Authority: IC 13-14-8; IC 13-15-1-2; IC 13-15-2-1; IC 13-18-2; IC 13-18-3

Affected: IC 13-11-2; IC 13-13-5-1; IC 13-18-3-15; IC 13-18-4; IC 13-18-11

Sec. 5.3. (a) The reports required by 40 CFR 403.12 or 327 IAC 5-21-10 must be signed by one (1) of the following:

1. (1) A responsible corporate officer. As used in this section, "responsible corporate officer" means either of the following:

   1. (A) A:

      1. (i) president;
      2. (ii) secretary;
      3. (iii) treasurer; or
      4. (iv) vice president;
   2. of the corporation in charge of a principal business function or any other person who performs similar policymaking or decision making functions for the corporation.

   3. (B) The manager of one (1) or more manufacturing, production, or operating facilities, provided the following:

      1. (i) The manager is authorized to:

         1. (AA) make management decisions that govern the operation of the regulated facility, including having the explicit or implicit duty of making major capital investment recommendations; and
         2. (BB) initiate and direct other comprehensive measures to assure long-term environmental compliance with environmental laws and regulations.
      2. (ii) The manager can ensure that the necessary systems are established or actions taken to gather complete and accurate information for control mechanism requirements.
      3. (iii) Authority to sign has been assigned or delegated to the manager to sign documents in accordance with corporate procedures.
2. (2) A general partner or proprietor or manager, if the industrial user submitting the reports is a partnership or sole proprietorship, respectively.

3. (3) A duly authorized representative of the individual designated in either subdivision (1) or (2) if:

   1. (A) the authorization:

      1. (i) is made in writing by the individual described in either subdivision (1) or (2); and
      2. (ii) 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
   2. (B) the written authorization is submitted to the control authority.
4. (4) If an authorization under subdivision (3) 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 subdivision (3) must be submitted to the control authority prior to or together with any reports to be signed by an authorized representative.

(b) An industrial user subject to the reporting requirements of section 5 of this rule and this section shall maintain records of the monitoring activities in accordance with 327 IAC 5-2-14, including documentation associated with best management practices. These records must be made available, upon request, to the:

1. (1) commissioner;
2. (2) regional administrator; and
3. (3) POTW to which the industrial user discharges its wastewater.

(c) A POTW to which reports are submitted by an industrial user under this section shall:

1. (1) retain the reports, including documentation associated with best management practices, for a minimum of three (3) years; and

2. (2) make the reports available for inspection and copying by the:

   1. (A) commissioner; and
   2. (B) 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, the operation of the approved POTW pretreatment, or when requested by the commissioner or the regional administrator.

(d) A report required by this section that relates to the actual operation of or discharge from a pretreatment facility must be prepared by or under the direction of a wastewater treatment plant operator certified under IC 13-18-11.

(e) A report required of a POTW by 40 CFR 403.12 must be signed by a responsible corporate officer, ranking elected official, or other duly authorized employee. The duly authorized employee shall be an individual or position having responsibility for the overall operation of the facility or the pretreatment program. This authorization must be:

1. (1) made in writing by the principal executive officer or ranking elected official; and
2. (2) submitted to the approval authority prior to or together with the report being submitted.

If an employee is authorized to submit the reports, a copy of the written authorization designating the employee must be submitted to the commissioner.

(f) An industrial user who wishes to demonstrate the affirmative defense of upset for noncompliance with any pretreatment standard or requirement in 327 IAC 5-2 shall, as provided in 327 IAC 5-18-3, comply with the reporting requirements and conditions under section 6 of this rule.

(g) An industrial user shall report incidents of bypass or intent to bypass in accordance with section 7 of this rule.

(h) All industrial users shall promptly notify the:

1. (1) control authority; and
2. (2) POTW, if the POTW is not the control authority;

in advance of any substantial change in the volume or character of pollutants in their discharge, including the listed or characteristic hazardous wastes for which the industrial user has submitted initial notification under subsection (j).

(i) A facility determined to be a nonsignificant categorical industrial user pursuant to 40 CFR 403.3(v)(2) shall annually submit a certification statement, signed in accordance with the signatory requirements in 40 CFR 403.12(l). This certification must accompany an alternative report required by the control authority. The certification statement must include the following:

1. "Based on my inquiry of the person or persons directly responsible for managing compliance with the categorical pretreatment standards under 40 CFR ____, I certify that, to the best of my knowledge and belief that during the period from ________, ______ to ______, ______ (months, days, year):

   1. (a) The facility described as ________________ (facility name) met the definition of a nonsignificant categorical industrial user as described in 40 CFR 403.3(v)(2);
   2. (b) the facility complied with all applicable pretreatment standards and requirements during this reporting period; and
   3. (c) the facility never discharged more than 100 gallons of total categorical wastewater on any given day during this reporting period. This compliance certification is based upon the following information.".

(j) An industrial user shall notify the POTW, the EPA Regional Waste Management Division Director, and the commissioner in writing of any discharge into the POTW of a substance that, if otherwise disposed of, would be a hazardous waste under 40 CFR 261. The notification must include the name of the hazardous waste as set forth in 40 CFR 261, the EPA hazardous waste number, and the type of discharge, for example, continuous, batch, or other. If the industrial user discharges more than one hundred (100) kilograms of the waste per calendar month to the POTW, the notification must also contain the following information to the extent the information is known and readily available to the industrial user:

1. (1) An identification of the hazardous constituents contained in the wastes.
2. (2) An estimation of the mass and concentration of the constituents in the waste stream discharged during that calendar month.
3. (3) An estimation of the mass of constituents in the waste stream expected to be discharged during the following twelve (12) months.

All notifications must occur not later than one hundred eighty (180) days after the effective date of this rule. Industrial users who commence discharging after the effective date of this rule shall provide the notification not later than one hundred eighty (180) days after the discharge of the listed or characteristic hazardous waste. Any notification under this subsection 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), 40 CFR 403.12(d), and 40 CFR 403.12(e).

(k) Dischargers are exempt from the requirements of this subsection and subsections (j) and (l) during a calendar month in which they discharge not more than fifteen (15) kilograms of hazardous wastes, unless the wastes are acute hazardous wastes as specified in 40 CFR 261.30(d) and 40 CFR 261.33(e). Discharge of more than fifteen (15) kilograms of nonacute hazardous wastes in a calendar month, or of any quantity of acute hazardous wastes as specified in 40 CFR 261.30(d) and 40 CFR 261.33(e), requires a one (1) time notification.

(l) Subsequent months, during which the industrial user discharges more than such quantities of any hazardous waste do not require additional notification.

(m) In the case of any notification made under subsections (j) through (l), 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.

(n) The control authority that chooses to receive electronic documents shall satisfy the requirements of 40 CFR 3, electronic reporting.

(Water Pollution Control Division; 327 IAC 5-16-5.3; filed Apr 3, 2009, 1:55 p.m.: 20090429-IR-327060156FRA; filed Oct 9, 2015, 4:07 p.m.: 20151104-IR-327100659FRA; errata filed Dec 30, 2015, 12:37 p.m.: 20160113-IR-327150453ACA; readopted filed Oct 18, 2024, 1:57 p.m.: 20241113-IR-327230810RFA)