                                       
                                       
                                       
INFORMATION MEMORANDUM
                                       
SUBJECT:	Assessment of NPDES Electronic Reporting Participation Rates
FROM:	Carey A. Johnston, NPDES Electronic Reporting Project Lead
            Office of Compliance

TO:		John Dombrowski, Deputy Director
		Office of Compliance

DATE: 	7 August 2017

PURPOSE:	Demonstrate Completion of the Initial Assessment of the Electronic Reporting Participation Rates for Authorized NPDES Programs. 
In collaboration with states and EPA Regions to fully implement the NPDES Electronic Reporting Rule ("NPDES eRule"), we are tracking electronic reporting and sharing of NPDES facility, permit, and compliance monitoring information. We are tracking the electronic reporting participation rate for each authorized NPDES program. The NPDES eRule requires EPA to calculate participation rates for each authorized NPDES program six months after the deadline for conversion from paper to electronic submissions and annually thereafter [see 40 CFR 127.26(j)]. 
This memorandum documents the first assessment, which includes NPDES Data Groups No. 3 (Discharge Monitoring Reports) and No. 4 [Sewage Sludge/Biosolids Annual Program Reports, where EPA implements the biosolids program (40 CFR Part 503)]. For this first assessment, EPA used the data in its national NPDES data system (ICIS-NPDES) as of 30 June 2017. In accordance with the NPDES eRule, NPDES-regulated entities were required to start electronically submitting these reports on 21 December 2016. 
We will continue to work collaboratively with authorized NPDES programs to enhance implementation of the NPDES eRule. EPA will publish the memorandum on its website to promote the progress that states are making in implementing NPDES electronic reporting. Authorized NPDES programs can request assistance from EPA by sending an email to: NPDESeReporting@epa.gov.

                                       

                                       
                                       
                  2017 NPDES Electronic Reporting Assessment
                               40 CFR 127.26(j)


Discharge Monitoring Reports (NPDES Data Group No. 3)

To collaborate with authorized NPDES programs and prepare for this first assessment, EPA created the "NPDES eRule Readiness and Data Completeness Dashboard." This online tool shows how well authorized NPDES programs are doing in sharing facility, permit, and DMR data for DMR filers with ICIS-NPDES. To ensure that this dashboard accurately represents the progress states are making in implementing the final rule, EPA performs weekly updates of the dashboard with data from ICIS-NPDES. For this first assessment for DMR filers, EPA calculated the percentage of individually permitted facilities that do not have permit limits data in ICIS-NPDES (shown as "Permit Limits Not in ICIS" on the dashboard). See Attachment 1. The dashboard has a drilldown feature that allows EPA and States to identify those facilities in the "Permit Limits Not in ICIS" category. EPA is helping the authorized NPDES programs so that they can provide us the minimum set of data as required by the NPDES eRule (see 40 CFR 127.23).
      
For the 2018 assessment and annually thereafter, EPA plans to expand the assessment to include all relevant data elements for tracking implementation for all DMR filers, except those that file DMRs irregularly and/or have an approved electronic reporting waiver. In particular, EPA will limit these calculations to facilities that report DMRs to the permitting authority on a regular frequency (i.e., "NPDES Data Group Number" = G3A) and exclude facilities that have an approved electronic reporting waiver (i.e., "Electronic Reporting Waiver Type" = TMP or PER). EPA will also identify if a DMR filer electronically submitted their DMRs by using the "Electronic Submission Type (Compliance Monitoring Activity)" data element (ES1, ES2, or ES7).

Sewage Sludge/Biosolids Annual Program Reports (NPDES Data Group No. 4)

EPA's biosolids regulations (40 CFR part 503) require certain generators of biosolids to file a Sewage Sludge/Biosolids Annual Program Report (NPDES Data Group No. 4). This annual report is submitted each February and documents the measures taken to protect public health and the environment from any reasonably anticipated adverse effects of certain pollutants and pathogens that might be present in sewage sludge/biosolids. In accordance with the NPDES eRule, the start date for regulated entities to electronically submit this report where EPA is the authorized NPDES program is 21 December 2016 (see Table 1 to 40 CFR 127.16).
      
EPA calculated the electronic reporting participation rates by EPA Region for NPDES-regulated entities that electronically submitted the annual report. This calculation was based on those NPDES-regulated entities that electronically submitted their annual report through EPA's NPDES Electronic Reporting Tool ("NeT") and those NPDES-regulated entities that submitted their annual report on paper or through non-standard electronic submissions (e.g., via email). For the 2016 Sewage Sludge/Biosolids Annual Program Report, which had a due date of 21 February 2017, EPA received 1,943 annual reports electronically through NeT. EPA also received 690 annual reports through paper submissions or non-standard electronic submissions. This equates to an overall electronic participation rate of 74%. See Attachment 2. 
      
With respect to the 690 reports submitted to EPA on paper or by non-standard electronic submissions, EPA plans to work with its Biosolids Center of Excellence (Region 7 in Kansas City, KS) to contact these filers to ensure they are aware of the electronic reporting requirement. In particular, EPA will offer additional training to these facilities so that they can submit their annual report using EPA's NeT application.


Attachments (2)

                                       
          Attachment 1  -  2017 NPDES Electronic Reporting Assessment
                     (DMR Filers - NPDES Data Group No. 3)
                                      No.
                          State, Tribe, or Territory
                Authorized for NPDES Program 
(40 CFR part 122)
                                  EPA Region
                        Number of Individual DMR Filers
                                (30 June 2017)
Percentage of Individually Permitted DMR Filers That Do Not Have Limits Data in ICIS-NPDES
                                (30 June 2017)
Percentage of Individually Permitted DMR Filers That Do Not Have Limits Data in ICIS-NPDES
                                (7 August 2017)
                                       1
                                    Alabama
                                      Yes
                                       4
                                     1,355
                                      0%
                                      0%
                                       2
                                    Alaska
                                      Yes
                                      10
                                      70
                                      13%
                                      13%
                                       3
                                    Arizona
                                      Yes
                                       9
                                      126
                                    < 1%
                                      2%
                                       4
                                   Arkansas
                                      Yes
                                       6
                                      782
                                      0%
                                      0%
                                       5
                                  California
                                      Yes
                                       9
                                      429
                                      3%
                                      2%
                                       6
                                   Colorado
                                      Yes
                                       8
                                      392
                                      0%
                                      0%
                                       7
                                  Connecticut
                                      Yes
                                       1
                                      155
                                      0%
                                      0%
                                       8
                                   Delaware
                                      Yes
                                       3
                                      43
                                      0%
                                      0%
                                       9
                             District of Columbia
                                      No
                                       3
                                      11
                                      0%
                                      0%
                                      10
                                    Florida
                                      Yes
                                       4
                                      424
                                      0%
                                      0%
                                      11
                                    Georgia
                                      Yes
                                       4
                                      794
                                      11%
                                      12%
                                      12
                                    Hawaii
                                      Yes
                                       9
                                      48
                                      4%
                                      4%
                                      13
                                     Idaho
                                      No
                                      10
                                      164
                                      10%
                                      10%
                                      14
                                   Illinois
                                      Yes
                                       5
                                     1,499
                                    < 1%
                                    < 1%
                                      15
                                    Indiana
                                      Yes
                                       5
                                     1,236
                                      0%
                                      0%
                                      16
                                     Iowa
                                      Yes
                                       7
                                     1,601
                                      15%
                                      15%
                                      17
                                    Kansas
                                      Yes
                                       7
                                      732
                                    < 1%
                                      0%
                                      18
                                   Kentucky
                                      Yes
                                       4
                                     1,429
                                       0
                                      0%
                                      19
                                   Louisiana
                                      Yes
                                       6
                                     1,278
                                      25%
                                      23%
                                      20
                                     Maine
                                      Yes
                                       1
                                      414
                                      21%
                                      22%
                                      21
                                   Maryland
                                      Yes
                                       3
                                      509
                                      5%
                                      5%
                                      22
                                 Massachusetts
                                      No
                                       1
                                      229
                                      3%
                                      3%
                                      23
                                   Michigan
                                      Yes
                                       5
                                      634
                                      12%
                                      12%
                                      24
                                   Minnesota
                                      Yes
                                       5
                                      614
                                      83%
                                      83%
                                      25
                                  Mississippi
                                      Yes
                                       4
                                     1,236
                                      4%
                                      4%
                                      26
                                   Missouri
                                      Yes
                                       7
                                     2,710
                                      4%
                                      4%
                                      27
                                    Montana
                                      Yes
                                       8
                                      161
                                    < 1%
                                    < 1%
                                      28
                                   Nebraska
                                      Yes
                                       7
                                      679
                                      10%
                                      11%
                                      29
                                    Nevada
                                      Yes
                                       9
                                      92
                                      4%
                                      4%
                                      30
                                 New Hampshire
                                      No
                                       1
                                      80
                                      0%
                                      0%
                                      31
                                  New Jersey
                                      Yes
                                       2
                                      683
                                      0%
                                      0%
                                      32
                                  New Mexico
                                      No
                                       6
                                      117
                                      4%
                                      4%
                                      33
                                   New York
                                      Yes
                                       2
                                     1,362
                                      0%
                                      0%
                                      34
                                North Carolina
                                      Yes
                                       4
                                     1,410
                                      21%
                                      21%
                                      35
                                 North Dakota
                                      Yes
                                       8
                                      97
                                      0%
                                      0%
                                      36
                                     Ohio
                                      Yes
                                       5
                                     3,290
                                      0%
                                      0%
                                      37
                                   Oklahoma
                                      Yes
                                       6
                                      449
                                      0%
                                      0%
                                      38
                                    Oregon
                                      Yes
                                      10
                                      304
                                      1%
                                    < 1%
                                      39
                                 Pennsylvania
                                      Yes
                                       3
                                     4,885
                                      89%
                                      61%
                                      40
                                  Puerto Rico
                                      No
                                       2
                                      222
                                    < 1%
                                      0%
                                      41
                                 Rhode Island
                                      Yes
                                       1
                                      72
                                      3%
                                      3%
                                      42
                                South Carolina
                                      Yes
                                       4
                                      399
                                      1%
                                      1%
                                      43
                                 South Dakota
                                      Yes
                                       8
                                      236
                                      2%
                                      1%
                                      44
                                   Tennessee
                                      Yes
                                       4
                                     1,258
                                      16%
                                      15%
                                      45
                                     Texas
                                      Yes
                                       6
                                     2,942
                                      8%
                                      8%
                                      46
                                     Utah
                                      Yes
                                       8
                                      160
                                      23%
                                      23%
                                      47
                                    Vermont
                                      Yes
                                       1
                                      182
                                      1%
                                      1%
                                      48
                                Virgin Islands
                                      Yes
                                       2
                                      81
                                      0%
                                      0%
                                      49
                                   Virginia
                                      Yes
                                       3
                                      870
                                      4%
                                      5%
                                      50
                                  Washington
                                      Yes
                                      10
                                      421
                                      5%
                                      5%
                                      51
                                 West Virginia
                                      Yes
                                       3
                                     1,915
                                      6%
                                      6%
                                      52
                                   Wisconsin
                                      Yes
                                       5
                                     1,238
                                      90%
                                      50%
                                      53
                                    Wyoming
                                      Yes
                                       8
                                      747
                                      7%
                                      7%
                                      54
                               Other Territories
                                      No
                                    2, 6, 9
                                      62
                                      2%
                                      0%

Source: EPA's NPDES eRule Readiness and Data Completeness Dashboard. Data for the June 2017 assessment was retrieved from the dashboard on 3 July 2017 (which uses data from ICIS-NPDES as of 30 June 2017). The last column of this table also provides a more current assessment of data sharing. The data for the last column was retrieved from the dashboard on 7 August 2017 (which uses data from ICIS-NPDES as of 4 August 2017).

Note: This table excludes EPA issued permits in states where the state is the authorized NPDES program (40 CFR part 122). The "Other Territories" row in this table includes: (1) American Samoa, Guam, Northern Mariana Islands, Wake Island, and Navajo Nation  -  these NPDES permits are issued by EPA Region 9; (2) Federal Offshore Oil and Gas permits in the Western Gulf of Mexico  -  these NPDES permits are issued by EPA Region 6; and (3) Saint Regis Mohawk Tribe - these NPDES permits are issued by EPA Region 2.

         Attachment 2  -  2017 NPDES Electronic Reporting Assessment 
(Sewage Sludge/Biosolids Annual Program Report Filers - NPDES Data Group No. 4)
                                       
                                  EPA Region
        Number of Sewage Sludge /Biosolids Annual Program Report Filers
Number of Sewage Sludge/Biosolids Annual Program Report Filers that Filed On Paper or Non-Standard Electronic Submissions
Number of Sewage Sludge/Biosolids Annual Program Report Filers that Filed Electronically via EPA's NeT
Percentage of Sewage Sludge/Biosolids Annual Program Report Filers that Filed Electronically as Required by 
                                  NPDES eRule
                                 (40 CFR 127)
                                       1
                                      167
                                      43
                                      124
                                      74%
                                       2
                                      250
                                      105
                                      145
                                      58%
                                       3
                                      352
                                      75
                                      277
                                      79%
                                       4
                                      653
                                      198
                                      455
                                      70%
                                       5
                                      364
                                      89
                                      275
                                      76%
                                       6
                                      82
                                       0
                                      82
                                     100%
                                       7
                                      284
                                      92
                                      192
                                      68%
                                       8
                                      150
                                      49
                                      101
                                      67%
                                       9
                                      178
                                       1
                                      177
                                      99%
                                      10
                                      153
                                      38
                                      115
                                      75%
                                     TOTAL
                                     2,633
                                      690
                                     1,943
                                      74%

Source: EPA's national NPDES data system (ICIS-NPDES). These data represent reports that were accepted by ICIS-NPDES. Data retrieved on 30 June 2017. 

Note: This table excludes Sludge/Biosolids Annual Program Report filers in the eight states authorized to run the Federal biosolids program (40 CFR part 503): Arizona, Michigan, Ohio, Oklahoma, South Dakota, Texas, Utah, and Wisconsin. See: https://www.epa.gov/npdes/npdes-state-program-information. The NPDES eRule requires filers in these eight states to start electronically filing their annual reports no later than 21 December 2020. EPA received the following number of annual reports from filers in states authorized for the Federal biosolids program via NeT: Arizona (0), Michigan (3), Ohio (0), Oklahoma (0), South Dakota (0), Texas (1), Utah (0), and Wisconsin (1). EPA also did receive the following number of annual reports from filers in states authorized for the Federal biosolids program via paper submission or non-standard electronic submission (e.g., e-mail): Arizona (0), Michigan (3), Ohio (9), Oklahoma (0), South Dakota (0), Texas (0), Utah (0), and Wisconsin (1).

