[Code of Federal Regulations]
[Title 40, Volume 25]
[Revised as of July 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 40CFR403.12]

[Page 35-42]
 
                   TITLE 40--PROTECTION OF ENVIRONMENT
 
         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
 
PART 403--GENERAL PRETREAT- MENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION--Table of Contents
 
Sec. 403.12  Reporting requirements for POTW's and industrial users.

    (a) Definition. The term Control Authority as it is used in this 
section refers to: (1) The POTW if the POTW's Submission for its 
pretreatment program (Sec. 403.3(t)(1)) has been approved in accordance 
with the requirements of Sec. 403.11; or (2) the Approval Authority if 
the Submission has not been approved.
    (b) Reporting requirements for industrial users upon effective date 
of categorical pretreatment standard--baseline report. Within 180 days 
after the effective date of a categorical Pretreatment Standard, or 180 
days after the final administrative decision made upon a category 
determination submission under Sec. 403.6(a)(4), whichever is later, 
existing Industrial Users subject to such categorical Pretreatment 
Standards and currently discharging to or scheduled to discharge to a 
POTW shall be required to submit to the Control Authority a report which 
contains the information listed in paragraphs (b)(1)-(7) of this 
section. At least 90 days prior to commencement of discharge, New 
Sources, and sources that become Industrial Users subsequent to the 
promulgation of an applicable categorical Standard, shall be required to 
submit to the Control Authority a report which contains the information 
listed in paragraphs (b)(1)-(5) of this section. New sources shall also 
be required to include in this report information on the method of 
pretreatment the source intends to use to meet applicable pretreatment 
standards. New Sources shall give estimates of the information requested 
in paragraphs (b) (4) and (5) of this section:
    (1) Identifying information. The User shall submit the name and 
address of the facility including the name of the operator and owners;

[[Page 36]]

    (2) Permits. The User shall submit a list of any environmental 
control permits held by or for the facility;
    (3) Description of operations. The User shall submit a brief 
description of the nature, average rate of production, and Standard 
Industrial Classification of the operation(s) carried out by such 
Industrial User. This description should include a schematic process 
diagram which indicates points of Discharge to the POTW from the 
regulated processes.
    (4) Flow measurement. The User shall submit information showing the 
measured average daily and maximum daily flow, in gallons per day, to 
the POTW from each of the following:
    (i) Regulated process streams; and
    (ii) Other streams as necessary to allow use of the combined 
wastestream formula of Sec. 403.6(e). (See paragraph (b)(5)(v) of this 
section.)

The Control Authority may allow for verifiable estimates of these flows 
where justified by cost or feasibility considerations.
    (5) Measurement of pollutants. (i) The user shall identify the 
Pretreatment Standards applicable to each regulated process;
    (ii) In addition, the User shall submit the results of sampling and 
analysis identifying the nature and concentration (or mass, where 
required by the Standard or Control Authority) of regulated pollutants 
in the Discharge from each regulated process. Both daily maximum and 
average concentration (or mass, where required) shall be reported. The 
sample shall be representative of daily operations;
    (iii) A minimum of four (4) grab samples must be used for pH, 
cyanide, total phenols, oil and grease, sulfide, and volatile organics. 
For all other pollutants, 24-hour composite samples must be obtained 
through flow-proportional composite sampling techniques where feasible. 
The Control Authority may waive flow-proportional composite sampling for 
any Industrial User that demonstrates that flow-proportional sampling is 
infeasible. In such cases, samples may be obtained through time-
proportional composite sampling techniques or through a minimum of four 
(4) grab samples where the User demonstrates that this will provide a 
representative sample of the effluent being discharged.
    (iv) The User shall take a minimum of one representative sample to 
compile that data necessary to comply with the requirements of this 
paragraph.
    (v) Samples should be taken immediately downstream from pretreatment 
facilities if such exist or immediately downstream from the regulated 
process if no pretreatment exists. If other wastewaters are mixed with 
the regulated wastewater prior to pretreatment the User should measure 
the flows and concentrations necessary to allow use of the combined 
wastestream formula of Sec. 403.6(e) in order to evaluate compliance 
with the Pretreatment Standards. Where an alternate concentration or 
mass limit has been calculated in accordance with Sec. 403.6(e) this 
adjusted limit along with supporting data shall be submitted to the 
Control Authority;
    (vi) Sampling and analysis shall be performed in accordance with the 
techniques prescribed in 40 CFR part 136 and amendments thereto. Where 
40 CFR part 136 does not contain sampling or analytical techniques for 
the pollutant in question, or where the Administrator determines that 
the part 136 sampling and analytical techniques are inappropriate for 
the pollutant in question, sampling and analysis shall be performed by 
using validated analytical methods or any other applicable sampling and 
analytical procedures, including procedures suggested by the POTW or 
other parties, approved by the Administrator;
    (vii) The Control Authority may allow the submission of a baseline 
report which utilizes only historical data so long as the data provides 
information sufficient to determine the need for industrial pretreatment 
measures;
    (viii) The baseline report shall indicate the time, date and place, 
of sampling, and methods of analysis, and shall certify that such 
sampling and analysis is representative of normal work cycles and 
expected pollutant Discharges to the POTW;
    (6) Certification. A statement, reviewed by an authorized 
representative of the Industrial User (as defined in

[[Page 37]]

paragraph (k) of this section) and certified to by a qualified 
professional, indicating whether Pretreatment Standards are being met on 
a consistent basis, and, if not, whether additional operation and 
maintenance (O and M) and/or additional pretreatment is required for the 
Industrial User to meet the Pretreatment Standards and Requirements; and
    (7) Compliance schedule. If additional pretreatment and/or O and M 
will be required to meet the Pretreatment Standards; the shortest 
schedule by which the Industrial User will provide such additional 
pretreatment and/or O and M. The completion date in this schedule shall 
not be later than the compliance date established for the applicable 
Pretreatment Standard.
    (i) Where the Industrial User's categorical Pretreatment Standard 
has been modified by a removal allowance (Sec. 403.7), the combined 
wastestream formula (Sec. 403.6(e)), and/or a Fundamentally Different 
Factors variance (Sec. 403.13) at the time the User submits the report 
required by paragraph (b) of this section, the information required by 
paragraphs (b)(6) and (7) of this section shall pertain to the modified 
limits.
    (ii) If the categorical Pretreatment Standard is modified by a 
removal allowance (Sec. 403.7), the combined wastestream formula 
(Sec. 403.6(e)), and/or a Fundamentally Different Factors variance 
(Sec. 403.13) after the User submits the report required by paragraph 
(b) of this section, any necessary amendments to the information 
requested by paragraphs (b)(6) and (7) of this section shall be 
submitted by the User to the Control Authority within 60 days after the 
modified limit is approved.
    (c) Compliance schedule for meeting categorical Pretreatment 
Standards. The following conditions shall apply to the schedule required 
by paragraph (b)(7) of this section:
    (1) The schedule shall contain increments of progress in the form of 
dates for the commencement and completion of major events leading to the 
construction and operation of additional pretreatment required for the 
Industrial User to meet the applicable categorical Pretreatment 
Standards (e.g., hiring an engineer, completing preliminary plans, 
completing final plans, executing contract for major components, 
commencing construction, completing construction, etc.).
    (2) No increment referred to in paragraph (c)(1) of this section 
shall exceed 9 months.
    (3) Not later than 14 days following each date in the schedule and 
the final date for compliance, the Industrial User shall submit a 
progress report to the Control Authority including, at a minimum, 
whether or not it complied with the increment of progress to be met on 
such date and, if not, the date on which it expects to comply with this 
increment of progress, the reason for delay, and the steps being taken 
by the Industrial User to return the construction to the schedule 
established. In no event shall more than 9 months elapse between such 
progress reports to the Control Authority.
    (d) Report on compliance with categorical pretreatment standard 
deadline. Within 90 days following the date for final compliance with 
applicable categorical Pretreatment Standards or in the case of a New 
Source following commencement of the introduction of wastewater into the 
POTW, any Industrial User subject to Pretreatment Standards and 
Requirements shall submit to the Control Authority a report containing 
the information described in paragraphs (b) (4)-(6) of this section. For 
Industrial Users subject to equivalent mass or concentration limits 
established by the Control Authority in accordance with the procedures 
in Sec. 403.6(c), this report shall contain a reasonable measure of the 
User's long term production rate. For all other Industrial Users subject 
to categorical Pretreatment Standards expressed in terms of allowable 
pollutant discharge per unit of production (or other measure of 
operation), this report shall include the User's actual production 
during the appropriate sampling period.
    (e) Periodic reports on continued compliance. (1) Any Industrial 
User subject to a categorical Pretreatment Standard, after the 
compliance date of such Pretreatment Standard, or, in the case of a New 
Source, after commencement of the discharge into the POTW, shall

[[Page 38]]

submit to the Control Authority during the months of June and December, 
unless required more frequently in the Pretreatment Standard or by the 
Control Authority or the Approval Authority, a report indicating the 
nature and concentration of pollutants in the effluent which are limited 
by such categorical Pretreatment Standards. In addition, this report 
shall include a record of measured or estimated average and maximum 
daily flows for the reporting period for the Discharge reported in 
paragraph (b)(4) of this section except that the Control Authority may 
require more detailed reporting of flows. At the discretion of the 
Control Authority and in consideraton of such factors as local high or 
low flow rates, holidays, budget cycles, etc., the Control Authority may 
agree to alter the months during which the above reports are to be 
submitted.
    (2) Where the Control Authority has imposed mass limitations on 
Industrial Users as provided for by Sec. 403.6(d), the report required 
by paragraph (e)(1) of this section shall indicate the mass of 
pollutants regulated by Pretreatment Standards in the Discharge from the 
Industrial User.
    (3) For Industrial Users subject to equivalent mass or concentration 
limits established by the Control Authority in accordance with the 
procedures in Sec. 403.6(c), the report required by paragraph (e)(1) 
shall contain a reasonable measure of the User's long term production 
rate. For all other Industrial Users subject to categorical Pretreatment 
Standards expressed only in terms of allowable pollutant discharge per 
unit of production (or other measure of operation), the report required 
by paragraph (e)(1) shall include the User's actual average production 
rate for the reporting period.
    (f) Notice of potential problems, including slug loading. All 
categorical and non-categorical Industrial Users shall notify the POTW 
immediately of all discharges that could cause problems to the POTW, 
including any slug loadings, as defined by Sec. 403.5(b), by the 
Industrial User.
    (g) Monitoring and analysis to demonstrate continued compliance. (1) 
The reports required in paragraphs (b), (d), and (e) of this section 
shall contain the results of sampling and analaysis of the Discharge, 
including the flow and the nature and concentration, or production and 
mass where requested by the Control Authority, of pollutants contained 
therein which are limited by the applicable Pretreatment Standards. This 
sampling and analysis may be performed by the Control Authority in lieu 
of the Industrial User. Where the POTW performs the required sampling 
and analysis in lieu of the Industrial User, the User will not be 
required to submit the compliance certification required under 
Secs. 403.12(b) (6) and 403.12(d). In addition, where the POTW itself 
collects all the information required for the report, including flow 
data, the Industrial User will not be required to submit the report.
    (2) If sampling performed by an Industrial User indicates a 
violation, the user shall notify the Control Authority within 24 hours 
of becoming aware of the violation. The User shall also repeat the 
sampling and analysis and submit the results of the repeat analysis to 
the Control Authority within 30 days after becoming aware of the 
violation, except the Industrial User is not required to resample if:
    (i) The Control Authority performs sampling at the Industrial User 
at a frequency of at least once per month, or
    (ii) The Control Authority performs sampling at the User between the 
time when the User performs its initial sampling and the time when the 
User receives the results of this sampling.
    (3) The reports required in paragraph (e) of this section shall be 
based upon data obtained through appropriate sampling and analysis 
performed during the period covered by the report, which data is 
representative of conditions occurring during the reporting period. The 
Control Authority shall require that frequency of monitoring necessary 
to assess and assure compliance by Industrial Users with applicable 
Pretreatment Standards and Requirements.
    (4) All analyses shall be performed in accordance with procedures 
established by the Administrator pursuant to section 304(h) of the Act 
and contained in 40 CFR part 136 and amendments thereto or with any 
other test procedures

[[Page 39]]

approved by the Administrator. (See, Secs. 136.4 and 136.5.) Sampling 
shall be performed in accordance with the techniques approved by the 
Administrator. Where 40 CFR part 136 does not include sampling or 
analytical techniques for the pollutants in question, or where the 
Administrator determines that the part 136 sampling and analytical 
techniques are inappropriate for the pollutant in question, sampling and 
analyses shall be performed using validated analytical methods or any 
other sampling and analytical procedures, including procedures suggested 
by the POTW or other parties, approved by the Administrator.
    (5) If an Industrial User subject to the reporting requirement in 
paragraph (e) of this section monitors any pollutant more frequently 
than required by the Control Authority, using the procedures prescribed 
in paragraph (g)(4) of this section, the results of this monitoring 
shall be included in the report.
    (h) Reporting requirements for Industrial Users not subject to 
categorical Pretreatment Standards. The Control Authority shall require 
appropriate reporting from those Industrial Users with discharges that 
are not subject to categorical Pretreatment Standards. Significant 
Noncategorical Industrial Users shall submit to the Control Authority at 
least once every six months (on dates specified by the Control 
Authority) a description of the nature, concentration, and flow of the 
pollutants required to be reported by the Control Authority. These 
reports shall be based on sampling and analysis performed in the period 
covered by the report, and performed in accordance with the techniques 
described in 40 CFR part 136 and amendments thereto. Where 40 CFR part 
136 does not contain sampling or analytical techniques for the pollutant 
in question, or where the Administrator determines that the part 136 
sampling and analytical techniques are inappropriate for the pollutant 
in question, sampling and analysis shall be performed by using validated 
analytical methods or any other applicable sampling and analytical 
procedures, including procedures suggested by the POTW or other persons, 
approved by the Administrator. This sampling and analysis may be 
performed by the Control Authority in lieu of the significant 
noncategorical industrial user. Where the POTW itself collects all the 
information required for the report, the noncategorical significant 
industrial user will not be required to submit the report.
    (i) Annual POTW reports. POTWs with approved Pretreatment Programs 
shall provide the Approval Authority with a report that briefly 
describes the POTW's program activities, including activities of all 
participating agencies, if more than one jurisdiction is involved in the 
local program. The report required by this section shall be submitted no 
later than one year after approval of the POTW's Pretreatment Program, 
and at least annually thereafter, and shall include, at a minimum, the 
following:
    (1) An updated list of the POTW's Industrial Users, including their 
names and addresses, or a list of deletions and additions keyed to a 
previously submitted list. The POTW shall provide a brief explanation of 
each deletion. This list shall identify which Industrial Users are 
subject to categorical pretreatment Standards and specify which 
Standards are applicable to each Industrial User. The list shall 
indicate which Industrial Users are subject to local standards that are 
more stringent than the categorical Pretreatment Standards. The POTW 
shall also list the Industrial Users that are subject only to local 
Requirements.
    (2) A summary of the status of Industrial User compliance over the 
reporting period;
    (3) A summary of compliance and enforcement activities (including 
inspections) conducted by the POTW during the reporting period;
    (4) A summary of changes to the POTW's pretreatment program that 
have not been previously reported to the Approval Authority; and
    (5) Any other relevant information requested by the Approval 
Authority.
    (j) Notification of changed discharge. All Industrial Users shall 
promptly notify the POTW in advance of any substantial change in the 
volume or character of pollutants in their discharge, including the 
listed or characteristic

[[Page 40]]

hazardous wastes for which the Industrial User has submitted initial 
notification under 40 CFR 403.12(p).
    (k) Compliance schedule for POTW's. The following conditions and 
reporting requirements shall apply to the compliance schedule for 
development of an approvable POTW Pretreatment Program required by 
Sec. 403.8.
    (1) The schedule shall contain increments of progress in the form of 
dates for the commencement and completion of major events leading to the 
development and implementation of a POTW Pretreatment Program (e.g., 
acquiring required authorities, developing funding mechanisms, acquiring 
equipment);
    (2) No increment referred to in paragraph (h)(1) of this section 
shall exceed nine months;
    (3) Not later than 14 days following each date in the schedule and 
the final date for compliance, the POTW shall submit a progress report 
to the Approval Authority including, as a minimum, whether or not it 
complied with the increment of progress to be met on such date and, if 
not, the date on which it expects to comply with this increment of 
progress, the reason for delay, and the steps taken by the POTW to 
return to the schedule established. In no event shall more than nine 
months elapse between such progress reports to the Approval Authority.
    (l) Signatory requirements for industrial user reports. The reports 
required by paragraphs (b), (d), and (e) of this section shall include 
the certification statement as set forth in Sec. 403.6(a)(2)(ii), and 
shall be signed as follows:
    (1) By a responsible corporate officer, if the Industrial User 
submitting the reports required by paragraphs (b), (d) and (e) of this 
section is a corporation. For the purpose of this paragraph, a 
responsible corporate officer means (i) a president, secretary, 
treasurer, or vice-president of the corporation in charge of a principal 
business function, or any other person who performs similar policy- or 
decision-making functions for the corporation, or (ii) the manager of 
one or more manufacturing, production, or operation facilities employing 
more than 250 persons or having gross annual sales or expenditures 
exceeding $25 million (in second-quarter 1980 dollars), if authority to 
sign documents has been assigned or delegated to the manager in 
accordance with corporate procedures.
    (2) By a general partner or proprietor if the Industrial User 
submitting the reports required by paragraphs (b), (d) and (e) of this 
section is a partnership or sole proprietorship respectively.
    (3) By a duly authorized representative of the individual designated 
in paragraph (l)(1) or (l)(2) of this section if:
    (i) The authorization is made in writing by the individual described 
in paragraph (l)(1) or (l)(2);
    (ii) The authorization specifies either an individual or a position 
having responsibility for the overall operation of the facility from 
which the Industrial Discharge originates, such as the position of plant 
manager, operator of a well, or well field superintendent, or a position 
of equivalent responsibility, or having overall responsibility for 
environmental matters for the company; and
    (iii) the written authorization is submitted to the Control 
Authority.
    (4) If an authorization under paragraph (l)(3) of this section is no 
longer accurate because a different individual or position has 
responsibility for the overall operation of the facility, or overall 
responsibility for environmental matters for the company, a new 
authorization satisfying the requirements of paragraph (l)(3) of this 
section must be submitted to the Control Authority prior to or together 
with any reports to be signed by an authorized representative.
    (m) Signatory requirements for POTW reports. Reports submitted to 
the Approval Authority by the POTW in accordance with paragraph (h) of 
this section must be signed by a principal executive officer, ranking 
elected official or other duly authorized employee if such employee is 
responsible for overall operation of the POTW.
    (n) Provisions Governing Fraud and False Statements: The reports and 
other documents required to be submitted or maintained under this 
section shall be subject to:
    (1) The provisions of 18 U.S.C. section 1001 relating to fraud and 
false statements;

[[Page 41]]

    (2) The provisions of sections 309(c)(4) of the Act, as amended, 
governing false statements, representation or certification; and
    (3) The provisions of section 309(c)(6) regarding responsible 
corporate officers.
    (o) Record-keeping requirements. (1) Any Industrial User and POTW 
subject to the reporting requirements established in this section shall 
maintain records of all information resulting from any monitoring 
activities required by this section. Such records shall include for all 
samples:
    (i) The date, exact place, method, and time of sampling and the 
names of the person or persons taking the samples;
    (ii) The dates analyses were performed;
    (iii) Who performed the analyses;
    (iv) The analytical techniques/methods use; and
    (v) The results of such analyses.
    (2) Any Industrial User or POTW subject to the reporting 
requirements established in this section shall be required to retain for 
a minimum of 3 years any records of monitoring activities and results 
(whether or not such monitoring activities are required by this section) 
and shall make such records available for inspection and copying by the 
Director and the Regional Administrator (and POTW in the case of an 
Industrial User). This period of retention shall be extended during the 
course of any unresolved litigation regarding the Industrial User or 
POTW or when requested by the Director or the Regional Administrator.
    (3) Any POTW to which reports are submitted by an Industrial User 
pursuant to paragraphs (b), (d), (e), and (h) of this section shall 
retain such reports for a minimum of 3 years and shall make such reports 
available for inspection and copying by the Director and the Regional 
Administrator. This period of retention shall be extended during the 
course of any unresolved litigation regarding the discharge of 
pollutants by the Industrial User or the operation of the POTW 
Pretreatment Program or when requested by the Director or the Regional 
Administrator.
    (p)(1) The Industrial User shall notify the POTW, the EPA Regional 
Waste Management Division Director, and State hazardous waste 
authorities in writing of any discharge into the POTW of a substance, 
which, if otherwise disposed of, would be a hazardous waste under 40 CFR 
part 261. Such notification must include the name of the hazardous waste 
as set forth in 40 CFR part 261, the EPA hazardous waste number, and the 
type of discharge (continuous, batch, or other). If the Industrial User 
discharges more than 100 kilograms of such waste per calendar month to 
the POTW, the notification shall also contain the following information 
to the extent such information is known and readily available to the 
Industrial User: An identification of the hazardous constituents 
contained in the wastes, an estimation of the mass and concentration of 
such constituents in the wastestream discharged during that calendar 
month, and an estimation of the mass of constituents in the wastestream 
expected to be discharged during the following twelve months. All 
notifications must take place within 180 days of the effective date of 
this rule. Industrial users who commence discharging after the effective 
date of this rule shall provide the notification no later than 180 days 
after the discharge of the listed or characteristic hazardous waste. Any 
notification under this paragraph need be submitted only once for each 
hazardous waste discharged. However, notifications of changed discharges 
must be submitted under 40 CFR 403.12 (j). The notification requirement 
in this section does not apply to pollutants already reported under the 
self-monitoring requirements of 40 CFR 403.12 (b), (d), and (e).
    (2) Dischargers are exempt from the requirements of paragraph (p)(1) 
of this section during a calendar month in which they discharge no more 
than fifteen kilograms of hazardous wastes, unless the wastes are acute 
hazardous wastes as specified in 40 CFR 261.30(d) and 261.33(e). 
Discharge of more than fifteen kilograms of non-acute hazardous wastes 
in a calendar month, or of any quantity of acute hazardous wastes as 
specified in 40 CFR 261.30(d) and 261.33(e), requires a one-time 
notification.
    Subsequent months during which the Industrial User discharges more 
than

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such quantities of any hazardous waste do not require additional 
notification.
    (3) In the case of any new regulations under section 3001 of RCRA 
identifying additional characteristics of hazardous waste or listing any 
additional substance as a hazardous waste, the Industrial User must 
notify the POTW, the EPA Regional Waste Management Waste Division 
Director, and State hazardous waste authorities of the discharge of such 
substance within 90 days of the effective date of such regulations.
    (4) In the case of any notification made under paragraph (p) of this 
section, the Industrial User shall certify that it has a program in 
place to reduce the volume and toxicity of hazardous wastes generated to 
the degree it has determined to be economically practical.

[46 FR 9439, Jan. 28, 1981, as amended at 49 FR 31225, Aug. 3, 1984; 51 
FR 20429, June 4, 1986; 53 FR 40613, Oct. 17, 1988; 55 FR 30131, July 
24, 1990; 58 FR 18017, Apr. 7, 1993; 60 FR 33932, June 29, 1995; 62 FR 
38414, July 17, 1997]