[Code of Federal Regulations]
[Title 40, Volume 26]
[Revised as of July 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 40CFR501.15]

[Page 813-819]
 
                   TITLE 40--PROTECTION OF ENVIRONMENT
 
         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
 
PART 501--STATE SLUDGE MANAGEMENT PROGRAM REGULATIONS--Table of Contents
 
         Subpart B--Development and Submission of State Programs
 
Sec. 501.15  Requirements for permitting.

    (a) General requirements. All State programs under this part must 
have legal authority to implement each of the following provisions and 
must be administered in conformance with each, except that States are 
not precluded from omitting or modifying any provisions to impose more 
stringent requirements:
    (1) Confidentiality of information. Claims of confidentiality will 
be denied for the following information:
    (i) The name and address of any permit applicant or permittee;
    (ii) Permit applications, permits, and sewage sludge data. This 
includes information submitted on the permit application forms 
themselves and any attachments used to supply information required by 
the forms.
    (2) Duration of permits. (i) NPDES permits issued to treatment works 
treating domestic sewage pursuant to section 405(f) of the CWA will be 
effective for a fixed term not to exceed five years.
    (ii) Non-NPDES Permits issued to treatment works treating domestic 
sewage pursuant to section 405(f) of the CWA will be effective for a 
fixed term not to exceed ten years.
    (3) Schedules of compliance. (i) General. The permit may, when 
appropriate, specify a schedule of compliance leading to compliance with 
the CWA and the requirements of this part. Any schedules of compliance 
under this section must require compliance as soon as possible, but not 
later than any applicable statutory deadline under the CWA.
    (ii) Interim dates. If a permit establishes a schedule of compliance 
which exceeds one year from the date of permit issuance, the schedule 
must set forth interim requirements and the date for their achievement, 
as appropriate.
    (iii) Reporting. The permit must be written to require that no later 
than 14 days following each interim date and the final date of 
compliance, the permittee must notify the Director in writing of its 
compliance or noncompliance with the interim or final requirements, or 
submit progress reports if paragraph (a)(3)(ii) of this section is 
applicable.
    (b) Conditions applicable to all permits. In addition to permit 
conditions which must be developed on a case-by-case basis in order to 
meet applicable requirements of 40 CFR part 503, paragraphs (a)(1) 
through (a)(3) of this section, and permit conditions developed on a 
case-by-case basis using best professional judgment to protect public 
health and the environment from the adverse effects of toxic pollutants 
in sewage sludge, all permits must contain the following permit 
conditions (or comparable conditions as provided for in the Memorandum 
of Agreement):
    (1) Duty to comply. The permittee must comply with all conditions of 
this permit. Any permit noncompliance constitutes a violation of the 
Clean Water Act and is grounds for enforcement action; for permit 
termination, revocation and reissuance, or modification; or denial of a 
permit renewal application.
    (2) Compliance with sludge standards. The permittee shall comply 
with standards for sewage sludge use or disposal established under 
section 405(d) of the CWA (40 CFR part 503) within the time provided in 
the regulations that establish such standards, even if this permit has 
not yet been modified to incorporate the standards.
    (3) CWA penalties. Section 309 of the Clean Water Act (CWA) sets out 
penalties applicable to persons who violate the Act's requirements. For 
example, section 309(d) provides that any person who violates a permit 
condition implementing sections 301, 302, 306, 307, 308, 318, or 405 of 
the Clean Water Act is subject to a civil penalty not to exceed $25,000 
per day for each violation. Such violations also may be subject to 
administrative penalties assessed by the

[[Page 814]]

Administrator pursuant to section 309(g) of the CWA. Any person who 
negligently violates permit conditions implementing sections 301, 302, 
306, 307, 308, or 405 of the Clean Water Act is subject to a fine not 
less than $2,500 nor more than $25,000 per day of violation or by 
imprisonment for not more than 1 year, or both. Any person who knowingly 
violates a permit condition implementing sections 301, 302, 304, 307, 
308, or 405 shall be punished by a fine not less than $5000 nor more 
than $50,000 per day of violation, or by imprisonment for not more than 
3 years or both.
    (4) Need to halt or reduce activity not a defense. It shall not be a 
defense for a permittee in an enforcement action that it would have been 
necessary to halt or reduce the permitted activity in order to maintain 
compliance with the conditions of this permit.
    (5) Duty to mitigate. The permittee shall take all reasonable steps 
to minimize or prevent sludge use or disposal in violation of this 
permit which has a reasonable likelihood of adversely affecting human 
health or the environment.
    (6) Proper operation and maintenance. The permittee shall at all 
times properly operate and maintain all facilities and systems of 
treatment and control (and related appurtenances) which are installed or 
used by the permittee to achieve compliance with the conditions of this 
permit. Proper operation and maintenance also includes adequate 
laboratory controls and appropriate quality assurance procedures. This 
provision requires the operation of back-up or auxiliary facilities or 
similar systems which are installed by a permittee only when the 
operation is necessary to achieve compliance with the conditions of the 
permit.
    (7) Permit actions. This permit may be modified, revoked and 
reissued, or terminated for cause. The filing of a request by the 
permittee for a permit modification, revocation and reissuance, or 
termination, or a notification of planned changes or anticipated 
noncompliance does not stay any permit condition.
    (8) Duty to provide information. The permittee shall furnish to the 
Director, within a reasonable time, any information which the Director 
may request to determine whether cause exists for modifying, revoking 
and reissuing, or terminating this permit or to determine compliance 
with this permit. The permittee shall also furnish to the Director, upon 
request, copies of records required to be kept by this permit.
    (9) Inspection and entry. The permittee shall allow the Director, or 
an authorized representative, upon the presentation of credentials and 
other documents as may be required by law, to:
    (i) Enter upon the permittee's premises where a regulated facility 
or activity is located or conducted, or where records must be kept under 
the conditions of this permit;
    (ii) Have access to and copy, at reasonable times, any records that 
must be kept under the conditions of this permit;
    (iii) Inspect at reasonable times any facilities, equipment 
(including monitoring and control equipment), practices, or operations 
regulated or required under this permit; and
    (iv) Sample or monitor at reasonable times, for the purposes of 
assuring permit compliance or as otherwise authorized by the Clean Water 
Act, any substances, parameters or practices at any location.
    (10) Monitoring and records. (i) The permittee must monitor and 
report monitoring results as specified elsewhere in this permit with a 
frequency dependent on the nature and effect of its sludge use or 
disposal practices. At a minimum, this will be as required by 40 CFR 
part 503.
    (ii) Samples and measurements taken for the purpose of monitoring 
shall be representative of the monitored activity. The permittee shall 
retain records of all monitoring information, copies of all reports 
required by this permit, and records of all data used to complete the 
application for this permit, for a period of at least five years from 
the date of the sample, measurement, report or application, or longer as 
required by 40 CFR part 503. This period may be extended by request of 
the Director at any time.
    (iii) Records of monitoring information shall include:

[[Page 815]]

    (A) The date, exact place, and time of sampling or measurements;
    (B) The individual(s) who perfored the sampling or measurements;
    (C) The date(s) analyses were performed;
    (D) The individual(s) who performed the analyses;
    (E) The analytical techniques or methods used; and
    (F) The results of such analyses.
    (iv) Monitoring must be conducted according to test procedures 
specified in 40 CFR part 503 or 136 unless other test procedures have 
been specified in this permit.
    (v) The Clean Water Act provides that any person who knowingly 
falsifies, tampers with, or renders inaccurate any monitoring device or 
method required to be maintained under this permit shall, upon 
conviction, be punished for the first conviction by a fine of not more 
than $10,000 or by imprisonment for not more than 2 years per violation, 
or by both. Subsequent convictions for the same offense are punishable 
by a fine of not more than $20,000 per day of violation, or imprisonment 
of not more than 4 years, or both.
    (11) Signatory requirements. (i) All applications, reports, or 
information submitted to the Director shall be signed and certified 
according to the provisions of 40 CFR 122.22.
    (ii) The CWA provides that any person who knowingly makes any false 
statement, representation, or certification in any record or other 
document submitted or required to be maintained under this permit shall, 
upon conviction, be punished for the first conviction by a fine of not 
more than $10,000 per violation, or by imprisonment for not more than 2 
years per violation, or by both. Subsequent convictions shall be 
punishable by a fine of not more than $20,000 per day of violation or by 
imprisonment of not more than 4 years, or by both.
    (12) Notice requirements. (i) Planned changes. The permittee shall 
give notice to the Director as soon as possible of any planned physical 
alterations or additions to the permitted facility, or significant 
changes planned in the permittee's sludge disposal practice, where such 
alterations, additions, or changes may justify the application of permit 
conditions that are different from or absent in the existing permit, 
including notification of additional disposal sites not reported during 
the permit application process or not reported pursuant to an approved 
land application plan.
    (ii) Anticipated noncompliance. The permittee shall give advance 
notice to the Director of any planned changes in the permitted facility 
or activity which may result in noncompliance with permit requirements.
    (iii) Transfers. This permit is not transferable to any person 
except after notice to the Director. The Director may require 
modification or revocation and reissuance of the permit to change the 
name of the permittee and incorporate such other requirements as may be 
necessary under the CWA.
    (iv) Other noncompliance reporting. The permittee shall report all 
instances of noncompliance. Reports of noncompliance shall be submitted 
with the permittee's next self monitoring report or earlier. if 
requested by the Director or if required by an applicable standard for 
sewage sludge use or disposal or condition of this permit.
    (v) Other information. Where the permittee becomes aware that it 
failed to submit any relevant facts in a permit application, or 
submitted incorrect information in a permit application or in any report 
to the Director, it shall promptly submit such facts or information.
    (13) Reopener. If a standard for sewage sludge use or disposal 
applicable to permittee's use or disposal methods is promulgated under 
section 405(d) of the CWA before the expiration of this permit, and that 
standard is more stringent than the sludge pollutant limits or 
acceptable management practices authorized in this permit, or controls a 
pollutant or practice not limited in this permit, this permit may be 
promptly modified or revoked and reissued to conform to the standard for 
sludge use or disposal promulgated under section 405(d) of the CWA.
    (14) Duty to reapply. If the permittee wishes to continue an 
activity regulated by the this permit after the expiration date of this 
permit, the permittee must apply for a new permit.

[[Page 816]]

    (15) Indian Tribes can satisfy the criminal enforcement authority 
requirements of this section under Sec. 501.25.
    (c) Permit actions. All State programs under this part shall have 
the legal authority to implement the following provisions as a minimum 
and must be administered in conformance with each.
    (1) Transfer of permits--(i) Transfers by modification. Except as 
provided in paragraph (ii) of this section, a permit may be transferred 
by the permittee to a new owner or operator only if the permit has been 
modified or revoked and reissued to identify the new permittee and 
incorporate such other requirements as may be necessary to assure 
compliance with the CWA.
    (ii) Automatic transfers. As an alternative to transfers under 
paragraph (c)(1)(i) of this section, the State Director may authorize 
automatic transfer of any sludge permit to a new permittee if:
    (A) The current permittee notifies the Director at least 30 days in 
advance of the proposed transfer date in paragraph (c)(1)(ii)(B) of this 
section;
    (B) The notice includes a written agreement between the existing and 
new permittees containing a specific date for transfer of permit 
responsibility, coverage, and liability between them; and
    (C) The Director does not notify the existing permittee and the 
proposed new permittee of his or her intent to modify or revoke and 
reissue the permit. If this notice is not received, the transfer is 
effective on the date specified in the agreement mentioned in paragraph 
(c)(ii)(B) of this section.
    (2) Modification or revocation and reissuance of permits. (i) When 
the Director receives any information (for example, where the Director 
inspects the facility, receives information submitted by the permittee 
as required in the permit, receives a request for modification or 
revocation and reissuance under Sec. 501.15(d)(2)(i), or conducts a 
review of the permit file), he or she may determine whether or not one 
or more of the causes listed in paragraphs (c)(2) (ii) and (iii) of this 
section for modification or revocation and reissuance or both exist. If 
cause exists, the Director may modify or revoke and reissue the permit 
and may request an updated application if necessary. When a permit is 
modified, only the conditions subject to a modification are reopened. If 
a permit is revoked and reissued, the entire permit is reopened and 
subject to revision and the permit is reissued for a new term. A draft 
permit must be prepared and other procedures in Sec. 501.15(d) followed. 
If cause does not exist under this section, the Director shall not 
modify or revoke and reissue the permit.
    (ii) Causes for modification. The following are causes for 
modification but not revocation and reissuance of permits except when 
the permittee requests or agrees.
    (A) Alterations. There are material and substantial alterations or 
additions to the permitted facility or activity which occurred after 
permit issuance which justify the application of permit conditions that 
are different from or absent in the existing permit.
    (B) Information. The Director has received new information. Permits 
may be modified during their terms for this cause only if the 
information was not available at the time of permit issuance (other than 
revised regulations, guidance, or test methods) and would have justified 
the application of different permit conditions at the time of issuance.
    (C) New regulations. New regulations have been promulgated under 
section 405(d) of the CWA, or the standards or regulations on which the 
permit was based have been changed by promulgation of amended standards 
or regulations or by judicial decision after the permit was issued.
    (D) Compliance schedules. The Director determines good cause exists 
for modification of a compliance schedule, such as an Act of God, 
strike, flood, or materials shortage or other events over which the 
permittee has little or no control and for which there is no reasonable 
available remedy. However, in no case may a compliance schedule be 
modified to extend beyond an applicable CWA statutory deadline.
    (E) Land application plans. When required by a permit condition to 
incorporate a land application plan for beneficial reuse of sewage 
sludge, to revise

[[Page 817]]

an existing land application plan, or to add a land application plan.
    (iii) The following are causes to modify or alternatively, revoke 
and reissue, a permit.
    (A) Cause exists for termination under Sec. 501.15(c)(3) and the 
Director determines that modification or revocation and reissuance is 
appropriate.
    (B) The Director has received notification (as required in the 
permit, see Sec. 501.15(b)(12)(iii)) of a proposed transfer of the 
permit.
    (3) Termination of permits. The following are causes for terminating 
a permit during its term, or for denying a permit renewal application:
    (i) Noncompliance by the permittee with any condition of the permit;
    (ii) The permittee's failure in the application or during the permit 
issuance process to disclose fully all relevant facts, or the 
permittee's misrepresentation of any relevant facts at any time;
    (iii) A determination that the permitted activity endangers human 
health or the environment and can only be regulated to acceptable levels 
by permit modification or termination; or
    (iv) A change in any condition that requires either a temporary or a 
permanent reduction or elimination of any activity controlled by the 
permit.
    (d) Permit procedures. All State programs approved under this part 
must have the legal authority to implement, and be administered in 
accordance with, each of following provisions, unless the Regional 
Administrator determines that the State program includes comparable or 
more stringent provisions.
    (1) Application for a permit. (i) Any TWTDS whose sewage sludge use 
or disposal method is covered by part 503 and covered under the State 
program, and who does not have an effective sewage sludge permit, must 
complete, sign, and submit to the Director an application for a permit 
within the following time frames.
    (A) TWTDS with a currently effective NPDES permit must submit the 
required application information when the next application for NPDES 
permit renewal is due.
    (B) The required application information is listed in 40 CFR 
122.21(q).
    (C) Other existing TWTDS not addressed under paragraph (d)(1)(i)(A) 
of this section must submit the information listed in paragraphs 
(d)(1)(i)(C)(1) through (d)(I)(i)(C)(5) of this section, to the Director 
within one year after publication of a standard applicable to their 
sewage sludge use or disposal practices. The Director will determine 
when such a TWTDS must submit a full permit application.
    (1) Name, mailing address and location of the TWTDS;
    (2) The operator's name, address, telephone number, ownership 
status, and status as Federal, State, private, public or other entity;
    (3) A description of the sewage sludge use or disposal practices. 
Unless the sewage sludge meets the ceiling concentrations in 40 CFR 
503.13(b)(1), the pollutant concentrations in 40 CFR 503.13(b)(3), the 
Class A pathogen requirements in 40 CFR 503.32(a), and one of the vector 
attraction reduction requirements in 40 CFR 503.33(b)(1) through (b)(8), 
the description must include the name and address of any facility where 
sewage sludge is sent for treatment or disposal, and the location of any 
land application sites;
    (4) Annual amount of sewage sludge generated, treated, used or 
disposed (dry weight basis); and
    (5) The most recent data the TWTDS may have on the quality of the 
sewage sludge.
    (D) Notwithstanding paragraph (d)(1)(i)(A) or (d)(1)(i)(B) of this 
section, the Director may require permit applications from any TWTDS at 
any time if the Director determines that a permit is necessary to 
protect public health and the environment from any potential adverse 
effects that may occur from toxic pollutants in sewage sludge.
    (E) Any TWTDS that commences operations after promulgation of an 
applicable standard for sewage sludge use or disposal must submit an 
application to the Director at least 180 days prior to the date proposed 
for commencing operations.
    (ii) All TWTDS with a currently effective sewage sludge permit must 
submit a new application at least 180 days before the expiration date of 
their existing permit.

[[Page 818]]

    (iii) The Director will not begin the processing of a permit until 
the applicant has fully complied with the application requirements for 
that permit.
    (2) Modification, revocation and reissuance, or termination of 
permits. (i) Permits may be modified, revoked and reissued, or 
terminated either at the request of any interested person (including the 
permittee) or upon the Director's initiative. However, permits may only 
be modified, revoked and reissued, or terminated for the reasons 
specified in Sec. 501.15(c). All requests shall be in writing and shall 
contain factors or reasons supporting the request.
    (ii) If the Director tentatively decides to modify or revoke and 
reissue a permit he or she shall prepare a draft permit incorporating 
the proposed changes. The Director may request additional information 
and, in the case of a modified permit, may require the submission of an 
updated application. In the case of a revoked and reissued permit, the 
Director shall require the submission of a new application. If the 
Director tentatively decides to terminate a permit he or she shall 
prepare a Notice of Intent to Terminate and follow the public notice and 
comment procedures outlined in Section 501.15(d)(6).
    (3) Draft permits. Once an application is complete, the Director 
shall tentatively decide whether to prepare a draft permit or to deny 
the application. If the Director decides to prepare a draft permit, he 
or she shall prepare a draft permit that contains the necessary 
conditions to implement this part, 40 CFR part 503, and section 405 of 
the CWA.
    (4) Fact sheets. A fact sheet must be prepared for every draft 
permit which the Director finds is the subject of widespread public 
interest or raises major issues. The fact sheet will briefly set forth 
the principal facts and the significant factual, legal, methodological 
and policy questions considered in preparing the draft permit. The 
Director will send this fact sheet to the applicant and, on request, to 
any other person.
    (5) Public notice of permit actions and public comment period. (i) 
The Director must give public notice that the following actions have 
occurred:
    (A) A draft permit has been prepared. At least 30 days must be 
allowed for public comment on the draft permit unless the Director has 
previously provided for public comment, for example after receipt of the 
permit application.
    (B) A meeting or hearing has been scheduled.
    (ii) Methods. Public notice of activities described in paragraph 
(d)(5)(i) of this section must be given in the area affected by these 
activities by any method reasonably calculated to give actual notice of 
the action in question to any person affected or requesting notice of 
the action. Public notice may include publication of a notice in a daily 
or weekly newspaper within the area affected by the facility or 
activity, press releases, or any other forum or medium to elicit public 
participation.
    (iii) Contents.
    (A) All public notices. All public notices issued under this part 
must contain the following minimum information:
    (1) Name and address of the office processing the permit action for 
which notice is being given;
    (2) Name and address of the permittee or permit applicant and, if 
different, of the facility or activity regulated by the permit;
    (3) A brief description of the activity described in the permit 
application (including the inclusion of land application plan, if 
appropriate);
    (4) Name, address and telephone number of a person from whom 
interested persons may obtain further information, including copies of 
the draft permit, fact sheet, and the application;
    (5) A brief description of the comment procedures required by 
Sec. 501.15(d)(6) and the time and place of any meeting or hearing that 
will be held, including a Statement of procedures to request a meeting 
or hearing (unless a meeting or hearing has already been scheduled) and 
other procedures by which the public may participate in the final permit 
decision; and
    (6) Any additional information considered necessary or proper.
    (B) Public notices for meetings or hearings. In addition to the 
general public

[[Page 819]]

notice described in paragraph (d)(5)(iii)(A) of this section, the public 
notice of a meeting or hearing must contain the following information:
    (1) Date, time and place of the meeting or hearing; and
    (2) A brief description of the nature and purpose of the meeting or 
hearing, including the applicable rules and procedures.
    (6) Public comments and requests for public meetings or hearings. 
During the public comment period, any interested person may submit 
written comments on the draft permit and may request a public meeting or 
hearing, if no meeting or hearing has already been scheduled. A request 
for a public meeting or hearing must be in writing and must state the 
nature of the issues proposed to be raised in the meeting or hearing. 
All comments will be considered in making the final decision and must be 
answered as provided in paragraph (d)(8) of this section.
    (7) Public meetings or hearings. The Director will hold a public 
meeting or hearing whenever he or she finds, on the basis of requests, a 
significant degree of public interest in a draft permit. The Director 
may also hold a public meeting or hearing at his or her discretion, 
(e.g. where such a hearing might clarify one or more issues involved in 
the permit decision).
    (8) Response to comments. At the time a final permit is issued, the 
Director will issue a response to comments. The response to comments 
must be available to the public, and must:
    (i) Specify which provisions, if any, of the draft permit have been 
changed in the final permit decision, and the reasons for the change; 
and
    (ii) Briefly describe and respond to all significant comments on the 
draft permit raised during the public comment period or during any 
meeting or hearing.
    (e) Optional program provisions. The following provisions may be 
included in a State program at the State's option. If the State decides 
to adopt any of these provisions, they must be no less stringent than 
the corresponding Federal provisions:
    (1) Continuation of expiring permits (40 CFR 122.6);
    (2) General permits (40 CFR 122.28);
    (3) Minor modifications of permits (40 CFR 122.63); and
    (4) Effect of permit: affirmative defense (40 CFR 122.5(b)).
    (f) Conflict of interest. Except as provided in paragraph (f)(2), 
State sludge management programs shall ensure that any board or body 
which approves all or portions of permits shall not include as a member 
any person who receives, or has during the previous two years received, 
a significant portion of income directly or indirectly from permit 
holders or applicants for a permit.
    (1) For the purposes of this paragraph:
    (i) ``Board or body'' includes any individual, including the 
Director, who has or shares authority to approve all or portions of 
permits either in the first instance, as modified or reissued, or on 
appeal.
    (ii) ``Significant portion of income'' means 10 percent or more of 
gross personal income for a calendar year, except that it means 50 
percent or more of gross personal income for a calendar year if the 
recipient is over 60 years of age and is receiving that portion under 
retirement, pension, or similar arrangement.
    (iii) ``Permit holders or applicants for a permit'' does not include 
any department or agency of a State government, such as a Department of 
Parks or a Department of Fish and Wildlife.
    (iv) ``Income'' includes retirement benefits, consultant fees, and 
stock dividends.
    (v) Income is not received ``directly or indirectly from permit 
holders or applicants for a permit'' when it is derived from mutual fund 
payments, or from other diversified investments for which the recipient 
does not know the identity of the primary sources of income.
    (2) The Administrator may waive the requirements of this paragraph 
if the board or body which approves all or portions of permits is 
subject to, and certifies that it meets, a conflict-of-interest standard 
imposed as part of another EPA-approved State permitting program or an 
equivalent standard.

[54 FR 18786, May 2, 1989, as amended at 58 FR 9414, Feb. 19, 1993; 58 
FR 67984, Dec. 22, 1993; 63 FR 45125, Aug. 24, 1998; 64 FR 42470, Aug. 
4, 1999]

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