Where a POTW has an approved local pretreatment program, the POTW is the control authoritycontrol authorityThe POTW, in the case of a POTW with an approved pretreatment program, or the Approval Authority, in the case of a POTW without an approved pretreatment program. [paraphrased from 40 CFR 403.3(f)]. Where a POTW has not received approval, the control authority is the approved state or, in unapproved states, the EPA.

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• Control Authorities' Responsibilities
• Developing an Approvable Pretreatment Program
• Implementing an Approved Pretreatment Program
• Additional Information Control Authorities’ Responsibilities

Control Authorities' Responsibilities

The control authorities:

• develop legal authority for their jurisdiction, local limits, standard operating procedures, and an enforcement response plan to establish and maintain an approved pretreatment program.
• regulate IUs by:
  • issuing control mechanisms,
  • conducting monitoring and inspections,
  • receiving and reviewing reports and notifications,
  • reviewing requests for net/gross variances,
  • evaluating compliance with program requirements, and
  • taking enforcement as appropriate.
• submit regular reports to approval authorities to describe the implementation of their pretreatment program.

The control authority is responsible for administering and enforcing pretreatment standards and requirements. The control authority’s primary goals are:

• to prevent the discharge of pollutants into the publicly owned treatment works (POTW) that would result in interferenceinterferenceA discharge that, alone or in conjunction with a discharge or discharges from other sources, both (1) inhibits or disrupts the POTW, its treatment processes or operations, or its sludge processes, use, or disposal; and (2) therefore is a cause of a violation of any requirement of the POTW's NPDES permit (including an increase in the magnitude or duration of a violation) or of the prevention of sewage sludge use or disposal in compliance with ... [applicable] statutory provisions and regulations or permits issued thereunder (or more stringent state or local regulations). [paraphrased from 40 CFR 403.3(k)] and pass throughpass throughA discharge that exits the POTW into waters of the United States in quantities or concentrations that, alone or in conjunction with a discharge or discharges from other sources, is a cause of a violation of any requirement of the POTW's NPDES permit (including an increase in the magnitude or duration of a violation). [40 CFR 403.3(p)] at the POTW’s wastewater treatment plant (WWTP); and
• to ensure that IUs comply with all applicable pretreatment program requirements.

After the approval authorityapproval authorityThe director in an NPDES Authorized State with an approved state pretreatment program, or the appropriate EPA regional administrator in a non-NPDES Authorized State or NPDES state without an approved state pretreatment program. [40 CFR 403.3(c)] - the EPA or approved state – approves a POTW’s pretreatment program, the POTW becomes the control authority. If the POTW is not required to develop an approved local pretreatment program and become the control authority, the approved pretreatment state or the EPA region (where the state is not approved), assumes responsibility as the control authority over industrial users discharging to the POTW.

Developing an Approvable Pretreatment Program

The POTW submits the pretreatment program package to the approval authority for review and approval according to the requirements at 40 CFR Part 403.9 (PDF)(2 pp, 184 K). In addition to containing all the required elements, the package must also describe how the POTW will maintain the key components of its pretreatment program.

POTW pretreatment requirements at 40 CFR Part 403.8(f)(1) through (6) (PDF)(7 pp, 232 K) outline the key components of an approved POTW pretreatment program:

• Legal authority to implement the program (e.g., ordinances, multijurisdictional agreements).
• Procedures for program implementation.
• Funding adequate to implement the program.
• Local limits, including periodic reevaluations to ensure that the limits remain protective of the POTW.
• Enforcement, including development and implementation of an enforcement response plan (ERP).
• A comprehensive list of IUs.

Once the approval authority (EPA or approved state pretreatment program) approves the POTW program, the POTW becomes the control authority to implement the local program.

Periodically, the control authority must modify its approved pretreatment program. Procedures for the modification of POTW pretreatment programs are outlined at 40 CFR 403.18 (PDF)(2 pp, 184 K). Common reasons for modifications include regulation changes (federal, state, or local) and adoption of new local limits. For example, a POTW may not have previously accepted hauled waste, and later modifies its program to incorporate legal authority, standard procedures, and pretreatment standards that apply to hauled waste.

Implementing an Approved Pretreatment Program

The control authority must have adequate legal authority to implement its pretreatment program, as stated in the regulations at 40 CFR Part 403.8(f)(1) (PDF)(7 pp, 232 K). A control authority regulating IUs outside of its legal jurisdiction (e.g., IUs outside of a POTW’s political boundaries) must have the necessary legal authority to ensure that the program procedures can be implemented there, too. The legal authority must enable the POTW to:

• deny or condition discharges to the POTW,
• require compliance with pretreatment standards and requirements,
• control IU discharges through permits, orders, or similar means,
• require IU compliance schedules when necessary to meet applicable pretreatment standards and/or requirements and the submission of reports to demonstrate compliance,
• inspect and monitor IUs;
• obtain remedies for IU noncompliance, and
• comply with confidentiality requirements.

Using legal authority, the control authority must develop and implement the required procedures outlined at 40 CFR Part 403.8(f)(20 (PDF)( pp, 232 K) to:

• Identify and locate all IUs subject to the pretreatment programs.
• Identify the character and volume of pollutants discharged to the POTW. The POTW will maintain an index or inventory of IUs and update the list, submitting changes to the list annually to their Approval Authorities per 40 CFR Part 403.12(i) (PDF)(10 pp, 216 K).
• Notify IUs of applicable pretreatment standards and requirements. Frequently, POTWs provide this notification by issuing a permit or control mechanism that identifies applicable limitations and reporting requirements.
• Receive and analyze reports and notices from the IUs.
• Sample and analyze IU discharges and, specifically, inspect and sample SIUs annually.
• Evaluate IUs and require measures for controlling non-routine, episodic discharges, including spills, that might cause interference or pass through or violate the POTW regulations.
• Investigate IU noncompliance, developing and using an Enforcement Response Plan (“ERP”).
• Provide sufficient funding, resources, personnel to carry out the requirements.
• Develop and enforce local limits, or demonstrate that they are not necessary.
• Submit an annual report with a summary of program activities, including a summary of IU compliance, enforcement actions, and changes to the POTW pretreatment program to the approval authority.

Learn more about requirements for controlling hauled waste.

Additional Information

To assist the control authority in developing and implementing its pretreatment programs, EPA provides the following guidance:

• The Guidance Manual for POTW Pretreatment Program Development – Outlines the data and information the POTW must include in an approvable pretreatment program package to be submitted to the approval authority.
• The EPA Model Pretreatment Ordinance – Provides guidance on developing municipal ordinances to implement and enforce a pretreatment program and includes sample language for incorporating the federal requirements into local regulations.
• The Checklist: Pretreatment Program Legal Authority Reviews – Allows control authorities developing or modifying their local legal authorities to compare them with federal requirements. This document references the “EPA Model Pretreatment Ordinance.”
• The Multijurisdictional Pretreatment Programs Guidance Manual – Provides information about jurisdictional issues and includes sample language for agreements and contracts.
• New Source Dates for Direct and Indirect Dischargers, memorandum dated September 28, 2006 – Summarizes EPA regulatory requirements for determining what CIUs are new sources. It includes a summary of relevant regulatory criteria and a listing of applicable new source dates.
• The Industrial User Permitting Guidance Manual – Provides guidance for control authorities to effectively develop and issue control mechanisms to IUs discharging to the POTW and covers developing and implementing control mechanisms for both SIUs and non-SIUs.
• The Pretreatment Streamlining Rule Fact Sheet 10: General Control Mechanisms Option – Describes how control authorities can issue a general control mechanism for a group of SIUs that meet certain minimum criteria for being considered substantially similar.
• The Industrial User Inspection and Sampling Manual for POTWs – Provides a detailed reference for inspection and sampling procedures and protocols.
• Control of Slug Loadings to POTWs Guidance Manual – Describes measures to prevent slug loadings from indirect users of sewer systems from impairing POTWs.
• Pretreatment Streamlining Rule Fact Sheet 8.0: Slug Control Plans – Describes the oversight actions the control authority must take to implement provisions to prevent the slug discharges from an IU.
• Guidance for Developing Control Authority Enforcement Response Plans – Walks control authority personnel through developing an ERP to remedy violations of a local pretreatment program.
• Application and Use of the Regulatory Definition of Significant Noncompliance for Industrial Users, memorandum dated September 1991 – Responds to several questions from states, POTWs, and the industry regarding application of the SNC definition, including the 6-month evaluation period.
• Determining Industrial User Significant Noncompliance - One Page Summary – Provides a diagram outlining application of the SNC definition, including application of the 6-month evaluation period.
• Revision of NPDES Significant Noncompliance (SNC) Criteria to Address Violations of Nonmonthly Average Limits, memorandum dated September 21, 1995 – Further explains criteria for violations of nonmonthly average limits.
• Oversight of SIUs Discharging to POTWs without Approved Pretreatment Programs, memorandum dated May 18, 2007 – Summarizes EPA and state responsibilities and options when acting as control authorities over SIUs discharging to POTWs without approved pretreatment programs.
• Best Practices for NPDES Permit Writers and Pretreatment Coordinators to Address Toxic and hazardous Chemical Discharges to POTWs - Includes information on tools that can be used to inform approval and control authorities of data sources for hazardous and toxic pollutant discharges, such as the Discharge Monitoring Report Pollutant Loading Tool.
• Hazardous Waste Reporting Requirements for Industrial Users under 40 CFR 403.12(p)&(j) - Control Authorites can use this factsheet to inform their industrial users of hazardous waste reporting requirements.

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