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Permitting Industrial UsersPermitting Industrial Users
Curt McCormickCurt McCormick
EPA Region 8EPA Region 8
[email protected]@epa.gov
303-312-6377303-312-6377
Agenda
1. Process2. Permit Applications3. Permit Fact Sheets4. Permits5. Zero Discharger Permits
Permitting Process
Regulatory RequirementRegulatory Requirement40 CFR § 403.8(f)(1)(iii)40 CFR § 403.8(f)(1)(iii)
Control through permit, order or similar Control through permit, order or similar means, the contribution from each IU.means, the contribution from each IU.
Control through permit or equivalent Control through permit or equivalent individual control mechanism or general individual control mechanism or general permit the contribution from each SIU.permit the contribution from each SIU.
Adequacy of Control Adequacy of Control MechanismsMechanisms
MechanismMechanism YesYes NoNo ContractsContracts Local regulationsLocal regulations Administrative ordersAdministrative orders PermitsPermits
Non-Significant CIU and Middle-Tier Non-Significant CIU and Middle-Tier CIUCIU
Requires Requires Control Control MechanisMechanism?m?
Min CIU Min CIU Reporting Reporting RequirementRequirementss
Min POTW Min POTW Inspection/Inspection/
Sampling Sampling RequiremenRequirementsts
NSCIUsNSCIUs No (as long No (as long as it meets as it meets criteria)criteria)
Certification. Certification. Once per yearOnce per year
Not required Not required (POTW will have to (POTW will have to verify the CIU verify the CIU continues to meet continues to meet applicability applicability criteria).criteria).
Middle Middle Tier CIUsTier CIUs
YesYes Once per year.Once per year. Once per two Once per two yearsyears
Standard Standard CIUsCIUs
YesYes Once per six Once per six monthsmonths
Once per yearOnce per year
Who to Permit/ControlWho to Permit/Control
Significant Industrial Users (SIUs) - Significant Industrial Users (SIUs) - RequiredRequiredCategorical Industrial Users (CIUs)Categorical Industrial Users (CIUs)Non-categorical SIUsNon-categorical SIUs0 Dischargers (discussed later)0 Dischargers (discussed later)
Who to Permit/ControlWho to Permit/Control
Non-significant industrial users – Typically Non-significant industrial users – Typically BMPs are applied to these (dental, photo BMPs are applied to these (dental, photo processors, dry cleaners, etc). Approved processors, dry cleaners, etc). Approved BMPs may include controls that require BMPs may include controls that require issuance of a general permit or control issuance of a general permit or control through other enforceable mechanisms.through other enforceable mechanisms.
Waste haulers – Unless these are SIUs, the Waste haulers – Unless these are SIUs, the POTW has the option. At a minimum, the POTW has the option. At a minimum, the POTW should require manifests and have POTW should require manifests and have a sampling program in-place.a sampling program in-place.
Who to Permit/ControlWho to Permit/Control
Non-significant industrial users – Typically Non-significant industrial users – Typically BMPs are applied to these (dental, photo BMPs are applied to these (dental, photo processors, dry cleaners, etc). Approved processors, dry cleaners, etc). Approved BMPs may include controls that require BMPs may include controls that require issuance of a general permit or control issuance of a general permit or control through other enforceable mechanisms.through other enforceable mechanisms.
Waste haulers – Unless these are SIUs, the Waste haulers – Unless these are SIUs, the POTW has the option. At a minimum, the POTW has the option. At a minimum, the POTW should require manifests and have POTW should require manifests and have a sampling program in-place.a sampling program in-place.
Industrial User is IdentifiedIndustrial User is Identified
POTW requires IU to submit permit applicationPOTW requires IU to submit permit application
ApplicationApplicationcomplete?complete?
Site visit/Inspection (critical. Take camera)Site visit/Inspection (critical. Take camera)
RequestRequestadditional dataadditional data
YesYes
NoNo
POTW drafts permitPOTW drafts permit
Send draft permit to applicant for review (preferable to Send draft permit to applicant for review (preferable to meet with IU). Follow POTW requirements for requestingmeet with IU). Follow POTW requirements for requestingcomments from the IU and other interested parties.comments from the IU and other interested parties.
POTW Issues permitPOTW Issues permit
Consider comments andConsider comments andrevise draft permit, if necessaryrevise draft permit, if necessary
Permit Applications
Legal ConceptsLegal Concepts
Specific NoticeSpecific Notice is Required: Permit vs. is Required: Permit vs. Legal Authority Legal Authority
Statute of LimitationsStatute of Limitations: 3 years Record: 3 years Record Retention vs. 5 Year US Codes Retention vs. 5 Year US Codes
Permit as a ShieldPermit as a Shield EnforceabilityEnforceability: Preponderance of the: Preponderance of the
Evidence vs.. Beyond a reasonable Evidence vs.. Beyond a reasonable doubt.doubt.
Sources of DataSources of Data
Permit applicationsPermit applicationsCritical to assessing nature of dischargeCritical to assessing nature of dischargeLocal regulations require application Local regulations require application
submissionsubmissionServes as formal request to dischargeServes as formal request to dischargeHold the IU accountable for the information Hold the IU accountable for the information
providedprovided
Contents of Permit ApplicationsContents of Permit Applications General informationGeneral information
Business activityBusiness activity
Water usageWater usage
Sewer informationSewer information
Wastewater Wastewater discharge informationdischarge information
Characteristics of Characteristics of dischargedischarge
PretreatmentPretreatment
Facility operationsFacility operations
Spill preventionSpill prevention
““Non-discharged” Non-discharged” wasteswastes
Certification and Certification and authorized signatureauthorized signature
Stored Chemicals – Stored Chemicals – Certificate of AnalysisCertificate of Analysis
Any requests for waivers, non-sign CIU Any requests for waivers, non-sign CIU designationdesignation and pollutants not present. and pollutants not present.
Reviewing the DataReviewing the Data
CompletenessCompletenessBlank spaces vs.. "not applicable“ – Blank spaces vs.. "not applicable“ –
Require that all spaces are filled in. No Require that all spaces are filled in. No blanks.blanks.
Obtaining a response for minor deficiencies Obtaining a response for minor deficiencies – Always get in writing with another – Always get in writing with another certification.certification.
Major deficiencies – Reject application.Major deficiencies – Reject application.
Reviewing the Data (Reviewing the Data (continued)continued)
Common deficienciesCommon deficiencies
Facility layout – not provided or Facility layout – not provided or incompleteincomplete
Discharge data (a table for priority Discharge data (a table for priority pollutants with columns for “present”, pollutants with columns for “present”, “absent” and “no data”)“absent” and “no data”)
Proper signatory official or application is Proper signatory official or application is not signed and/or dated.not signed and/or dated.
Verification of Data: Verification of Data: Review of Background InformationReview of Background Information
Current permit and Current permit and fact sheetfact sheet
Previous permit Previous permit applicationapplication
Baseline monitoring Baseline monitoring report (BMR)report (BMR)
Wastewater survey Wastewater survey questionnairesquestionnaires
Inspection reportsInspection reports
Sampling dataSampling data
Self-monitoring Self-monitoring reportsreports
NotificationsNotifications
Enforcement actionsEnforcement actions
DocumentingDocumentingPermit Permit
DecisionsDecisions
Legal ConceptsLegal Concepts
Specific NoticeSpecific Notice is Required: Permit vs. is Required: Permit vs. Legal Authority Legal Authority
Statute of LimitationsStatute of Limitations: 3 years Record: 3 years Record Retention vs. 5 Year US Codes Retention vs. 5 Year US Codes
Permit as a ShieldPermit as a Shield EnforceabilityEnforceability: Preponderance of the: Preponderance of the
Evidence vs.. Beyond a reasonable Evidence vs.. Beyond a reasonable doubt.doubt.
Fact Sheets: Documentation of Fact Sheets: Documentation of Permit DecisionsPermit Decisions
Permanent recordPermanent record Useful in the event of permit Useful in the event of permit
challengechallenge Streamline future permit re-Streamline future permit re-
issuanceissuance Keep Fact Sheet up-to-date if Keep Fact Sheet up-to-date if
permit modifications occur!!permit modifications occur!!
Fact Sheets: ContentsFact Sheets: Contents Description of the IU (Part and Description of the IU (Part and
subpart)subpart)
Type and quantity of the dischargeType and quantity of the discharge
Rationale for permit limitsRationale for permit limits
Rationale for IU specific conditionsRationale for IU specific conditions
Derivation of limitsDerivation of limits
Maintaining Permit Maintaining Permit RecordsRecords
Conversations, correspondence, Conversations, correspondence, and documentsand documents
Permittee, public, Control Permittee, public, Control Authority, and Approval Authority, and Approval AuthorityAuthority
Typical Information is included plus backup contacts for IU contact.
Category and Year facility became an indirect user.
Establish what core and regulated processes are present
Establish hours of operation AND hours when treatment system operates (or specify both are the same – from application).
Strongly suggest lookingat Google Earth or similarand including aerial photoif up-to-date.
Important to accurately reflect how they discharge wastewater.
This section describes the operator procedures that the permit is being written around
Document volumes of tanks and where they are located.
Document what is in each tank.It would also be good to note the size of the tank, whether or not there is a drain in the tank, and how often waste is dischargedor changed out.
Pictures will help youremember and will documentwhat is there.
A Fact Sheet necessity. Is it accurate? Any new piping?Any outfall or bypass valves not shown?
More info on treatment
Typical application of categorical standards and local limits. Discuss how each limit was derived.
It is good to evaluate all potentialTTOs. However, use of a MSDSmay not identify TTOs. Onlychemicals that are 1%-5% or greater are required to be listedon a MSDS. Ask for a certificateof analysis if you suspect TTOsin a raw reagent.
Pictures documentoutfall locations andmonitoring equipment.
Region 8 DOES NOTendorse the use of amonitoring point locatedwithin a facility. Whenidentified during an auditwe will visit the IU and seeif we are allowed immediate access.
Some IUs also have anexternal monitoring pointthat can be used by the POTWand is clearly stated in the permit.
Typical listing of monitoring frequency and sample type,
Establishing rationale for monitoring frequencies andsample type.
Industrial Industrial User PermitsUser Permits
Legal ConceptsLegal Concepts
Permits should be viewed as an Permits should be viewed as an enforceable stand-alone documentenforceable stand-alone document
Legal ConceptsLegal Concepts
Specific NoticeSpecific Notice is Required: Permit vs. is Required: Permit vs. Legal Authority Legal Authority
Statute of LimitationsStatute of Limitations: 3 years Record: 3 years Record Retention vs. 5 Year US Codes Retention vs. 5 Year US Codes
Permit as a ShieldPermit as a Shield EnforceabilityEnforceability: Preponderance of the: Preponderance of the
Evidence vs.. Beyond a reasonable Evidence vs.. Beyond a reasonable doubt.doubt.
Structure and WordingStructure and Wording– Affect on enforceabilityAffect on enforceability– Dos:Dos:
Use specific languageUse specific language
Develop concise and complete Develop concise and complete conditions and requirementsconditions and requirements
Write clearly and simplyWrite clearly and simply
Avoid conflicting languageAvoid conflicting language
Common Errors and OmissionsCommon Errors and Omissions
Improper calculation of standardsImproper calculation of standards
Failure to:Failure to:Include all/specific requirementsInclude all/specific requirementsRegulate all discharge pointsRegulate all discharge pointsAccount for predictable variationsAccount for predictable variationsApply all pollutant limits (local limit/cat Apply all pollutant limits (local limit/cat
stds)stds)
Common Errors and OmissionsCommon Errors and Omissions
Applying Bypass provisions that are less Applying Bypass provisions that are less stringent than Federal provisions (also stringent than Federal provisions (also Upsets and Confidentiality).Upsets and Confidentiality).
Failure to include:Failure to include:Change in Discharge ReportingChange in Discharge ReportingLimits Included with NO monitoring Limits Included with NO monitoring
requirements.requirements.IU to Report within 24 hours (when data IU to Report within 24 hours (when data
indicating a violation becomes available – lab indicating a violation becomes available – lab reports, flow/pH data)reports, flow/pH data)
Permit ContentsPermit Contents Name and address of the permittee (Facility Name and address of the permittee (Facility
address that is being permitted).address that is being permitted).
Citation of POTW legal authorityCitation of POTW legal authority
Reapplication requirements (either reapply by Reapplication requirements (either reapply by a date or within x days prior to permit a date or within x days prior to permit expiration)expiration)
Effective/Expiration Dates Effective/Expiration Dates
Signature of Control Authority (not after permit Signature of Control Authority (not after permit effective date)effective date)
Permit ContentsPermit Contents
Statement of Non-TransferabilityStatement of Non-Transferability Outfalls/Monitoring PointsOutfalls/Monitoring Points Effluent limits (Local Limits, Categorical Effluent limits (Local Limits, Categorical
Standards and Specific Prohibitions)Standards and Specific Prohibitions)
Specific Best Management Practices (BMPs)Specific Best Management Practices (BMPs)
Permit ContentsPermit Contents Approved Best Management Practices (BMPs) must Approved Best Management Practices (BMPs) must
be included where necessary. These are equivalent to be included where necessary. These are equivalent to local limits and are Pretreatment Standards.local limits and are Pretreatment Standards.
BMPs means schedules of activities, prohibitions of BMPs means schedules of activities, prohibitions of
practices, maintenance procedures, and other practices, maintenance procedures, and other management practices to implement the prohibitions management practices to implement the prohibitions listed in § 403.5(a)(1) and (b). BMPs also include listed in § 403.5(a)(1) and (b). BMPs also include treatment requirements, operating procedures, and treatment requirements, operating procedures, and practices to control plant site runoff, spillage or leaks, practices to control plant site runoff, spillage or leaks, sludge or waste disposal, or drainage from raw sludge or waste disposal, or drainage from raw materials storage.materials storage.
Permit ContentsPermit Contents
Self-Monitoring Requirements Self-Monitoring Requirements (frequency/sample type/chain-of-custody (frequency/sample type/chain-of-custody required). required).
Use terminology such as Once per month, Once per 6Use terminology such as Once per month, Once per 6Months, Twice per Week, etc. DO NOT use “biweekly”,Months, Twice per Week, etc. DO NOT use “biweekly”,““bimonthly”, “Twice per Year”, etc. bimonthly”, “Twice per Year”, etc.
Biweekly can be interpreted both as “Once per TwoBiweekly can be interpreted both as “Once per TwoWeeks” and “Twice per Week”Weeks” and “Twice per Week”
Reporting vs. Monitoring Reporting vs. Monitoring FrequencyFrequency
Keep the reporting frequency in line with the Keep the reporting frequency in line with the monitoring frequency. If they monitor monthly, it is not monitoring frequency. If they monitor monthly, it is not advisable to have the IU reporting once per 6 months. advisable to have the IU reporting once per 6 months. This can make the POTW appear to be failing to This can make the POTW appear to be failing to enforce in a timely manner, especially where the IU enforce in a timely manner, especially where the IU fails to identify and report violations within 24 hours.fails to identify and report violations within 24 hours.
Permit ContentsPermit Contents Reporting Requirements (Including BMP Reporting Requirements (Including BMP
Compliance Reporting). Example language Compliance Reporting). Example language “The permittee shall submit the required “The permittee shall submit the required monitoring report no later than the 28monitoring report no later than the 28thth of of the month following the month in which the the month following the month in which the monitoring was required.”monitoring was required.”
Sampling PeriodSampling Period Reporting Due DateReporting Due Date
January 1 to March 31January 1 to March 31 April 15April 15
April 1 to June 30April 1 to June 30 July 15July 15
July 1 to September 30July 1 to September 30 October 15October 15
October 1 to December October 1 to December 3131
January 15January 15
Reporting and Chain-of-CustodyReporting and Chain-of-Custody
Things the Permittee should be reporting: Things the Permittee should be reporting: Concentration/measurement for all parameters, Concentration/measurement for all parameters, date(s) of sample collection, person taking date(s) of sample collection, person taking sample, flow information, pH records, sample, flow information, pH records, certification of pH and flow calibration, copies of certification of pH and flow calibration, copies of all manifests for off-site disposal of liquid all manifests for off-site disposal of liquid wastes, signatory and other certifications, wastes, signatory and other certifications, analytical methods used, method detection analytical methods used, method detection limits, date of analysis, and laboratory limits, date of analysis, and laboratory certification (name of lab).certification (name of lab).
Permit ContentsPermit Contents
Signatory Certification LanguageSignatory Certification Language TTO Certification Language (for applicable TTO Certification Language (for applicable
CIUs)CIUs) Permit Revocation/Suspension ProvisionsPermit Revocation/Suspension Provisions Permit Modification ProvisionsPermit Modification Provisions 24-hour notification of becoming aware of a 24-hour notification of becoming aware of a
violation. This notification must be documented violation. This notification must be documented by POTW.by POTW.
Permit ContentsPermit Contents
Automatic 30-day retest for pollutant(s) that Automatic 30-day retest for pollutant(s) that show violations.show violations.
Prohibition on DilutionProhibition on Dilution DefinitionsDefinitions General/Specific ProhibitionsGeneral/Specific Prohibitions Right of Entry (Suggest references to “during Right of Entry (Suggest references to “during
reasonable times” be removed from legal reasonable times” be removed from legal authority and permits.authority and permits.
Permit ContentsPermit Contents
Records Retention (3 vs. 5 years)Records Retention (3 vs. 5 years)Administrative, Civil and/or Criminal Penalty Administrative, Civil and/or Criminal Penalty
Provisions. Region 8 suggests POTWs adopt Provisions. Region 8 suggests POTWs adopt administrative penalty authority wherever administrative penalty authority wherever possible.possible.
Requirement to use 40 CFR Part 136 approved Requirement to use 40 CFR Part 136 approved analytical methods and holding times/conditionsanalytical methods and holding times/conditions
Collection of Representative SamplesCollection of Representative Samples
Permit ContentsPermit Contents
Immediate Notification of Slug DischargesImmediate Notification of Slug DischargesSlug Discharge Plans (where required)Slug Discharge Plans (where required)Additional Monitoring to be reportedAdditional Monitoring to be reportedCompliance SchedulesCompliance SchedulesPretreatment Facilities/Outfall Maintenance Pretreatment Facilities/Outfall Maintenance
RequirementsRequirementsNotification of Changed Discharge Notification of Changed Discharge Bypass Provisions (if allowed)Bypass Provisions (if allowed)
Permit ContentsPermit Contents
Hazardous Waste Notification (403.12(p)). All Hazardous Waste Notification (403.12(p)). All IUs are required to comply with this provision. IUs are required to comply with this provision.
Permit re-opener clausePermit re-opener clauseAccidental Discharge ReportingAccidental Discharge ReportingDuty to Mitigate Adverse ImpactsDuty to Mitigate Adverse ImpactsConfidentiality (403.14)Confidentiality (403.14)Upsets (403.16)Upsets (403.16)Other Conditions as Required by POTWOther Conditions as Required by POTW
Zero Zero Discharge Discharge
PermitPermit
What is the Problem????What is the Problem????
Many IUs, especially metal finishers want Many IUs, especially metal finishers want to be permitted as zero dischargers to get to be permitted as zero dischargers to get out from under rigorous permitting and out from under rigorous permitting and monitoring requirements.monitoring requirements.
Some can achieve zero discharge. Those Some can achieve zero discharge. Those hard chrome platers that use their rinse hard chrome platers that use their rinse waters for make-up water waters for make-up water maymay be able to be able to achieve zero discharge.achieve zero discharge.
What is the Problem????What is the Problem????
When a violation occurs, it is often an When a violation occurs, it is often an illegal discharge to the POTW.illegal discharge to the POTW.
These illegal discharges do not generally These illegal discharges do not generally fall into the realm of “civil” violations. The fall into the realm of “civil” violations. The discharge has usually required the CIU to discharge has usually required the CIU to actively take actions to make a discharge actively take actions to make a discharge happen.happen.
What is the Problem????What is the Problem????
Prosecuting a criminal case requires that Prosecuting a criminal case requires that the permit is clear and does not introduce the permit is clear and does not introduce confusing requirements and language confusing requirements and language suggesting that the IU can discharge.suggesting that the IU can discharge.
Remember: Civil: Preponderance of the Remember: Civil: Preponderance of the evidence. Criminal: Beyond a reasonable evidence. Criminal: Beyond a reasonable doubt. A poorly written permit may doubt. A poorly written permit may introduce a reasonable doubt.introduce a reasonable doubt.
Zero Discharge PermitsZero Discharge Permits
Fact Sheet (clear description of permit, operations, Fact Sheet (clear description of permit, operations, and zero discharge status). Critical that the POTW and zero discharge status). Critical that the POTW reflect what the permittee disclosed in the application. reflect what the permittee disclosed in the application. Provide fact sheet to permittee with the permit.Provide fact sheet to permittee with the permit.
Permit Effective DatePermit Effective Date
Permit Expiration DatePermit Expiration Date
Legal Authority CiteLegal Authority Cite
Statement of non-transferabilityStatement of non-transferability
Zero Discharge PermitsZero Discharge Permits
Specific prohibition on discharge of any non-domestic Specific prohibition on discharge of any non-domestic wastewater. Absolutely no section on monitoring wastewater. Absolutely no section on monitoring requirements, sample analytical methods, re-requirements, sample analytical methods, re-sampling, etc).sampling, etc).
Reapplication RequirementsReapplication Requirements
ConfidentialityConfidentiality
Requirement to maintain facility to achieve zero Requirement to maintain facility to achieve zero discharge.discharge.
Zero Discharge PermitsZero Discharge Permits
Notification of any changes, spills, etc.Notification of any changes, spills, etc.
Appropriate IU reporting requirements (No discharge Appropriate IU reporting requirements (No discharge certification, etc)certification, etc)
Right of Entry (Do not have language “at reasonable Right of Entry (Do not have language “at reasonable times”. If illegal dumping is occurring, then accessing times”. If illegal dumping is occurring, then accessing the property at midnight for sample collection may be the property at midnight for sample collection may be reasonable).reasonable).
Records retentionRecords retention
Zero Discharge PermitsZero Discharge Permits
Civil and/or Criminal Penalty provisionsCivil and/or Criminal Penalty provisions
Permit Modification referencePermit Modification reference
Revocation/Termination of permit conditionsRevocation/Termination of permit conditions
Signature Certification RequirementsSignature Certification Requirements
Notification of changes in practices and/or operations Notification of changes in practices and/or operations (NOT a notification of changed discharge)(NOT a notification of changed discharge)
Zero Discharge PermitsZero Discharge Permits
Other Conditions to Consider:Other Conditions to Consider:
Specific Storm Sewer Discharge ProhibitionSpecific Storm Sewer Discharge Prohibition
Maintain and Report all off-site waste disposal Maintain and Report all off-site waste disposal (manifests, trip tickets).(manifests, trip tickets).
Report all water consumption.Report all water consumption.
A poorly written or confusing A poorly written or confusing permit will make enforcement permit will make enforcement
more difficult. If a judge or jury more difficult. If a judge or jury cannot understand the permit, it cannot understand the permit, it is less likely that the POTW will is less likely that the POTW will be successful in prosecuting the be successful in prosecuting the
violator.violator.
Included is an example Region 8 Included is an example Region 8 Zero Discharge Permit. This was Zero Discharge Permit. This was
constructed from permits constructed from permits provided by POTWs in Region 8 provided by POTWs in Region 8
and questions that have come up and questions that have come up in various court cases.in various court cases.