions will be posted in a slide window. Additionally, at the end of the webcast, you will be asked to complete an evaluation.

Please submit your answers in that same slide window by clicking on one of the radio buttons. There is also a PDF document with additional resources. The document contains a list of commonly used pretreatment acronyms, guidance manuals and documents and speaker information. We recommend that you download this document and it can be found by clicking on the downloads button. Lastly, this webcast will be archived indefinitely so you can access it in a few weeks after today's live presentation. The archived webcast will be posted on EPA's website at www.epa.gov/npdes/training.

Poll Question 1
Before we could begin our presentations, let's go over some quick poll questions. The first poll question is for everyone. So, had you participated in any of the previous 101 webcasts? We have had several. So while everyone is voting, I would like to remind everyone that all of the presentations today will be downloadable during the webcast. So, if you have not had a chance, you can do so now and click on the resources and downloads button. Oh! I see, the votes are coming in, and right now we are looking at 67 percent of the audience members are first–time participants. Welcome to the Pretreatment 101 Series.

Poll Question 2
Okay, another quick poll question. And this question is for those who have already participated in a previous 101 webcast. So, in the previous webcast, did you access them by listening to the live event or did you listen to an archived webcast? Great. Thank you so much for answering those questions.

And before I introduce our first speaker, I would like to remind everyone that questions can be asked at any time during the webcast. If you have a question, just type your question in the question box located at the bottom of your screen.

Introduction to Pretreatment
So today, we have Jan Pickrel, who will briefly describe the Pretreatment 101 webcast series. As well as an overview of the National Pretreatment Program and the Pretreatment standards. Ms. Pickerel is EPA's National Pretreatment Program Coordinator in the Water Permit's Division of the Office of Wastewater Management. Otherwise known as OWM. She has been with OWM since 1997. Jan.

>> Jan Pickrel
Pretreatment 101
Thank you, I–Hsin. As I–Hsin stated, this webcast is intended for those who are unfamiliar with the National Pretreatment Program. If this is your very first day participating in the Pretreatment Program, if you're still trying to figure out if pretreatment is spelled with or without a hyphen and if this is the very first webcast that you are viewing through our Pretreatment 101 Series, then this is the right place for you.

The names of the previous webcasts that are available to be downloaded in your spare time are listed here on this slide. You can see we already have three that are posted and available, but today's focus is on the basics of what is the Pretreatment Program.

What is the Pretreatment Program?
Today's broadcast is the Introduction to the National Pretreatment Program. So first off, what is the Pretreatment Program? The term pretreatment specifically refers to the reduction of the amount of pollutants, the elimination of pollutants or the alteration of the nature of pollutants in wastewater prior to or in lieu of discharging or introducing such pollutants into a Publicly Owned or Municipally Owned Wastewater Treatment Works. Although pollutant controlled technology may obviously be required for some non–domestic sources discharging to a sewer system that are connected to the Municipal Wastewater Treatment Works. For the most part, the regulations do not dictate specific treatment technology requirements. However, the regulations do frequently require compliance with numeric standards and sometimes with requirements for behavioral practices. When we use the phrase, the National Pretreatment Program, we generally are referring to the cooperative effort of Federal, State, and local regulatory environmental agencies who with their procedures and legal authorities strive to reduce the amount of pollutants discharged by industry and other non–domestic wastewater sources into the municipal sewer systems. By reducing the pollutants at the source, where they are generated, the municipal sewer system can work more efficiently to reduce the pollutants that it is designed to treat. Consequently this maintained and or increased efficiency results in the protection of water quality. In the upcoming slides, I will present the big picture and history of the Clean Water Act, given to us by Congress. From which, we at EPA have the authority to develop specific regulations to address this task of ensuring that the nation's waters are clean enough to use for drinking, for fishing and swimming. I will also introduce some key terms as well as visual images to describe the Pretreatment Program. The next speaker, Chuck Durham of Tetra Tech, will discuss the specific responsibilities of the local Pretreatment Program in–depth.

Purpose of the Pretreatment Program
By establishing the responsibilities of government and industry to implement the National Pretreatment Standards. The General Pretreatment Regulations actually define three objectives that are outlined at 40 CFR 403.2. These objectives are stated here. The first objective is to prevent the introduction of pollutants into the Municipally Owned Treatment Works which may interfere with the operation of the treatment works, its collection system, as well as interfere with the use and disposal of the solids or sludge generated by the treatment works. The second objective is to prevent the introduction of pollutants which will pass through the municipally owned treatment works. The third objective identified in the regulations, is to improve opportunities to recycle and reclaim municipal and industrial wastewaters and sludges. This is accomplished by minimizing the pollutants in these wastewaters and sludges. Last but not least, and not specifically in the actual objectives portion of the regulation, but in another section of the regulations. Non–domestic users are prohibited from introducing into the treatment works pollutants which results in the presence of toxic gases, vapors or fumes, in a quantity which may cause acute worker health and safety problems. Already, I hope you have identified some of those key terms in the Pretreatment Program jargon. Formal definitions of these key terms are found in the Pretreatment Regulations at 40 CFR 403.3. And I will start defining some of them now. Common Acronyms
The Clean Water Act or CWA, when we abbreviate it, authorizes the National Pollutant Discharge Elimination System or NPDES Permitting Program and the Pretreatment Program. The NPDES program controls water pollution by regulating point sources that discharge pollutants into waters of the US. With respect to the Pretreatment Program, the Municipally Owned Treatment Works is regulated by an NPDES permit. The Publicly Owned Treatment Works or another phrase Municipally Owned Treatment Works or POTW is any device and system used in the storage, treatment and recycling of municipal sewage and industrial waste in a liquid nature. This definition includes sewers, pipes and other conveyances if they convey the wastewater to a POTW treatment plant. The term also means the municipality as it refers to that treatment plant, that it owns, which has jurisdiction over those indirect discharges to and discharges from such treatment works. An Industrial user or IU is a source of indirect discharge, which means the introduction of pollutants into the POTW from a non–domestic source. A Significant Industrial User and a Categorical Industrial User are specific types of Industrial users that we will discuss in more detail later.

Common Terms and Phrases
Here are some additional terms and phrases that we use in the Pretreatment Program. Let's focus here on the terms interference and pass–through. Because we use those terms to express the objectives of the Pretreatment Program, which is to prevent pass–through and interference. Interference is when a discharge or constituent in that discharge disrupts the treatment plants processes or operations. Or causes the POTW, the Publicly Owned Treatment Works to have to handle its solids use or disposal differently than previously planned. In addition, for interference to have formally occurred the offending discharge is linked to being a cause of violation of the POTW's permit. Pass–through means the situation where pollutants exit the POTW at a quantity or concentration that again is a cause of a violation of the POTW's permit. Essentially it means that the pollutant or pollutants were not treated sufficiently by the POTW process. We will discuss control authority, approval authority in subsequent slides.

Diagram
Here is a diagram that shows instances of interference and pass–through. These particular cases are strictly prohibited in the Pretreatment Program. Remember that the objectives of the Pretreatment Program are to prevent these things from happening, not just to recognize them, but to proactively prevent them. The first two boxes sort of in the middle left of your screen; represent corrosion and explosions in the collection system pipes. Those represent interference in that wastewater is allowed to exit the collection system at unauthorized locations and without treatment. A similar type of problem is also that these can, let in excess water, as well as could be something that could clog up the line and allow this exiting of water through unauthorized sources –– discharge points. Directly below boxes one and two, you will see box five, representing when or where a discharge quality disrupts the operations of the treatment plant itself. For example, needing to quickly change the chemical dosages in the plant that could result from a violation or unexpected discharge into the plant, would be another type of interference. Box number three at the top center of your screen represents the formation of toxic gases in the collection system or at the treatment plant itself. Protection of POTW workers is essential for smooth operations of the treatment plant. Box number four, which is to the right, near the top, represents the objective of improving opportunities to recycle and reclaim sludge and wastewaters instead of more costly disposal options. And last but not least, a primary objective of the Pretreatment Program is to prevent pass–through or the discharge of pollutants untreated into our nation's water. That is box number six, as you see that pipe going directly into the little description, the little diagram there that shows a river. And this would be a violation of NPDES permit requirements.

Who is affected?
So, who is affected by the Pretreatment Program? And who is regulated by the Pretreatment Program? We will now discuss the responsibilities of these different entities and what their goals and roles are.

Who is affected?(continued)
The approval authority is the special term given to EPA or an Approved Pretreatment State, for their role in overseeing a local POTW Pretreatment Program. The Approved State Program is required to adopt the Federal Regulations of the Pretreatment Program at a minimum, as well as procedures to insure that the POTWs and Industrial users comply with the regulations and responsibilities placed upon them. As such, the State or EPA may perform periodic inspections or audits of the POTW or the industry facility and their records. Who is affected?(continued)
The Publicly Owned Treatment Works or POTW is required to comply with its NPDES permit. That means, it must be operating efficiently without violations and that pollutants do not exit the plant to cause environmental harm or pass–through in the receiving water. To accomplish this, POTWs are frequently called upon to develop procedures and local regulations to oversee industries discharging into their system. We call this legal authority and procedures a local Pretreatment Program. These requirements are often listed and enforced through the NPDES permit. You see here a list of activities that the municipality performs in order to ensure that it achieves its goals. More information on these procedures and legal authorities will be provided by the next speaker. At a minimum, the local POTW Pretreatment Program must adopt the Federal Regulation and requirements and also their State Pretreatment Program Regulations and requirements, whichever is more stringent.

Who is affected?(continued)
Industrial users must comply with the most stringent of the Federal, State and local requirements. We will soon discuss some of the Federal requirements that Industrial users must comply with. Particularly if the Industrial user discharges wastewater to a POTW with an approved Pretreatment Program. The Industrial user may be issued a control mechanism or permit which outlines the requirements and responsibilities expected of it. However, Industrial users are expected to comply with many requirements even if they do not have a permit specifically issued to them. This is where we say that these requirements and standards are self–implementing. More on this topic will be provided later in this broadcast.

Who is affected?(continued)
What about wastes that are trucked into the POTW? Waste haulers, which includes any type of waste that is hauled or trucked and discharged to the POTW could include industrial waste, septage, meaning stuff from Porta Potties and septage tanks, as well as restaurant's fats, oil and grease. Haulers must comply with requirements as set forth in any control mechanism issued to them by the POTW and as an Industrial user they cannot discharge waste that can cause pass–through or interference at the plant. The term commercial or commercial wastewater is not found in the Federal Pretreatment Regulations. Commercial entities or businesses are basically non–household residences by nature of they are a business and so they too are considered Industrial users by the Federal Regulations. Some commercial entities such as restaurants and auto shops might be subject to the POTW's fats, oil and grease program, or be subject to requirements in the city's sewer use ordinance for control of oily waste. Just giving you a few examples.

Program Overview
Okay, now that we have discussed some terms and special jargon of the Pretreatment Program, lets briefly discuss a bit of history and how the Regulations work. In the United States, water protection has evolved from a concept initially focused on navigation and now regulates toxic pollutants in minute quantities.

History of Water Protection
Back in 1899, the Rivers and Harbors Act of Congress was their first step to ensure that crates, broken down ships, old docks would not impede river traffic and commerce. The Federal Water Pollution Control Act then defined in 1956, the role that the Federal Government is to assist states and local government. It was not really until the 1962 book, Silent Spring, by Rachel Carson, that the public's eyes were finally brought in to understanding the link between pollutants and wildlife and the air we breathe, and other environmental factors. Basically, it brought to the public's eyes that pesticides and in particular DDT was linked to the reproductive problems in bird populations. This was then followed in 1965 by the Water Quality Act that made Federal grants available to states for water pollution control activities. You then see several in rather rapid succession in 1970s, when these activities for protection of water ways of the United States formulated into the National Pollutant Discharge Elimination Program. Then was worked into giving regulations available to implement at the state level. And then by 1977 allows and focused EPA to study industries to set effluent limits or guidelines.

Clean Water Act – NPDES
So how does that national pollutant discharge elimination or NPDES program work? EPA or a state that EPA has authorized to implement the program for EPA, issues NPDES permits to point source discharges to waters of the United States. And in the particular instance of a Publicly Owned Treatment Works or POTW that receives wastewater from industries this POTW may have requirements in its NPDES permit for it to develop and implement a program to regulate discharges coming into it. Then, by that Pretreatment Program, that is approved by the state or EPA, that POTW then issues permits to the Industrial user. This is sort of the quintessential series of the Pretreatment Program.

Pretreatment Regulations
This list here shows you that the Pretreatment Program Regulations have also changed many times over the years and that we are actually a little over the 30 year anniversary. Most of the POTWs first developed their Pretreatment programs in the early 1980s. However, cities grow, industries are built, industries expand, industries move. So a POTW's Pretreatment Program is always changing and must reevaluate itself to ensure that it is achieving the goals established. The most recent changes to the National Pretreatment Program Regulations were promulgated in the year 2005.

40 CFR Part 403
Now, when we refer to the Federal Regulations we often use the acronym CFR for Code of Federal Regulations. When we say 40 CFR this is a section of the regulations that pertain to the protection of the environment. Part 403 specifically refers to the Pretreatment Program. Which also relies on other parts of the Regulations like for example, 40 CFR Part 122, which is the NPDES permit regulations. You can find all of the latest versions of the CFRs at the two websites that are listed on this slide.

Program Implementation
At this point, we have discussed some terms and special goals of the Pretreatment Program. We have discussed how the regulation evolved and how the regulations are organized.

Who must develop a program?
Next, who must develop a Pretreatment Program? POTWs, publicly owned not privately owned treatment works that have a single plant or multiple plants whose combined design flow is greater than 5 million gallons per day and, is receiving wastewater that is subject to pretreatment standards or receiving pollutants in such wastewater which could pass–through or interfere with the treatment works, are required to develop a Pretreatment Program. If the State or EPA does not require the POTW to develop a Pretreatment Program then it needs to assume the role of regulating those Industrial users discharging to that POTW. If a POTW is smaller than that and still receiving wastewater that is subject to Pretreatment standards or has experienced a pass–through interference event, it may also be required to develop a program.

Oversight authority
Here are some additional terms for you. Control Authority and Approval Authority. The POTW with a local approved Pretreatment Program is called the Control Authority. It controls the industries discharging to it. The approval authority is typically the EPA or where EPA has approved a State's Pretreatment Program, then the State becomes the Approval Authority. We right now have some states that are approved and other states that are not approved. And, we have some states that do the issuance of permits to the industries themselves instead of delegating that down to the local POTW level.

NPDES/pretreatment authorization states
On this map, and here is a partial chart here, this map shows you the states that have NPDES Authority, and those that have Pretreatment Program authority. Right now there are 47 states and the Virgin Islands that issue NPDES permits. However, there is only 36 states that have approved Pretreatment programs and oversee the POTWs implementing their local Pretreatment Program. So, as you recall here, this is a cooperative effort between the Federal Government, state government, and local government. We have some States where EPA is still very active in implementing the POTW program directly.

Hopefully you can recall back to the slide at the beginning of the presentation, where I discussed goals and responsibilities.

Implementation oversight
This slide presents the information in a slightly different way. The EPA and approved states as Approval Authorities oversee the POTWs. The POTWs submit annual reports to EPA or the state. The EPA conducts periodic inspections and audits of the POTW records. And those inspections and audits, the PCIs and the PCAs and then EPA and the authorized states may take enforcement action as necessary if the POTW is not fully implementing their program. In a POTW that does not have an approved program, the EPA and/or state may directly regulate the Industrial user itself in fact test is relied upon to do so. They may issue permits directly to the industry, but certainly they are called upon to inspect, receive reports and take enforcement action against the industries as needed.

Okay, so we have talked about reports being submitted by the Industrial users.

Pretreatment Standards
What do those reports have in them? Well, for one thing, Industrial users need to comply with applicable pretreatment standards.

Types of pretreatment standards
There are three types of pretreatment standards: general specific, categorical standards and local pretreatment standards. As the slide says, these can be numeric limits, narrative and best management practices. So let's discuss those.

General prohibitions 40 CFR Section 403.5(a)
The federal regulation contains a narrative requirement at 40 CFR 403.5(a). This is called a general prohibition and essentially it states that a non–domestic discharge may not introduce pollutants to the POTW that could cause pass–through or interference. This applies to all Industrial users, regardless of whether or not they have been issued a pretreatment permit or control mechanism and regardless of whether or not they are subject to any other standards.

General prohibitions 40 CFR Section 403.5(b)
The second type of pretreatment standards are called specific prohibitions. They are paraphrased below and can be more specifically found at 40 CFR Part 403.5. If you recall back to the early diagram and its specific prohibitions, we displayed some there. You can see here we have some of the words that you cannot discharge pollutants which could cause a fire or explosion. The Industrial user is not to discharge any liquid or material that could cause corrosive damage to the POTW and that includes the sewer piping also. Pollutants which could clog up the system are not allowed to be discharged or even high heat or oils which can cause additional problems with interference and pass–through. And last but not least on this list, you specifically see itemized out that trucked or hauled pollutants are also not allowed except at specific discharge points designated by the POTW.

Louisville, Kentucky photo
Here is a visual for you isn't it. This is to illustrate that bad things do happen. This is one of the quintessential pretreatment photographs. This occurred back in February, 1981, in Louisville, Kentucky. Miraculously, no one was hurt, but as you can see extensive damage occurred that was traced back to a soybean processing plant, where thousands of gallons of flammable solvents were spilled into the sewer lines. It took 20 months to repair the sewage lines. Several more months to complete the roadwork.

Louisville, Kentucky aerial photo
And here is an aerial view of that same site. You can see how not only the sewer lines and the road, but you can also imagine that the buildings and structural integrity of the buildings were also jeopardized.

Sewer pipe photo
This view is from inside a sewer pipe. And it is probably one of those great things to see if you can see it like in a live video to see after lunchtime. This is showing solid or viscous pollutants that might clog the flow in the pipe, resulting in interference. For example, restaurants' oil and grease, laundries with different soaps and detergents and even paint waste are frequently found to cause clogging of the lines.

Truck in clarifier photo
Here is a wastewater treatment plant with a truck in its clarifier. You could say that this is heavy metals interference because the treatment works really is not really designed to treat trucks. Or you could say this is an obstruction of flow, because it is going to be really hard to get that truck through the little discharge pipe. But anyways that was a little humor for you after the oil and grease, restaurant grease line. But probably not too funny to the fellow who had to explain to his boss why the vehicle got there in the first place.

Categorical standards
Okay, the second type of pretreatment standards are called categorical standards. These are developed by the Environmental Protection Agency and apply to specific industries taking into account the processes that a specific industrial sector performs, the chemicals used in that process, and what pollutants are then typically present in that industry's processed wastewater. These standards provide the "level playing field," such that an industry that has identical facilities doing the same processes, built the same year, but in two different cities would expect to have to meet the same set of standards in those two different cities. These regulations can be found at 40 CFR 405𤯇. Some industries might only have one process that applies to them. Other industries might be subject to several of these different categorical standards.

Pretreatment categorical standards
Some of the pretreatment standards have both pretreatment standards for existing sources and pretreatment standards for new sources. These standards apply basically taking into account that the cost of needing to retrofit an existing facility is often more than to build a facility from the ground up. Built to really designed to discharge to a specific standard. That is why we have both PSES and PSNS. We have some effluent guidelines that have pretreatment standards. But we have others that only have discharge standards, if the industry is directly discharging to the waters of the US and no pretreatment standards. You see some examples of the different combinations here. For example, you have hospitals that don't have pretreatment standards but do have direct discharge standards. You have metal finishing in Part 433 that have both pretreatment standards for existing sources and pretreatment standards for new sources.

Local pretreatment standards
Last but not least, the third type of pretreatment standards are local pretreatment standards. All approved POTW Pretreatment Programs are required to develop local limits. These limits may be chemical specific, like a numeric maximum limit on copper or zinc. It could be a best management practice or even a prohibition. For example, like no discharge of swimming pool cleaning chemicals or installation of a berm around a chemical storage area or around floor drains to make sure that chemicals do not discharge into the sewer system through the floor drains.

Local limits
Some major points to take away with you regarding this third type of pretreatment standard is that local limits are the only ones designed specifically to protect an individual POTW. They are not designed to protect five POTWs in the same state. Each are developed individually. Essentially these local limits reflect the POTW's expression of how this specific Prohibition Pretreatment Standards can be implemented at their plant. For example, a POTW may prohibit a discharge of fats, oil, and grease above 300 milligrams per liter in order to prevent clogging of their sewer system. But that 300–milligram per liter might not be applicable in the town, in the next county. They are local, and very specific to each POTW.

>> I–Hsin Lee
Great. Thanks, Jan, for that overview of the National Pretreatment Program and outlining what pretreatment standards are. I would like to remind the audience that questions can be submitted at any time during this webcast. So if you have any questions for our speakers please submit them. While we sort out all your questions, let's take a moment to ask a couple of more poll questions.

Poll Question 3
Our next poll question is to see how many years of experience the audience members have had with pretreatment. Have you been with the pretreatment world for less than three months, more than three months, but less than six months, more than six months, but less than a year, more than a year, but less than two, or more than two? Please choose one of those answers now.

So, another quick reminder for everyone that this is just one of several Pretreatment 101 webcasts. All of our previous webcasts have been archived and can be found at www.epa.gov/npdes/training. So please visit that site for more information on the archived webcasts.

It looks like everyone has voted and the majority of our audience members at 55 percent have had more than two years of pretreatment experience. And about 21 percent of the audience members have only had less than three months. Well, you are the newbies out there. I hope you are finding this webcast very informational.

Poll question 4
Okay so, another poll question. The next one is how many people are participating at your location today? Are you just by yourself in a room or you there with 2ס people, 6㪢, 10㪬, or 20 plus? So while everyone is answering this question, let's check with Christine to see if we have any questions from the audience for our speakers. Christine?

>> Christine Wong
Questions
Hi everybody. There are some general questions, some great questions. So let's go to Jan. Jan, how do I know if my POTW is required to develop and implement a pretreatment program? And what if my program is a Privately Owned Treatment Works?

>> Jan Pickrel
Okay. That is two very different questions there. All right. The requirement for developing and implementing a pretreatment program would be found in your NPDES permit. The state would impose that upon you. However, you don't have to wait for that requirement to put in your program. And to be required upon you through a consent order or other type of legal mechanism. You can start developing one on your own. But specifically, the regulations define that a POTW or combination of POTWs operated by the same authority with the design flow greater than 5MGD in receiving industrial pollutants would be required to develop a pretreatment program. Now the second question you asked was, why not Privately Owned Treatment Works?

>> Christine Wong
That's correct. Privately owned.

>> Jan Pickrel
Well, Privately Owned Treatment Works are actually subject to NPDES permit limits. Those industries discharging into that privately owned treatment works is subject to the effluent guidelines that don't say PSES and PSNS, but are subject to the other effluent guidelines in that same set of regulations. The best available technology, BAT and those set of standards. Essentially the Federal Government, when it provided grants for the municipal treatment works to be built and developed their programs, is requiring the Pretreatment Program to be developed for those POTWs to protect our nation's investment in wastewater and wastewater protection.

>> I–Hsin Lee
Christine, do we have another question or two for Jan?

>> Christine Wong
Okay, let's see, how do you know which facilities need to be regulated under a pretreatment program?

>> Jan Pickrel
Okay, I think you mean by facilities which industries need to be regulated?

>> Christine Wong
Yeah, I think that's what the question means.

>> Jan Pickrel
Okay, a POTW with an approved pretreatment program is actually first required to identify and locate and characterize its Industrial users which might be subject to these three types of standards that I described. This is actually the subject of another webcast that we already have available for you to view, in the archived form on our website. This is for the Industrial user survey. Essentially the long and short is that the POTW conducts its industrial survey, which might actually be required in your NPDES permit as a condition. And those Industrial users would then be classified, and how that is done is actually going to be discussed in much more detail by the next speaker.

>> I–Hsin Lee
Okay, it looks like we have maybe a couple of more questions for Jan. Before we go on to the next question let's ask a quick –– let me just review the poll answers that we got for how many people are participating. It looks like we have well over 500 attendees during this webcast. So, that's a big number for us and we have some participating from Costa Rica, El Salvador, Mexico and Canada. So, welcome our international audience members. And a quick reminder about the slides. These slides are downloadable by clicking on the downloads button on the top of your screen. After this webcast is over this webcast will be archived in the EPA website so if you need to find the slides again you will just have to wait until it is archived on EPA's website. So let's see if Christine has any more questions. Christine?

>> Christine Wong
Okay, here is a general question. Why might an effluent limitation guideline not have pretreatment standards such as hospitals? Hospitals don't have Pretreatment Standards? Why is that?

>> Jan Pickrel
Okay. The long and nitty–gritty of that is a bit beyond this entire presentation. The long and short though is when EPA develops effluent guidelines, it studies how the industry is currently operating out there in the United States. Quite frequently, with the example of hospitals the pollutants coming out of some facilities might be considered compatible with the POTW and therefore, whatever constituents that industry is discharging might not be deemed to be needing effluent guidelines for pretreatment. That is very much I would like to actually present to you a different webcast that is available on our archived section of www.epa.gov/npdes/training. And it is actually called effluent guidelines or 304(m) Program.

>> I–Hsin Lee
POTW Pretreatment Program Responsibilities
Great. Thank you for answering all those questions, Jan. So, next we have our next speaker is Chuck Durham from Tetra Tech. He has been with Tetra Tech for the last 10 years and has over 22 years of regulatory experience in the water pollution control field. Prior to joining Tetra Tech, Mr. Durham served as the program manager for the Tennessee Division of Water Pollution and Control. Chuck?

>> Chuck Durham
Local Pretreatment Programs
Okay, thanks, I–Hsin. For the remainder of the webcast, I am going to be talking about some specific requirements for POTWs and industrial users in the Pretreatment Program. And I'll just go ahead and get started. What you see here are the outline in the Federal Regulations are the sections that address POTW responsibilities. Specifically 403.8 identifies who is required to develop a program. And also discusses the minimum mandatory legal authority as well as outlining some of the minimum required procedures that the POTW has to comply with. 403.9 details a required content of submission for approval, and also talks about the required approval authority action, such as preliminary determinations that the approval authority might make as well as notifying the POTW if a submission is less than acceptable. 403.18 talks about specifically the substantial modifications that a POTW might make to their program. At least substantial modifications must be submitted to the approval authority and approved before they can be implemented. Any actions that result in less stringent oversight would be considered substantial modification such as less frequent inspections, less frequent monitoring, if you raise the local limits and things of that nature are defined as substantial modifications. Anything that is not–substantial requires submittal to the approval authority 45 days prior to implementing those procedures.

Pretreatment Program Components 40 CFR 403.8
The purpose of this slide is to summarize the various components of an approved Pretreatment Program. We will talk about each one of them in more detail as we go through the presentation. The Federal Regulations did not provide a POTW or a State the authority to operate their Pretreatment Program. It merely sets out the legal authority requirements. State law regardless whether you are a single POTW or regional sewage agency, the legal authority is draft in State law and is able to be implemented based on local regulation. Legal Authority 40 CFR 403.8(f)(1)
A POTW's sewer use ordinance is usually part of a larger city or county code. For sewage agencies or regional authorities that pretreatment rule, their regulations may be contained in a series of contracts or joint power agreements between multiple agencies. And these are commonly referred to as multijurisdictional agreements. These MJAs or multijurisdictional agreements, specify which entity has the authority or responsibility for oversight of non–domestic discharges. Please note that local regulations cannot exceed authority allowed by State. However, they may be more stringent than State requires. For example, if a State has not adopted any of the optional provisions of the streamlined rule that Jan discussed earlier, the POTW cannot use the NSCC or not significant categorical classification for their small volume categorical industries.

POTW Legal Authority
As a control authority, the POTW must have the legal authority to control, which includes denying discharge but they must control the discharge of pollutants from their industrial users. The halt or prevent the discharge of pollutants that may be of eminent endangerment to the health and welfare of persons or which persons or may present endangerment to the environment, but also threatens to interfere with the operation of the POTW. You must also have the legal authority to require industrial user compliance with the pretreatment standards and requirements that are applicable to those particular industries. That includes requiring compliance schedules for installation of necessary technology if installation of that equipment is necessary for them to comply with the standards.

Okay, they also must have the legal authority to comply with the confidentiality requirements, that are specified in 403.14, which basically says that an industry must identify any submitted information as confidential at the time that they submit it. Confidential information can be any type of process or equipment that is patented or if given to the public, might risk the company's competitive edge. And it is also important to note that properly defined confidential information is protected under Section 308 of the Clean Water Act. Disclosing confidential information to the public without the industrial user's permission could result in criminal penalty. As a reminder the EPA model ordinance that lays out the necessary legal authority to implement and enforce a program is available on the EPA website.

Local Limits 40 CFR 403.8(f)(4)
The list of pollutants for which local limits are needed will be different for each POTW. Though there are general parameters that all should consider. The 15 pollutants of concern that are identified in the guidance manual are a good starting point. Please note that Categorical Standards cannot be used in place of local limits, but this is something that we see far too often in conducting oversight audits, where a POTW has either adopted the metal finishing standards outright as their local limits or they use some sort of comparison between calculated numbers with Categorical Standards to assess local limits. Categorical Standards is important to remember are technology–based where local limits are technically based. This means that the local limits must be protective of the Publicly Owned Treatment Works, its workers, and the environment. We have given you the link here for the 2004 guidance document as a tool for calculating local limits.

What Procedures Must a POTW Pretreatment Program Have? 40 CFR 403.8(f)(2)
These next two sides identify the various procedures the POTW has to complete and implement, in obtaining and maintaining an approved program. The details about how each of these procedures are implemented will be described in later slides. These procedures include identifying and locating all users subject to the pretreatment program and notifying industrial users of applicable standards and reporting requirements. This includes RCRA hazardous–waste notification requirements and requiring development of a sludge control plan. It also includes receiving and reviewing reports such as baseline monitoring reports, 90 day compliance reports, periodic compliance reports and hazardous–waste notification reports.

What Procedures Must a POTW Pretreatment Program Have? continued
As a POTW, you must have the capability to inspect non–domestic dischargers, to identify noncompliance whether it's from effluent violations or reporting violations and also to take appropriate enforcement action. The POTW must also adhere to public participation requirements by issuing public notices for the opportunity for comment and to publish industrial users that may be found in significant noncompliance and that must be done on an annual basis.

Industrial Wastewater Survey 40 CFR 403.8(f)(2)(i) and 122.42(b)
As mentioned earlier, control authorities must regulate non–domestic discharges to ensure compliance with pretreatment standards and requirements and that is spelled out in 40 CFR 403.8(f)(1)(iii). As such, control authorities attached to further identify the non–domestic dischargers. To do this control authorities must first identify and locate all possible industrial contributions subject to the pretreatment program requirements. For each of these industrial users that's identified, the POTW needs to identify the character and volume of pollutants contributed by the POTW by these IU's. And also determine who must be regulated pursuant to the control authority's approved Pretreatment Program and 40 CFR part 403. In addition, the POTW must identify industrial users subject to specific Categorical Pretreatment Standards and identify the nature and concentration of waste discharged to the treatment plant. As Jan mentioned earlier, EPA has previously hosted a webinar on the industrial waste survey which is available on the link provided here.

Control Mechanisms 40 CFR 403.8(f)(1)(iii)
As stated earlier the POTW must also have authority to issue permits to non–domestic dischargers. In addition you must have the necessary procedures in place and the permits to meet the minimum criteria prescribed in 403.8(f)(1)(iii) Roman numeral three. Certain types of industries may be easily permitted via the general permitting concepts such as dry cleaners and possibly restaurants. And also other industries that you might have similar processes and discharge that could be grouped into a general permitting process.

Who to Permit
Both categorical and non–categorical Significant Industrial Users must be issued permits. Also both categorical and non–categorical SIUs benefit from receiving individualized notice of applicable limits and monitoring requirements. Non–categorical SIUs are included in the requirement for individual control mechanisms, because of their potential to impact the POTW. EPA believes that issuing individual control mechanisms to non–significant Industrial Users should be at the discretion of the POTW, because these users do not typically have sufficient potential to cause pass–through or interference, or to warrant a requirement for individual control mechanism. Of course POTWs have the option to issue permits to such users for unique circumstances. In addition, waste haulers that transport industrial or hazardous–waste are also considered industrial users and may have to be permitted in order to protect the treatment plant and the workers on site.

Who Issues the Permit? Pretreatment Family Tree
Jan touched on the information in this slide a bit earlier, but just as a reminder in States without authorized NPDES program and authorization for the pretreatment, the regional EPA may act as the approval authority. And through the NPDES permit require POTWs to implement pretreatment programs. And states with authorized pretreatment program the state is the approval authority and issues permits to the POTW to implement their approved program. And also note that states can also issue permits to SIUs in an area where there is no approved local pretreatment program.

POTW Compliance Monitoring 40 CFR 403.8(f)(2)(v) and (vii)
POTW compliance monitoring events must be performed by the POTW, independent of any self–monitoring conducted by the permitted industrial user. And must be conducted at a minimum of once a year. Whether or not you announce these monitoring events will dependent on the relationship between the POTW and the industrial user. Factors to consider include, whether or not there is a history of noncompliance with this SIU or if the IU has exhibited questionable discharge practices. All sample collection and analysis must conform to 40 CFR 136, to ensure that the results are defensible in the event enforcement action is necessary.

POTW Compliance Monitoring
EPA hosted a webinar on Compliance Monitoring on January 25th of this year as part of this 101 series. The entire webinar can be viewed in its entirety by clicking on the link you see here. Similarly, EPA hosted a webinar on industrial inspections on January 11th. As part of the same series, it can also be found on the EPA website as posted. 403.8 mandates that the control authority perform a minimum of annual inspections of the Significant Industrial Users. Exceptions for this requirement are provided for non–Significant Categorical Industrial Users and middle tier Categorical Industrial Users provided the State and the POTW have adopted these classification options. Biannual inspections of middle tier CIUs is always required of the control authority or the POTW. Annual certification is always required to comply if there is surveillance requirement for non–Significant Categorical Industry Users or NSCIUs.

POTW Compliance Monitoring 40 CFR 403.8(f)(2)(v)
POTWs must have the legal authority to assess instances of noncompliance and take appropriate action. That authority is typically found in the sewer use ordinance and described in detail in Enforcement Response Plan and we will take a look at that slide later.

Enforcement 40 CFR 403.8(f)(1),(2), and (5)
There are two distinct classes of enforcement action that can be taken. Non–emergency relief which includes administrative actions taken for noncompliance, and civil or criminal penalties which must be up to at least $1,000 a day or you must have the ability to collect penalties of up to $1,000 a day. The other class is emergency action, which would be referring to the immediate halt of an actual or threatened discharge that you felt may be causing danger to the general public.

Enforcement Response Plans
Each POTW with an improved pretreatment program must have an enforcement response plan in place. The ERP should clearly identify all possible instances of noncompliance and outline the appropriate responses for these violations. Typically a range of enforcement actions are established, and the particular steps taken are determined by the severity of the violation. Whether or not it's a recurring event and the compliance history of the offending party. POTW's should be cautioned to make sure that the language in your ERP does not conflict with the sewer use ordinance.

Funding/Resources 40 CFR 403.8(f)(3)
The POTW must have sufficient resources and qualified personnel to carry out the authorities and procedures described in 40 CFR 403.8(1) and (2). EPA's intent since the onset of the pretreatment program has been that each individual program be self–sustaining. The industrial users that benefit from discharge into the POTW should incur the cost of the program rather than the citizens and taxpayers. Funding can be generated from permit fees, surcharge rates, inspection and monitoring fees and cost recovery for utilization of equipment for oversight activity. The rates that you charge for surcharges or permit fees may be driven by geography. That is, you want to be competitive with the neighboring communities, so that your industrial users are not enticed to relocate for economic reasons and these rates vary all across the country. For example, in Tennessee and Kentucky, the average BOD surcharge is about 23 cents a pound. Whereas out West, I have seen it closer to a dollar a pound. Both of these are competitive for their particular market area.

POTW Record Keeping Requirements 40 CFR 403.12(o)
POTWs must maintain general program files that document program development and implementation activities that are not Industrial user specific. Furthermore, pretreatment programs are required to maintain local limits, records of local limits during at least the effective date of the developed local limit and for three years after that. All information should be filed in an orderly manner and be readily accessible for inspection and copying by EPA and State representatives as well as the public. The pretreatment regulations specify that all information submitted to the POTW or State must be available to the public without restriction, except for confidential business information.

POTW Public Participation
One of the goals of the Clean Water Act Section 101(p) is public participation in the development, revision and enforcement of any regulation, standard, effluent limitation, plan or program established by EPA or any State. The General Pretreatment Regulations encourage public participation by requiring public notices or hearings for program approval, removal credit, program modifications, local limit development and modification and also any industrial users that are in significant noncompliance.

POTW Annual Reporting 40 CFR 403.12(i)
In accordance with 40 CFR 403.12 POTW's are required to submit annual reports to the approval authority, documenting programs that POTWs should check with their respective approval authorities for any required reporting format and frequency. In addition to the information listed here with respect to annual report, 40 CFR 122.42(b). requires POTWs to notify the Director of new pollutants or changes in discharge. All POTWs are required to provide adequate notice to the Director of any new introduction of pollutants into the POTW from an indirect discharger and also any substantial change in the volume or character pollutants that are being introduced into the Publicly Owned Treatment Works.

IU Responsibilities
And now we will move on to talk about some of the responsibilities that are associated with the industrial user specifically.

IU Notification Responsibilities
You see here on this slide a number of notification requirements that pertain to the industrial users. All Industrial users are required to notify the POTW immediately of any discharges that could cause problems. These discharges include spills, sludge loads or any other discharges that can cause a problem to the wastewater plant or the Publicly Owned Treatment Works. If monitoring performed by an industrial user is noncompliant, the industrial user is required to notify the POTW within 24 hours of becoming aware of a violation. In addition, the industrial user must repeat the sampling and announces for the pollutant and violation and report the results of the resample within 30 days of becoming aware of the original violation. The repeat sample is not required if the POTW samples the industrial user at least once per month or if the POTW samples the industrial user between the time of the original sample and the time the results of that sample were received. All industrial users are also required to promptly notify the control authority in advance of any substantial changes in the volume or character of pollutants in their discharge. As a general rule, changes greater than 20 percent are considered substantial. Also, industrial users should be notifying the POTW of any noncompliance or problem that might occur as a result of a bypass in their system.

CIU Reporting Requirements
Industrial users must notify the POTW of any change in the production level to calculate equivalent mass or equivalent concentration limits in the control mechanism. Baseline monitoring reports have the purpose of providing basic information on that particular industrial facility to the POTW. All categorical industries are required to submit baseline monitoring reports. And these help determine the wastewater discharge sampling points that will best provide oversight of waste that are coming from that facility. And also to help determine compliance with Categorical Pretreatment Standards. The Categorical Industries are also required to submit compliance schedule progress reports so that they can track progress of that particular facility through the duration of compliance schedule with the baseline monitoring report.

CIU Reporting Requirements continued
Other reports that may be submitted by the CIU includes 90 day compliance reports, which notify the POTW as to whether compliance with any applicable categorical standards have been achieved. And periodic compliance reports that provide the POTW with current information on the types of discharges that are coming from that industry and the compliance of that user. There is also waived pollutant reports that would alert the POTW of any waived pollutants that is found to be present or expected to be present of the changes that occur in the industrial user operations. For industries that are subject to middle tier classification, they are required to report to the POTW if they no longer meet conditions of 40 CFR 403.12(e)(3) (i) and (ii), which allow them that middle tier classification. If there are any upsets as the industrial user they are required to notify the POTW of whether they are unintentional or temporary noncompliance with standards. The CIU is also required to notify the POTW of that instances, of that nature.

Other SIU Reporting Requirements
Other reporting requirements that are applicable to all SIUs include this periodic compliance report that provide the latest information on the discharge of pollutants from an industry, regards to whether they are subject to categorical standards or local limits. POTWs must evaluate each Significant Industrial User to determine if that SIU needs a plan or other action to control slug discharges. If the POTW determines that a slug discharge control plan is needed, the SIU must submit a plan that contains at least the following items. A description of the discharge practices including non–retained back discharges, a description of stored chemicals, procedures for immediately notifying the POTW of slug discharges and procedures that they would follow up with including written notification within five days of the occurence. If necessary procedures to prevent adverse effects from accidental of spills, including inspecting and maintaining storage areas, handling and transferring materials, loading and unloading operations, controlling plant site runoff, worker training, building containment structures or equipment, measures for containing toxic organic pollutants or measures and equipment for emergency response.

All SIUs are required to conduct self–monitoring
All Significant Industrial Users, including categorical users, must conduct self–monitoring as part of several different reporting requirements noted earlier.

Signatory and Certification Requirements
For CIUs that includes baseline monitoring reports, 90 day compliance reports, periodic compliance reports. The requirement for each of these reports is found in 403.12 Paragraph B, D, and E respectively. Non–categorical SIUs are required to self–monitor as part of the periodic reporting requirements, in Paragraph H. of 403.12. Those reports must be based on data that were obtained through appropriate sampling and analysis performed during the period covered by the report and are representative conditions occurring during the reporting period. The monitoring must occur at a frequency necessary to assess and assure compliance by industrial users for applicable pretreatment standards and requirements. In cases where a violation is identified, the IU must repeat the sampling analysis for the pollution in violation and submit your results in 30 days of becoming aware of the violation.

The reports required by 403.12 Paragraph B, D, and E must be signed and certified by an authorized representative. Authorized personnel include corporate officers, if the industrial user is a Corporation, a partner or owner, if they are a partnership or sole proprietary. Authorization to sign reports can be delegated provided the proper protocol as outlined in 403.12(1)(iii) is provided. The reports listed here must be submitted in the certification statement found in 403.6(a)(2)(ii). This statement basically says that everything in the submitted report is accurate and true and that the signee is accepting responsibility for the information provided in that report.

IU Record Keeping Requirements 40 CFR 403.12(o)
Record keeping requirements are very similar for both industrial users and the POTW and requirements of sub paragraph two apply to both CIU and SIU. The three–year timeframe listed here would be extended during the course of any unresolved enforcement activity resulting from the discharge of pollutants from the industrial user. The details of monitoring including dates, times, location, method of sampling, these are just examples of the information that should be retained as well as the dates from analysis, the methods used and the identification of who performed the analytical work. Note that the best management practices that are utilized also covered under the regular retention umbrella.

Introduction to the National Pretreatment Program Manual
Okay, I am going to close that which is the few comments on the new introduction to the National Pretreatment Program Manual that EPA has just completed.

Introduction to the National Pretreatment Program Manual
It's been more than 12 years since this manual was last published, obviously there has been some major changes in the program since that time and that was the primary driver in getting this manual revised. For a short period of time there was a version of this manual available to the public back in April of this year, because EPA received several comments from State Pretreatment Coordinators that needed to be addressed the April 2011 version was archived. So if you had previously downloaded this manual, please check to see which version you have and make sure that you get the latest one that can now be downloaded. It can be downloaded from the link that you have here.

Major Changes
Some of the examples of the regulatory citations update in the revised manual include the definition for significant noncompliance and has been modified per the streamlining changes to 403 as well as a number of other 403 references throughout the manual. And also the topics of Cross Media Electronic Reporting Rule is discussed in Chapter five of the new guidance manual.

Topics in the Manual
Examples of some of the statistical information updated include, the number of treatment plants in the US, the number of POTWs with approved pretreatment programs, the number of SIUs. Headquarters has been working with each of the regional boards in the States, to try to keep this information updated through as late as possible. All reference materials listed in the document are also now available on EPA's website. The pollution prevention section found in Chapter seven has been expanded significantly to elaborate on the benefits for POTWs and for industrial users. Both water conservation as a pollution prevention measure, potential impediments to pollution prevention, and the last two pages of the manual provide a list of all of the pollution prevention assistance programs and some voluntary programs that have been established or created by EPA.

As you can see here the guidance manual covers everything that we discussed today as well as some additional program components such as hauled waste. Chapter six specifically talks about hauled waste and gives guidance on permitting and monitoring of these types of waste. I think that people that are new to the pretreatment program will find the manual especially helpful. It is also a great tool to present to your upper management or possibly the City Councils to give them a better understanding of why it is important to control these non–domestic dischargers and what is involved in this process. Thank you.

>> I–Hsin Lee
Poll Question 5
Thanks, Chuck. So, before we ask questions of our speakers, let's answer a poll question. Okay, let's see. The next poll question is which of the following best describes your agency? Are you participating as a POTW or a municipality? Or are you State Regulatory Office, a Federal Regulatory Office, an Environmental Organization? Are you an industry? And it looks like the questions are really pouring in. We have well over 100 questions submitted by our audience members. So we are going to try to queue up as many questions as possible. So let's turn it over to Christine to see if we can get a question from the audience.

Questions
>> Christine Wong
Okay here is a question that refers to Chuck's section. Can I permit an industrial user as an SIU, a Significant Industrial User, if the discharger does not discharge more than 25,000 gallons per day?

>> Chuck Durham
Thank you, Christine. Yes, you can. There's a Federal Regulation at 40 CFR 403.3 indicates that the control authority can designate the Industrial user as an SIU on the basis that the industrial user has reasonable potential for adversely affecting the POTW's operations or for violating any pretreatment standard.

>> I–Hsin Lee
Thanks, Chuck. Christine, do we have another question for Chuck?

>> Christine Wong
Yes, definitely. Here is an easy one. What is the difference between a permit and a control mechanism?

>> Chuck Durham
Okay. Permit is a type of control mechanism. The control authority can use any type of control mechanism whether it is a permit or an order as long as that mechanism controls the contribution to the POTW by the industrial user and ensures compliance with pretreatment standards and also that the control mechanism must contain all minimum Federal requirements, those requirements are found in 403.8(f)(1)(iii) Paragraph B.

>> I–Hsin Lee
Okay. It turns out Jan has something to say about the previous question about SIUs classifying something that does not discharge more than 25,000 gallons per day.

>> Jan Pickrel
Okay. I just like to mention that a industry that is subject to categorical industrial standards does not have to hit that 25,000 gallons per day threshold. Any industry that is subject to the categorical discharge pretreatment standards is a Significant Industrial User by default. And it starts out that way until determined otherwise.

>> I–Hsin Lee
Great. Thank you, Jan, for that follow–up. Let's see, we have some numbers in from our last poll question and it looks like the majority of our audience members are from a POTW or municipality at 58 percent and then 10 percent of you guys out there are other. So I am kind of curious what others might be. Let's see if we have another question from our audience members. Christine?

>> Christine Wong
Okay, Jan, it seems there is some confusion about some of the basic definitions so I think it would be good to go over that again. Some of the questions include what is the difference between an SIU and a CIU.

>> Jan Pickrel
Okay. A Categorical Industrial User by definition is first off a Significant Industrial User. You find this definition in 40 CFR 403.3(v) as in Virginia. You see the very second clause there is actually 403.3(v)(i) and then a little one the I, says that Significant Industrial User means, all industrial users subject to Categorical Pretreatment Standards under 403.6 and 40 CFR Chapter I, Subchapter N. We did, I believe, Christine told me here we were getting lots of questions about smaller discharges from Categorical Industrial Users and if they can be treated differently. Well, first off, like I said, they must be assumed to be significant until determined otherwise. Now the first thing in that same definition 403.3(v) and then number two defines a term of non–significant Categorical Industrial User. And that is where you might have a Categorical Industrial User that is not significant and therefore, not subject to those permitting requirements and other things that Chuck just recently talked about. And what you will see in that same definition is a whole bunch of preconditions that that industry must satisfy, in order for that control authority to agree and determine to call that industry not significant. You will see them there that that Categorical Industrial User must never discharge more than 100 gallons per day of the categorical wastewater, as well as must have consistently complied with all of the Categorical Pretreatment Standards and requirements. It will also have never discharged any untreated, concentrated wastewater and it must submit an annual certification statement saying, that it continues to satisfy all of those requirements. There actually is another whole category that is a middle tier Categorical Industrial User that still is a Significant Industrial User. It is just another subset of significant categorical. And its requirements and preconditions to qualify for that definition is under 40 CFR 403.12(e)(3). And just like the other one it has several conditions there that it must consistently meet. And basically, if you are an industry and you think you qualify, you need to go talk to your receiving POTW and to talk to your state to see if that is even offered in your jurisdiction.

>> I–Hsin Lee
Poll Question 6
Great thank you, Jan. So before our next question for our speakers, let's answer our very last poll question. Our very last poll question is since this is an introductory look into the National Pretreatment Program, what topic would you be interested in for the next Pretreatment 101 webcast? Would you be interested in a webcast dealing with legal authority, permitting, funding and resources, enforcement, or local limits? Please submit your vote now. Christine, I think we have a couple of more questions for our speakers. I will turn it over to you.

>> Christine Wong
Here is a question for Chuck. If you are new to a program and you notice that a previously permitted CIU is classified incorrectly, what should you do? Could you reclassify the facility and issue a new permit, even if the existing facilities permit has not yet expired?

>> Chuck Durham
Okay. Ask that again. I'm sorry. >> Christine Wong
If the facility has been incorrectly classified, can you repermit it with its correct classification even if the existing permit has not yet expired?

>> Chuck Durham
Yes, you can. All permits should also have a reopener clause in there that will allow you to do that. But the permits have to be specific to the discharge coming from that facility. So as a control authority you have the right to go in and reclassify and issue a permit that is appropriate for the discharge coming from that industry.

>> I–Hsin Lee
Great thank you, Chuck. We have the results of our last poll question and it looks like the majority of our audience members would like to see a local limits webcast next. So we will see what we can do about that at 37 percent. And then the following is enforcement. Okay. All right, now, Christine, we have a couple more questions.

>> Christine Wong
Here is another question for Chuck. Don't the Federal Regulations state that periodic compliance reports from CIUs have to be submitted during June and September? So can you revise the months that these reports are going to be submitted?

>> Chuck Durham
At the Federal Regs at 403.12 Paragraph (e)(i)state that the control authority may modify the months in which the reports are submitted. If the control authority modifies the months for a CIU or categorical periodic compliance reports, then it should keep in mind that these reports need to not exceed six month timeframe.

>> I–Hsin Lee
Great, thank you, Chuck. Here is an interesting number for our viewers today. According to our calculations, even though we only have 541 unique viewers because of the multiple participants in some of the facilities we have over 1,100 webcast viewers during our webcast today so that is fantastic for a Pretreatment 101 webcast. Christine. Questions?

>> Christine Wong
Okay, Jan, I think this question came because you mentioned a few times that pretreatment programs are authorized under a facility's NPDES permit. So the question is, and it just left me. Are pretreatment programs applicable to POTWs under different permit control mechanisms such as waste discharge requirements that are not NPDES permits?

>> Jan Pickrel
Okay. To quickly just make sure I have a full understanding, is pretreatment requirements required of industries discharging to Publicly Owned Treatment Works that might not discharge or do not discharge, right?

>> Christine Wong
I believe this is a question about the POTW. A POTW has a WDR instead of an NPDES permit, so can it have a pretreatment program?

>> Jan Pickrel
Okay, yeah. WDR is not used in all states as an acronym, sorry. All right, yes the distinction we have here is that a Publicly Owned Treatment Works is a Publicly Owned Treatment Works and under the Clean Water Act, Categorical Pretreatment Standards applied to industrial users of Publicly Owned Treatment Works. It does not specify that the Publicly Owned Treatment Works has to have a NPDES permit. It's more of the distinction that it's Publicly Owned Treatment Works. And in fact, this question has come up enough times that we have a memorandum that you can actually download off of the NPDES website, called Applicability of Categorical Pretreatment Standards to industrial users of non–discharging POTWs. And part of this again is as you recall, the Clean Water Act authorized several grants to municipalities for the treatment of wastewater. And that's why it's subject to the Publicly Owned Treatment Works and not just to those that discharge. You can find this memorandum at www.EPA.gov/NPDES/pretreatment and then there is a box in the right–hand side called publications. Please click on it, and then go over to policy and guidance in the center of the page and click on it. And if you have it sorted alphabetically, it's the very top memorandum. It is dated June 27th, 1985, and it is titled, Applicability of Categorical Pretreatment Standards to Industrial Users of Non–Discharging POTWs. Again to find that it's at www.EPA.gov/NPDES/pretreatment and then hit the publications button on the right–hand side of the screen and then policy and guidance, in the middle of the screen and then it is alphabetically the very top document. And indeed whether or not there is a discharge or not, the pretreatment program does apply because it is a Publicly Owned Treatment Works.

>> I–Hsin Lee
Thank you, Jan. So, before we continue with our question and answer session, I want to remind everyone that this presentation will be archived, so you can access it after today's live presentation. The archived webcast will be posted in a couple of weeks on EPA's NPDES website. Before we continue, we have a survey that will appear on your screen. Please consider completing the survey so we will know what you think of today's presentation. We do appreciate your feedback as we work to improve our webcasts. Let's see a couple more questions, Christine?

>> Christine Wong
This question can be either for Jan or Chuck it's one of the basic definition questions that I think we should clarify. What is the distinction between a direct and an indirect discharge? This is pretty important for pretreatment.

>> Jan Pickrel
Well okay, I guess I will first take a stab at it and see if Chuck wants to add onto mine, especially since I just started or just finished a discussion of a non–discharge versus a direct discharge versus an indirect discharge. Okay. A direct discharge is a discharge to a water of the US, like the pipe going directly to the stream, the river. An indirect discharge is a discharge that first goes to a POTW, into the POTW owned pipes and then is treated by the POTW and then the POTW, the direct discharger or as we previously discussed the non–direct discharger and then might have the NPDES permit. So direct is directly to the stream. Indirect is to the POTW and then out. Chuck, do you want to add to any of that?

>> Chuck Durham
It is pretty much summarized.

>> I–Hsin Lee
Okay, let's see if we have any more questions, Christine?

>> Christine Wong
Okay. There seems to be several questions about local limits. So let's start from the beginning. Are local limits enforceable by EPA and how are they enforced? So who wants to take a stab at this? Chuck or Jan?

>> Chuck Durham
I mean, local limits are enforceable by the POTW, they are not Federal limits. So they are not enforceable from the standpoint of EPA is going to call them a violation of Federal standards. But if you continue to not comply with local limits and you know, hopefully the control authority is going to be the one to take enforcement action. If it gets to the point where they are not then EPA may step in or the State depending on the approval authority is and take enforcement action and consider violations to those local limits in the accumulation of enforcement that is going to take place as evidence. But the local limits are imposed by the local control authority.

>> I–Hsin Lee
Oh! I think Jan here has something to add. Jan?

>> Jan Pickrel
Okay. Thank you, I–Hsin. Yes, local limits are to be developed by the POTW, because the POTW should know and be most aware of the industries that are discharging to it as well as the requirements that are being imposed on it not just under the Clean Water Act, but potentially even the Clean Air Act. However, we do have a definition in 40 CFR 403.5(d) as in David that says where specific prohibitions or limits on pollutants or pollutant parameters are developed by a POTW, in accordance to paragraph C above; such limits shall be deemed pretreatment standards for the purposes of Section 307 D of the Act. And definition of pretreatment standards mean, as we discussed before, we have three types of pretreatment standards and so if those local limits are properly developed and approved EPA can enforce them. But for the approved Pretreatment POTW Program, we do generally want the POTW to be on the forefront to enforce those pretreatment standards and then only have to step in when necessary.

>> Christine Wong
Okay I think I have a follow–up question that is a good clarification to what Chuck and Jan both asked. So, if you have local limits and you have categorical standards for a CIU, which ones apply? Which limits apply? The local limits or the Categorical Standards?

>> Chuck Durham
Okay. And you have to determine –– that would depend on the sampling point, they both apply, but you would be required then by the industry to meet the more stringent of the two, assuming that the limits are same you know, like daily max versus daily max. You would compare the two, and the more stringent is the one that they would have to meet for the purpose of compliance with the permit. But that is assuming that the local limits and the Categorical Standards are being implemented in the same manner. If local limits are instantaneous maximum for instance, or most Categorical Standards are daily max values and monthly average value, they would have to comply with all three.

>> Jan Pickrel
Okay. I will just pop in, because as you can tell by Chuck's response, that is a much developed question and much developed answer that it sounds like it is one of those questions that is queuing up the next broadcast of our Pretreatment 101 Series. In short, Categorical Standards apply at the end of that categorical process. And you might have other processes that are coming in before it actually, that industry's wastewater discharge goes out into the POTW and at that point that's where the local limits apply. But if you only have one discharge point it's the more stringent of the two. For that one process with one discharge without it joining the other, but actually stay tuned for the next Pretreatment 101 broadcast on local limits to clarify and even give you diagrams of what all is meant by that question.

>> I–Hsin Lee
Okay. So before we continue on with the questions and answers. Just a quick reminder for everyone. In order to submit the survey, please complete all fields including typing in what you would like to see in future webcasts. If it is not a 101 series if you would like to see a more like a 201 or 200 series webcast with a little bit more in–depth information, please type that in that field. Okay, let's see, Christine. Questions?

>> Christine Wong
We have another definition question about Significant Noncompliance, which is a term we used I believe in Chuck's section. So, Chuck, do you want to give that definition a shot?

>> Chuck Durham
I'm sorry, say that again, Christine.

>> Christine Wong
We had a question about the definition of Significant Noncompliance.

>> Chuck Durham
Okay, yeah. The definition of Significant Noncompliance includes, that is a little detailed for this I think, but any violations of a pretreatment standard, if you have more than 66 percent of the values exceed a permitted limit. So it would be considered SNC or if more than 33 percent of those measured values exceeds the technical review criteria, then they would also be in Significant Noncompliance and there are four or five other parameters that are included in that definition, including a submittal of late report more than 45 days past the due date and they would be considered a Significant Noncompliance as well. And I think the failure to meet, like we talked about the reporting requirements failure to meet 90 day compliance reporting period, it is same for that nature, but also, only the definition of SNC.

>> I–Hsin Lee
Great, Jen, did you have anything to add?

>> Jan Pickrel
I would just give you a point of reference. In the Federal Regulations, you can find that definition all written out for you at 40 CFR 403.8(f) as in Frank, and then little viii little 8.

>> I–Hsin Lee
Participation Certificate
Great, thank you. At this point, you should be able to see a certificates button on the top of your presentation. When you get a chance, please click on that link and you will be able to download your certificate of participation for this webcast. Now, if you have more than one participant in your room listening to this webcast we will be providing you a link for additional certificates that you can print out. So, Christine let's continue with the questions.

>> Christine Wong
Here is a question for Chuck on IU responsibilities. As an industrial user, I think I might be subject to categorical requirements but the city that I am located in has not required that I be permitted. So what shall I do? Do I still have reporting requirements?

>> Chuck Durham
Okay. First, you need to contact your local POTW to discuss the concerns that you have. If the POTW chooses not to permit, so it does not have a Pretreatment Program, then you can contact the State or Regional Environmental Agency. Just a reminder, that if you are a Categorical Industrial User, the pretreatment standards for that category and the requirements that are found in the Federal standards are self–implementing. And that means that if the local POTW fails to identify you as a categorical industrial and permits you in that manner, then you are still required to comply with all those Categorical Standards and requirements.

>> I–Hsin Lee
Great. Thank you. Another quick reminder, if you have not done so and would like to do so, don't forget to download today's slides by clicking on the download button. Otherwise you would have to wait until the webcast is archived to see these slides again. Okay. Questions, Christine?

>> Christine Wong
Chuck, I know we talked about enforcement response plans a little bit and I think the questions indicate that we should elaborate on that. We have some questions asking, how does a POTW take enforcement action if an industrial user is in violation with their permit?

>> Chuck Durham
How does the POTW take enforcement action? It would depend on the actions that they have identified in their ordinance and in their enforcement response plan. But what they would need to look at, based on the type of violation that occurs, they would look in the enforcement response plan or guide. And whether it is a permit violation or a reporting violation they would then look at the options that they have available, with respect to action, whether it is you know verbal warning, written notices of violations or administrative orders of some nature. And then based on the severity of the violation, they would need to make a determination as to what action would be taken and then follow that. The important thing is that they adhere to the components in their enforcement response plan, so that they are sure that they are treating all types of similar violations in an equitable manner.

>> I–Hsin Lee
Great. Jan, did you have anything to add to that for our audience numbers?

>> Jan Pickrel
Yes. I would just like to point out that earlier we discussed that there is a resources document that you can download from the top of your screen. And there is a guidance manual available and listed on this resource document for development of an enforcement response plan. And so I hope you will find that useful.

>> I–Hsin Lee
Okay so before we continue, I noticed we are having some or some of our audience members are having difficulty downloading the certificate, because they had to be reopen or restart their player so in the next slide, you will find a link to our certificate. So if you could not open the link that is in your webcast, the following is a link where you can download the certificate, and type in the name and date of the webcast. So, this is an important thing to note and jot down if you have a chance. So that should solve a majority of the certificate problems. Christine let's continue with questions.

>> Christine Wong
Okay guys, how often do we need to survey industrial users? So conduct an industrial waste survey to find Industrial users I guess in a POTW service area? Jan or Chuck?

>> Jan Pickrel
Okay. Actually for a POTW, on just good practices you should be aware of all the dischargers to your system for two reasons. One, you are probably billing them and that's how you stay in business. But two, on the pollutant level you should be aware of and concerned with what is the pollutant loading for all pollutants and what is the quantity of wastewater coming into your system. So I would urge you to work with the other organizations in your municipal government to try and implement a program so that you are continually made aware of facilities or businesses that apply to connect to your system. Because you want to ensure that you know what is coming in before it comes in because again this is a proactive program that you don't want to have to react to a problem occurring at your plant and interference situation. You want to be aware of what is coming in as it comes in. Then, as a matter of your NPDES permit regulations, there is a requirement in 40 CFR Part 122.44(j). actually 44 J., that says that a standard condition in a POTW permit should be that you survey your industrial users. If you have a pretreatment program it is a requirement under the pretreatment regulations that you submit an annual report to either your State or EPA depending on who is your approval authority, that outlines the new hookups of industries or the ones that might actually make changes to that list and those that also go away. So you would be reporting back to the State or EPA the changes on your list of industrial users. And so that certainly says you are doing it on an annual basis at a minimum to report back to EPA or the state even though we strongly recommend for your own protection that you as a POTW should be aware of all applications to discharge to your POTW, before they happen so that you can review them and place controls if necessary.

>> I–Hsin Lee
Thank you, Jan. So just a quick reminder, we are wrapping up all our questions. So if you have questions that you are waiting to ask, please do so at this time. Christine, I think we have a couple more questions.

>> Christine Wong
Here is a quick, but important one. Chuck, do changed conditions include decreases to pollutant discharge or flow?

>> Chuck Durham
Yes. They are included. 20 percent difference in discharge of pollutants concentration or flow, plus or minus if compare to significant change so you know, particularly when you have, if you are talking about a production–based facility that would be significant. In most cases, for just non–categorical industries changes in process where you are decreasing the level of pollutants are not as much of a concern to the POTW, because you have less of an impact. But they would meet that definition of 20 percent plus or minus.

>> I–Hsin Lee
Thank you, Chuck. Next question, Christine.

>> Christine Wong
I know we are going to answer this in our next Pretreatment 101 about local limits but we had it a few times. So, in general, how often or frequently are control authorities required to recalculate their local limits or to evaluate their local limits? I think we will start with Jan on this one.

>> Jan Pickrel
Okay, if you go back into the NPDES permit regulations there is a requirement that the POTW with an approved pretreatment program reviews and reevaluates its local limits soon after getting its new permit, to insure that any new permit requirements are addressed with the local limits. Certainly, Chuck was just talking about changes that might be occurring at the industries. If there are changes to the industries, the POTW might want to reevaluate to ensure that those local limits that it had been imposing are still valid and are still protective of the plant. Certainly if there has been an instance of pass–through or interference detected the POTW should be reevaluating to ensure that there are some, if there is something more that it can do. This is actually a topic discussed in our 2004 local limits development guidance. It is listed on the resource document that I keep talking about and suggesting that you download from the top of your screen. It is called Local Limits Development Guidance.

>> I–Hsin Lee
Great. It looks like we have time for about two more questions. Christine?

>> Christine Wong
Okay, here is a quick one. How would you extend a permit that has become expired? Who would like to take that one? Chuck?

>> Chuck Durham
I think Jan has actually addressed this to the listserv. So I was going to let her just repeat some of the things she talked about there.

>> I–Hsin Lee
Okay, Jan.

>> Jan Pickrel
Okay, first of all, an expired permit is an expired permit. That is already signaling that something is happening that you need to make sure does not happen. The Federal Regulations for the Pretreatment Program specify that Significant Industrial User permits should not extend beyond five years. The National Pretreatment Program Regulations themselves do not discuss the ability to extend those permits for any reason. So, what I would suggest someone does if they are thinking about administratively continuing a permit, is find out if they have the authority to even do so. Different states have different requirements and allowances that they bestow unto their different types of municipalities. As well as the more permits that might be expired or the longer that a permit might be expired, actually is signaling something is wrong with the implementation of a POTW's Pretreatment Program. Something is not happening well. And so you basically need to find out why this permit expiration is happening. There are different abilities that are given under the NPDES Program, such as administratively continuing permits, or for this –– an example to give you is that NPDES permits have a thing called permit as a shield. And that is not a concept that is bestowed on the Pretreatment Program. And so it is possible that administrative continuance of permits is not available at all for the Pretreatment Program particularly in your State. Not to belabor what the permit as a shield is, it was basically that if the discharger told the permitting authority that they have certain pollutants and the permitting authority does not limit that pollutant, the NPDES permit acts as a shield and it is okay. That is not available in the pretreatment program, for example. That's why we keep talking about how the Categorical Pretreatment Standards are self–implementing. If the Categorical Industry does not have a permit, they must still comply with the Categorical Industrial Standards and the regulations are actually very specific that you must still submit reports and be in compliance.

>> I–Hsin Lee
Great thank you, Jan. So, one more question before we wrap up today, Christine?

>> Christine Wong
Okay. This is important because we discussed it during Jan's portion. What is the difference between a new source pretreatment standard or an existing source of pretreatment standard, how are they different and how are they applied?

>> I–Hsin Lee
That's an interesting question, Jan. Let's see. Ready?

>> Jan Pickrel
Okay. New source and existing source for effluent guidelines is actually determined based on the year of promulgation of those standards. Existing sources typically have a cost allowance that is factored in because we recognize that it is more difficult for an industry to retrofit its facility then perhaps an industry building from the ground up. Knowing what its limits are going to be before it even discharges. So quite frequently an existing source standard is a bit less stringent then the new source standards. However, let's say that industry adds another product line. It might be possible that you have one product line in a facility that is subject to the existing source standards, and another product line subject to the new source standards. And actually for more information on this, I will again refer you to the resources document; there is a guidance in there called, New Source States for Direct and Indirect Dischargers, dated September 2006. And it will focus you on where the exact definitions are, as well as give you the dates for the various industries and hope that answers all your questions.

>> I–Hsin Lee
Contact Information
Great. Thank you, Chuck and Jan, for answering all those questions. Like I mentioned before, there were well over 100 questions submitted today. So we could not answer all of these questions, but I have posted our speakers' contact information, so if you would like to ask those questions to our speakers at a later time and date, please e–mail them or call them directly. So at this time, I would like to conclude today's webcast and thank again are two speakers, Jan and Chuck. And of course thank everyone for who has joined us today and of course make sure to check back on EPA's website for future Pretreatment 101 webcast series and thank you and this ends our webcast today.