Industrial User Permitting
     Guidance Manual
           833-R-12-001A

           September 2012
     United States Environmental Protection Agency
            Office of Water

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DISCLAIMER
The discussion in this document is intended solely as a summary of existing guidance. This
document is not a regulation, nor does it substitute for any requirements under the Clean Water
Act (CWA) or U.S. Environmental Protection Agency's (EPA's) regulations. Thus, it does not
impose legally binding requirements on EPA, states, municipalities, or the regulated community. The
general descriptions provided in this document might not apply to a particular situation based on the
circumstances. This document does not confer legal rights or impose legal obligations on any member of
the public.

Among other things, the document describes existing requirements with respect to industrial dischargers
and publicly owned treatment works (POTWs) under the CWA and its implementing regulations at Title
40 of the Code of Federal Regulations, Parts 122, 123, 124, and 403 and chapter I, subchapter N.
Although EPA has made every effort to ensure the accuracy of the discussion in this document, a
discharger's obligations  are determined, in the case of directly discharging POTWs, by the terms of its
National Pollutant Discharge Elimination System permit and EPA's regulations or, in the case of indirect
dischargers, by permits or equivalent control mechanisms issued to POTW industrial users or by
regulatory requirements. Nothing in this document changes any statutory or regulatory requirement. If a
conflict arises between this document's content and any permit or regulation, the permit or regulation
would be controlling. EPA and local decision makers retain the discretion to adopt approaches on a case-
by-case basis that differ from those described in this document where appropriate and authorized by EPA
regulations, state law, or local ordinances.

Mention of trade names or commercial products does not constitute endorsement or recommendation for
their use.

This document is current as of September 2012. EPA may decide to revise this document without public
notice to reflect changes in the Agency's approach to implementing pretreatment standards or to clarify
and update text. To determine whether EPA has revised or supplemented the information in this
document, access the document at http://www.epa.gov/npdes/pretreatment.

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                                                                             CONTENTS
CONTENTS
                                                                                    Page

PART I ESTABLISHING A PERMIT PROGRAM
  CHAPTER 1. BACKGROUND	1-1
     1.1   PRETREATMENT PROGRAM DEVELOPMENT	1-3
     1.2   INDIVIDUAL PERMITS OR GENERAL CONTROL MECHANISMS	1-4
     1.3   WHO ISSUES PERMITS	1-5
     1.3   WHY PERMITS ARE RECOMMENDED	1-6
  CHAPTER 2. PERMIT ISSUANCE PROCESS	2-1
     2.1   HOW TO IDENTIFY INDUSTRIAL USERS	2-1
     2.2   WHO NEEDS A PERMIT	2-2
     2.3   WHEN TO ISSUE A PERMIT	2-4
     2.4   WHAT TYPES  OF PERMITS TO USE	2-5
      2.4.1   Individual Control Mechanisms	2-5
      2.4.2   General Control Mechanisms	2-6
     2.5   PERMIT DURATIONS	2-7
     2.6   WHEN TO MODIFY OR TERMINATE PERMITS	2-7
      2.6.1   Permit Modifications	2-7
      2.6.2   Permit or Discharge Terminations or Suspensions	2-9
     2.7   PERMIT TRANSFERABILITY	2-9
      2.7.1   Change in Ownership	2-10
      2.7.2   Modify or Revoke and Reissue	2-10
     2.8   PUBLIC PARTICIPATION	2-11
     2.9   ISSUING THE FINAL PERMIT	2-12
     2.10 PERMIT APPEALS	2-15
     2.11 PERMIT REISSUANCE	2-16
     2.12 CONTINUING PERMITS BEYOND THEIR EXPIRATION DATE	2-16
  CHAPTER 3. LEGAL AUTHORITY FOR A PERMIT PROGRAM	3-1
     3.1   LEGAL AUTHORITY	3-1
      3.1.1   Authority Over All Industrial Users Contributing to the POTW	3-2
      3.1.2   Authority to Require and Issue Individual Permits and General Control Mechanisms	3-3
      3.1.3   Authority to Enforce Permit Violations	3-6

PART II PERMIT WRITING PROCEDURES
  CHAPTER 4. PERMIT APPLICATIONS	4-1
     4.1   WHAT INFORMATION TO COLLECT AND HOW TO COLLECT IT	4-1
     4.2   APPLICATION REVIEW PROCESS	4-2
      4.2.1   Completeness	4-2
      4.2.2   Accuracy	4-5
      4.2.3   Background Information Review	4-7
      4.2.4   Facility Inspection	4-9
     4.3   PUBLIC ACCESS TO INFORMATION	4-10
  CHAPTER 5. PERMITTING CONSIDERATIONS	5-1
     5.1   CONTENTS OF A PERMIT	5-1
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CONTENTS
     5.2  STRUCTURE AND WORDING	5-1
     5.3  COMMON PERMITTING ERRORS AND OMISSIONS	5-2
     5.4  FLEXIBILITY	5-3
     5.5  DOCUMENTING PERMIT DECISIONS	5-5
  CHAPTER 6. COMPONENTS OF THE COVER PAGE	6-1
     6.1  FORMAT	6-1
     6.2  ELEMENTS OF THE COVER PAGE	6-1
  CHAPTER 7. EFFLUENT LIMITATIONS	7-1
     7.1  SELECTING POLLUTANTS TO BE REGULATED	7-1
       7.1.1   Which Pollutants Require Regulation?	7-1
     7.2  APPLYING EFFLUENT LIMITS	7-17
       7.2.1   What Other Pollutants Are Present?	7-18
       7.2.2   Relationship of Local Limits to Categorical Pretreatment Standards	7-18
       7.2.3   Concentration-or Mass-Based Limits	7-20
       7.2.4   NSCIU Requirements	7-22
       7.2.5   Zero-Discharge Requirements	7-22
       7.2.6   Tiered Permits	7-23
  CHAPTER 8. MONITORING AND REPORTING REQUIREMENTS	8-1
     8.1  SAMPLING LOCATIONS	8-3
     8.2  POLLUTANTS TO BE MONITORED	8-6
     8.3  SAMPLE TYPE	8-7
       8.3.1   Grab Sample	8-7
       8.3.2   Composite Sample	8-8
     8.4  MONITORING FREQUENCIES	8-8
     8.5  ANALYTICAL METHODS	8-12
     8.6  REPORTING REQUIREMENTS	8-12
       8.6.1   What Types of Information	8-21
       8.6.2   When Reports Should be Submitted	8-23
       8.6.3   Who Signs the Reports	8-24
       8.6.4   Where Reports Are to be Sent	8-25
       8.6.5   How Reports May be Submitted	8-25
  CHAPTER 9. STANDARD CONDITIONS	9-1
  CHAPTER 10. SPECIAL CONDITIONS	10-1
     10.1 COMPLIANCE SCHEDULES	10-1
     10.2 ADDITIONAL MONITORING REQUIREMENTS	10-3
     10.3 SPECIAL CONDITIONS FOR ZERO-DISCHARGE PERMITS	10-4
  CHAPTER 11. DOCUMENTATION OF PERMIT DECISIONS	11-1
     11.1 PERMIT FACT SHEET	11-2
     11.2 PERMIT RECORD	11-3

PART III OVERVIEW OF REQUIREMENTS REGARDING POTW RECEIPT OF HAZARDOUS WASTES
  CHAPTER 12. OVERVIEW OF REQUIREMENTS REGARDING POTW RECEIPT OF HAZARDOUS
              WASTES	12-1
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                                                                      CONTENTS
FIGURES
FIGURE 2-1. COMMON ELEMENTS OF AN INDIVIDUAL PERMIT ISSUANCE PROCESS	2-14

TABLES
TABLE 4-1 EXAMPLES OF DEFICIENCIES COMMONLY FOUND IN PERMIT APPLICATIONS	4-3
TABLE 4-2 COMMON INACCURACIES IN PERMIT APPLICATIONS	4-6
TABLE 4-3 VERIFICATION OF FLOW DATA USING WATER BALANCE	4-7
TABLE 5-1 EXAMPLE OF FLEXIBILITY OF INDIVIDUAL PERMITS	5-3
TABLE 5-2 USING GENERAL CONTROL MECHANISMS	5-4
TABLE 7-1 EXAMPLES OF SELECTING POLLUTANTS FOR REGULATION	7-2
TABLE 7-2 FORMULAS FOR CALCULATING EQUIVALENT LIMITS FROM PRODUCTION-
         BASED STANDARDS	7-5
TABLE 7-3 EXAMPLE OF INCORPORATING PRODUCTION-BASED STANDARDS AS
         EQUIVALENT MASS LIMITS IN A PERMIT	7-6
TABLE 7-4 NATIONAL PROHIBITED DISCHARGES	7-11
TABLE 7-5 EXAMPLE OF INCORPORATING PROHIBITED DISCHARGES IN PERMIT	7-12
TABLE 7-6 EXAMPLE OF FACT SHEET DOCUMENTING THE DETERMINATION OF THE MOST
         STRINGENT DAILY MAXIMUM EFFLUENT LIMITS	7-19
TABLE 7-7 FORMULAS FOR CONVERTING LOCAL LIMITS	7-21
TABLE 8-1 EXAMPLES OF SPECIAL MONITORING AND REPORTING REQUIREMENTS FOR
         SPECIFIC CATEGORICAL PRETREATMENT STANDARDS	8-2
TABLE 8-2 EXAMPLES OF SPECIFYING SAMPLING LOCATIONS IN PERMITS	8-5
TABLE 8-3 RECOMMENDED INDUSTRIAL SELF-MONITORING FREQUENCIES DURING THE
         INITIAL COMPLIANCE PERIOD	8-10
TABLE 8-4 INDUSTRIAL USER REPORTING REQUIREMENTS	8-14
TABLE 8-5 EXAMPLE OF REPORTING REQUIREMENTS IN A PERMIT	8-19
TABLE 8-6 FUNDAMENTAL ELEMENTS OF AN INDUSTRIAL USER PERIODIC COMPLIANCE
         REPORT	8-21
TABLE 9-1 EXAMPLES OF DIFFERENT LANGUAGE USED TO INCORPORATE STANDARD
         CONDITIONS INTO INDUSTRIAL USER PERMITS	9-1
TABLE 10-1 EXAMPLE OF INCORPORATING A COMPLIANCE SCHEDULE IN THE SPECIAL
         CONDITION SECTION OF A PERMIT	10-2
TABLE 10-2 EXAMPLES OF INCORPORATING ADDITIONAL MONITORING REQUIREMENTS
         IN PERMITS	10-3
TABLE 11-1 COMPONENTS OF A PERMIT FACT SHEET	11-2
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CONTENTS
APPENDICES

APPENDIX A BIBLIOGRAPHY

APPENDIX B GLOSSARY OF TERMS

APPENDIX C SAMPLE PERMIT APPLICATION FORM

APPENDIX D PERMIT FACT SHEET TEMPLATE

APPENDIX E SAMPLE PERMIT FACT SHEET AND INDUSTRIAL USER PERMIT

APPENDIX F SAMPLE STANDARD CONDITIONS FOR PERMITS

APPENDIX G SUMMARY OF INDUSTRIAL SECTORS WITH CATEGORICAL PRETREATMENT
           STANDARDS AND REQUIREMENTS

APPENDIX H PRETREATMENT STREAMLINING RULE FACT SHEET 7.0: BEST
           MANAGEMENT PRACTICES

APPENDIX I  PRODUCTION-BASED STANDARDS FACT SHEET

APPENDIX J  COMBINED WASTESTREAM FORMULA FACT SHEET
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                                                                   HOW TO USE THIS MANUAL
                                HOW TO USE THIS MANUAL

PURPOSE
The U.S. Environmental Protection Agency (EPA), Office of Water, prepared this guidance manual to
provide information guidance for developing and issuing permits (or control mechanisms) to nondomestic
(Industrial) Users under the National Pretreatment Program. The purpose of this guidance is to assist new
permit writers, experienced permit writers, and legal and administrative personnel who are involved in
implementing an SIU permitting program in preparing effective and enforceable permits or other control
mechanisms.

This manual provides documentation of EPA's recommendations as well as federal requirements for
Significant Industrial User (SIU) permit contents and structure. The manual contains many examples of
sections and conditions of a permit, as well as complete sample permits and fact sheets. The goal is to
furnish this information to permit writers in a reference manual format that they can use throughout the
permitting process.

In addition to the people directly responsible for drafting and issuing permits, legal and administrative
support staff should be aware of several aspects of the permitting process. For such individuals, the
manual provides background information on requirements of the issuance process and discusses the
necessary legal authority required to implement an effective program.

USE
It is recommended that all personnel directly involved with the permit drafting and issuance processes
scan the entire manual to get an overview of its contents and structure. In scanning the manual, the reader
should note any sections that are pertinent to the reader's role in the permitting process.

EPA recommends that new permit writers read all sections of this manual carefully to learn about each
phase of the permit drafting and issuance process. An understanding of each section will provide the
inexperienced permit writer with an overview of the typical components of an SIU permit and the permit
issuance process including legal requirements, permit drafting, public participation, and permit issuance.

Experienced permit writers should carefully study the permitting examples provided to determine if their
own permits could be strengthened by modifying or adding the recommended provisions. The manual can
also be used as a reference source.

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HOW TO USE THIS MANUAL
The Control Authority's legal and administrative support personnel should also become familiar with the
provisions of the guidance manual with which they will be involved. Such individuals should carefully
read the background and issuance procedures sections to ensure that their administrative procedures and
legal authority are consistent with applicable requirements. The glossary in Appendix B and the list of
acronyms and abbreviations immediately following this section are provided to assist the reader. When
terms appear that are unfamiliar, the reader should consult the glossary and list of acronyms and
abbreviations.

Finally, the regulated community and public citizens might also be interested in this manual to learn about
the legal and technical aspects of issuing industrial user permits.

LIMITATIONS
While this guidance manual gives an overview of the permit writing and issuance processes, it is not
intended to address all the specific questions that could arise during the permitting process. Where other
pertinent guidance is available, this manual references those documents. The permit writer is, therefore,
encouraged to use this  manual in conjunction with the following EPA guidance documents:
    •   Local Limits Development Guidance
    •    Guidance for Developing Control Authority Enforcement Response Plans
    •    Guidance Manual for the Control of Wastes Hauled to Publicly Owned Treatment Works
    •   Industrial User Inspection and Sampling Manual for POTWs
    •   Multijurisdictional Pretreatment Programs Guidance Manual
    •   Pretreatment Streamlining Rule Fact Sheet 7.0: Best Management Practices (EPA-833-F-06-013)

Those documents serve as companion documents to this manual and contain technical guidance on
developing local limits, specific information on enforcing Pretreatment Standards and Requirements,
guidance for controlling hauled waste, information regarding compliance inspections and sampling,
guidance on implementing a pretreatment program within multiple jurisdictions, and information
regarding best management practices.

Throughout the text of this manual, all references to supplementary guidance material and development
documents cite only the document title. Complete citations for all relevant guidance documents are found
in the bibliography in Appendix A. Any reference to the Code of Federal Regulations (CFR) is followed

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                                                                   HOW TO USE THIS MANUAL
by a bracketed citation of the specific section (e.g., [40 CFR Part 403]). References to the Federal
Register are also bracketed (e.g., [53 FR Part 40562; October 17, 1988]).

In general, each Control Authority has pretreatment concerns unique to its own area, necessitating
specific local requirements. Discussion of specific requirements that must be met to comply with local or
state laws under which a Control Authority operates is beyond the scope of this document. The permit
writer should, therefore, consult with his/her attorney on such issues.

The National Pretreatment Program continues to evolve, and the concepts and procedures recommended
here could change with time and experience. For notifications on updates to the National Pretreatment
Program, see EPA's website (www.epa.gov/npdes/pretreatment).
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                                                          ACRONYMS AND ABBREVIATIONS
ACRONYMS AND ABBREVIATIONS
The following is an alphabetical list of all acronyms and abbreviations used in this manual. Its purpose is
to serve as a quick reference for those who might be unfamiliar with the lettered shortcuts that are
commonly used to signify terms and phrases associated with the industrial pretreatment permitting
program.
BMPs
BMR
BOD
BPJ
CFR
CIU
CWA
CWF
EPA
FR
GC
GC/MS
gpd
LEL
MAHL
mgd
mg/L
Best Management Practices
Baseline Monitoring Report
Biochemical Oxygen Demand
Best Professional Judgment
Code of Federal Regulations
Categorical Industrial User
Clean Water Act (Public Law 95-217 as amended)
Combined Wastestream Formula
U.S. Environmental Protection Agency
Federal Register
Gas Chromatography
Gas Chromatography/Mass Spectroscopy
Gallons Per Day
Lower Explosive Limit
Maximum Allowable Headworks Loading
Million Gallons Per Day
Milligrams Per Liter
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ACRONYMS AND ABBREVIATIONS
MTCIU

NAICS

NPDES permit


NSCIU

O&M

POTW

PSES

PSNS

QA

QC

RCRA

SIC

SIU

SWDA

TOMP

TSS

TSDF

TTO
Middle-tier Categorical Industrial User

North American Industry Classification System

National Pollutant Discharge Elimination System permit issued pursuant to section
402 of the Clean Water Act

Nonsignificant Categorical Industrial User

Operation and Maintenance

Publicly Owned Treatment Works

Pretreatment Standards for Existing Sources

Pretreatment Standards for New Sources

Quality Assurance

Quality Control

Resource Conservation and Recovery Act

Standard Industrial Classification

Significant Industrial User

Solid Waste Disposal Act

Toxic Organic Management Plan

Total Suspended Solids

Treatment, Storage, and Disposal Facility

Total Toxic Organics
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        PARTI
Establishing a Permit Program

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CHAPTER 1	Background


                                         CH AFTER 1.
                                       BACKGROUND

The National Pretreatment Program's primary goal is to protect Publicly Owned Treatment Works
(POTWs) and the environment from adverse impacts that might occur when pollutants are discharged into
a sewage system.

The specific pretreatment program goals are as follows:
    •   Prevent the introduction of pollutants into the POTW that will  pass through the treatment works
       or are otherwise incompatible with treatment
    •   Prevent the introduction of pollutants that could interfere with POTW operations, including
       interference with the POTW's chosen sewage sludge use and disposal practices, as well as
       pollutants that could threaten worker health and safety
    •   Improve opportunities to recycle and reclaim municipal and industrial wastewaters and sludges

Discharges to a POTW have the potential to cause the POTW to violate its National Pollutant Discharge
Elimination System (NPDES) permit if the treatment system is not able to adequately remove the
pollutant contained in the discharge or the pollutant otherwise damages or disrupts operations of the
POTW. Industrial discharges to POTWs have historically been a significant source  of pollutants in  our
nation's waters. Certain industrial discharges can interfere with the operation of POTWs, leading to the
discharge of untreated or inadequately treated wastewater into rivers, lakes, and such. Some pollutants are
not compatible with biological wastewater treatment at POTWs and may pass through the treatment plant
untreated. This pass through of pollutants affects the surrounding environment, occasionally causing fish
kills or other detrimental alterations of the receiving waters. Even when POTWs have the capability to
remove toxic pollutants from wastewater, the toxics can end up in the POTW's sewage sludge, which in
many places is land applied to  food crops, parks, or golf courses as fertilizer or soil  conditioner.

The Clean Water Act (CWA or the Act) addresses this problem by requiring the U.S.  Environmental
Protection Agency (EPA) to promulgate federal standards for the pretreatment of wastewater discharged
to a POTW [33 U.S.C. § 1317(b)(3)]. Section 307(d) of the Act prohibits discharge  in violation of any
pretreatment standard [33 U.S.C. § 1317(d)]. The CWA prohibits the introduction of pollutants into a
POTW that might pass through or interfere with the POTW and its operations. Discharge of a pollutant is
a term specifically defined in the CWA to mean the discharge of a pollutant to navigable waters, and such
discharges are generally prohibited except in compliance with the Act and a permit  under section 402 of

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CHAPTER 1	Background

the Act. While this document uses the word discharge in its commonly understood meaning when
referring to the introduction of pollutants into a POTW, such a discharge is not a CWA discharge of
pollutants to navigable waters.

To address indirect discharges from industries to POTWs, EPA has established the National Pretreatment
Program as a component of the NPDES Permitting Program. The National Pretreatment Program requires
industrial and commercial dischargers to treat or control pollutants in their wastewater before discharge to
POTWs. EPA has chosen to promulgate pretreatment standards at the same time it promulgates effluent
limitations guidelines for industry categories of direct dischargers under sections 301(b) and 304(b) of the
Act [33 U.S.C. § 131 l(b) and 1314(b)]. These pretreatment regulations are applicable to industrial
indirect dischargers—those discharging to POTWs—and are known as categorical pretreatment
standards. EPA has also developed other nationally applicable pretreatment standards (national
pretreatment standards) under section 307(b) in its General  Pretreatment Regulations for Existing and
New Sources of Pollution (Pretreatment Regulations) at 40 CFR Part 403. Such pretreatment standards
are applicable to any user of a POTW, defined as a source of an indirect discharge [40 CFR 403.3(i)].

These national pretreatment standards include (1) a general prohibition and (2) specific prohibitions. The
general prohibition prohibits any user of a POTW from introducing a pollutant into the POTW that will
cause pass through or interference. EPA's regulations define both pass through and interference. Pass
through is defined  as a 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. Interference includes a discharge that,
alone or in conjunction with a discharge from other sources will, among other things, prevent sewage
sludge use in compliance with described regulatory provisions including section 405 of the Act [40 CFR
403.3(k)(2)].  In addition, under the Pretreatment Regulations, certain POTWs must develop and enforce
local limits to implement the general and specific prohibitions of section 403.5(a)(l) and (b). Local limits
that are developed  by a POTW in accordance with the regulations are pretreatment standards for purposes
of section 307(d) of the CWA [40 CFR403.5(d)]. See also 40 CFR 403.3(1) ("The term National
Pretreatment Standard, Pretreatment Standard, or Standard ... includes any prohibitive discharge limits
established pursuant to § 403.5.").

Finally, states and POTWs always have the option of establishing more stringent requirements if such
requirements are authorized and necessary, pursuant to their state or local law. Generally, this document
describes only the National Pretreatment Program requirements established pursuant to the CWA and
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CHAPTER 1	Background

implementing regulations. Where state or local requirements are implemented in the same control
mechanism, the control mechanism should clearly identify the applicable local or state regulation or
enabling legislation. (For a discussion of other conditions in IU permits based on state or local
requirements, see Section 3.1.2.7.) Therefore, each the pretreatment program can be a mixture of federal,
state, and local standards and requirements.

1.1     PRETREATMENT PROGRAM DEVELOPMENT
The General Pretreatment Regulations [40 CFR 403.8(a)] require all POTWs with design flows greater
than 5 million gallons per day (mgd) and receiving industrial discharges that pass through or interfere
with the operation of the POTW, or are otherwise subject to Pretreatment Standards, to develop local
pretreatment programs (unless the state government has elected to administer the local program). EPA or
a state authorized to implement a state pretreatment program may require other POTWs to implement
pretreatment programs. It is assumed for the purposes of this manual that the POTW issuing Significant
Industrial User (SIU) control mechanisms has an approved pretreatment program and is, thus, the Control
Authority responsible for administering and enforcing the pretreatment program. The POTW's
pretreatment program implementation and enforcement responsibilities are in the POTW's NPDES
permit, and failure to adequately fulfill such activities constitutes an NPDES violation and could subject
the POTW to enforcement actions.

States with approved pretreatment programs are responsible for overseeing and coordinating the
development and approval of local pretreatment programs. Before state approval is obtained, EPA is the
Approval Authority for local pretreatment programs. (NPDES states must receive EPA approval before
they may function as Approval Authorities for pretreatment purposes. The conditions for approval are
found at 40 CFR 403.10. Before this approval, EPA serves as the pretreatment Approval Authority, even
where the state issues NPDES permits.) However, states may initiate pretreatment program activities even
before their state program is approved.

EPA's General Pretreatment Regulations require POTWs to use a control mechanism that ensures that
SIUs meet all applicable Pretreatment Standards and Requirements. Furthermore, at the discretion of the
POTW, this control may include the use of general control mechanisms (e.g., general permits) and
individual control mechanisms (e.g., individual permits). Before using general control mechanisms, the
Control Authority must ensure that it has the legal authority to implement general control mechanisms.
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CHAPTER 1	Background

Associated procedures for issuing general control mechanisms must be incorporated into the approved
program.

Even though the federal regulations state that POTWs can use permits, orders, or other similar means to
control SIUs' discharges, it is EPA's experience that the permit is the most effective means of ensuring
that industrial users are aware of all applicable pretreatment requirements. Permits allow for the
systematic integration of all applicable requirements and, if properly structured, can greatly facilitate
enforcement if noncompliance occurs. Therefore, EPA recommends that POTWs satisfy the control
mechanism requirement [40 CFR 403.8(f)(l)(iii)] and the requirement that the POTW have procedures to
notify SIUs of applicable Pretreatment Standards [40 CFR 403.8(f)(2)(iii)] by issuing permits to SIUs (for
further details, see 55 FR 30082; July 24, 1990). Regardless of the type of control mechanisms the POTW
uses, each control mechanism issued to an SIU must contain all the minimum federal requirements.

Throughout this document, the terms permit and control mechanism are used interchangeably.

1.2    INDIVIDUAL PERMITS OR GENERAL CONTROL MECHANISMS
POTWs are required to issue control mechanisms to SIUs [as defined at 40 CFR 403.3(v)(l)].  Individual
permits or general control mechanisms authorize the discharge of wastewater to a POTW upon condition
that the discharger complies with the permit terms. An SIU permit is effective for only a limited period
and should be revocable by the issuing authority at any time for just cause. In addition, the Control
Authority's legal authority will typically include a provision that forbids the discharge of industrial
wastewater from an SIU without a current Industrial User permit.

An individual permit or general control mechanism should describe, in a single document, all the duties
and obligations of the permittee including all applicable Pretreatment Standards and Requirements. At a
minimum, it must include the following [40 CFR 403.8(f)(2)]:
    •  Prohibited discharge standards and applicable categorical standards, local limits
    •  Effluent limits (including Best Management Practices [BMPs]) that are based on applicable
       general Pretreatment Standards, categorical Pretreatment Standards, local limits, and state and
       local law
    •  Monitoring and reporting requirements
    •  Statement of permit duration
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CHAPTER 1	Background

    •  Statement of nontransferability
    •  Statement of applicable civil and criminal penalties
    •  Requirements to control slug discharges if determined by the POTW to be necessary

Permits should not simply reference the applicable laws, but they must contain effluent limitations
(expressed in terms of concentration or mass of pollutants that may be discharged over a given period
including applicable BMPs), schedules for monitoring and reporting, requirements regarding sampling
location and scope, and a description of potential civil and criminal penalties and liabilities, as set forth by
the POTW's legal authority. Such conditions must reflect the most stringent of applicable federal, state,
and local Pretreatment Standards and Requirements.

In many Industrial User permit programs, permittees are given an opportunity to review and comment on
draft permits or challenge permit terms administratively within a specified period. If the permit is not
challenged upon issuance, or if all opportunities for challenge of the  final permit are exhausted, in most
states, it becomes binding on the permittee. Any violation of the permit is enforceable simply by proving
that the permit included a certain term and that the term was violated. The POTW should determine the
appropriate administrative appeals procedures as allowed under their state and local law.

1.3    WHO ISSUES PERMITS
POTWs with approved pretreatment programs are required to issue Industrial User permits or other
authorized control mechanisms to their Industrial Users. Such POTWs  are Control Authorities in the
National Pretreatment Program. In states with  approved state pretreatment programs, the state may
assume responsibility for implementing POTWs' local pretreatment programs [40 CFR403.10(e)]. In
such cases, the state is the Control Authority and is required to issue  Industrial User permits or other
authorized control mechanisms to the Industrial Users. In other cases, where the approved state
pretreatment program selectively requires certain POTWs to develop approved POTW programs and
assumes the responsibility for implementing other municipal programs, the state remains the Control
Authority and issues the Industrial User permits to those facilities where it has retained that responsibility
[40 CFR 403.10(e) and (f)]. Consequently, an  Industrial User permit may be issued by those states rather
than by POTWs. Of course, all states are free to issue such permits or other control mechanisms as they
deem necessary to carry out the requirements of state law; this might be particularly appropriate where
SIUs are discharging to a POTW that does not have an approved pretreatment program.
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CHAPTER 1	Background

1.3    WHY PERMITS ARE RECOMMENDED
The Control Authority must be able to regulate through permits, orders, or similar means the
contributions of its Industrial Users to ensure that the requirements of the General Pretreatment
Regulations are met [40 CFR 403.8(f)(l)(iii)]. As noted above, EPA believes that in most circumstances a
permit program is the most effective mechanism for controlling wastewater discharges.

A permit system provides a mechanism for the Control Authority to control the discharges of Industrial
Users to the POTW through an administrative process that facilitates understanding of Pretreatment
Standards and Requirements. The permitting process allows the Control Authority to clearly
communicate and address issues with an Industrial User before permit issuance. A permit clearly
identifies all the permittee's responsibilities and obligations in a single document, thereby increasing the
understanding of the Industrial User with regard to pretreatment requirements. The permit issuance
process itself leads to greater understanding and increased compliance rates by fostering dialogue and
development of a one-on-one relationship between the  POTW and an Industrial User.

Permit modification procedures can be established to provide flexibility to accommodate changes initiated
by the Control Authority or by the Industrial User. For example, if an Industrial User significantly
expands its process operation, the permit can be modified to reflect the increased wastewater discharge. In
addition, the POTW may revise its local limits requiring a change to the Industrial User's permit. The
ability to modify or revoke and reissue a permit also enables the Control Authority to accommodate
changes in federal, state, and local requirements.

Permits are also easily enforced, provided that permit conditions are written clearly and concisely and
require specific actions on the part of the Industrial User. For example, the Pretreatment Regulations
require periodic monitoring by the Industrial User. Thus, the permit must state that an Industrial User
must self-monitor rather than stating that the user should or may monitor. Permits allow the POTW and
interested citizens to measure the performance  of the Industrial User against the permit conditions to
determine compliance. In addition, where permittees are given only a limited period to challenge the
substantive content of an Industrial User permit, enforcement actions  brought after the limited time for
review need only demonstrate noncompliance with the specific conditions of the permit; the calculation of
applicable discharge limitations from narrative statutory and regulatory provisions is not at issue.
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                                        CHAPTER 2.
                               PERMIT ISSUANCE PROCESS

Before a Control Authority can begin issuing individual permits or general control mechanisms to
Industrial Users, it must have adequate legal authority to do so, and it must make some basic policy
decisions regarding how to identify possible Industrial Users, who will be required to obtain permits,
when permits will be issued, the effective period or duration for permits, and the circumstances under
which a permit may be modified or terminated. The following sections address factors that the Control
Authority should consider when answering such questions and establishing its legal authority to
implement and enforce its pretreatment program.

2.1     HOW TO IDENTIFY INDUSTRIAL USERS
The Control Authority is required to establish and implement procedures for identifying Industrial Users
as part of its program responsibilities [40 CFR 403.8(f)(2)]. The industrial community must be accurately
identified by the Control Authority. The Control Authority must prepare and maintain a list of industrial
users as part of the approved POTW Pretreatment Program [40 CFR 403.8(f)(6)]. Consequently, an
Industrial Waste Survey is a useful tool to first identify and characterize industrial discharges to the
POTW treatment plant. Below are additional methods frequently incorporated into the POTW procedures
in order to maintain the list:
    •   A requirement that new industries fill out applications for discharge when they apply for business
        licenses
    •   Communications with other city departments (i.e., water, utilities, health and safety, and building
        departments) concerning new industries in the POTW service area
    •   Continual review of business license records or other standard listings of industrial firms, such as
        Chamber of Commerce rosters or the telephone directory
    •   Ongoing inspection and monitoring activities
    •   Periodic expiration of permits and subsequent reapplication by permit holders
    •   Periodic mailing of a survey questionnaire to the industry accompanied by a request to update the
        information
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The Control Authority must submit to the Approval Authority an updated list of its Industrial Users at
least annually [40 CFR 403.12(i)].  In addition to programmatic requirements expressed in the General
Pretreatment Regulations at 40 CFR Part 403, POTWs should also be aware of the requirement to identify
their Industrial Users as part of their POTW NPDES Permit application [40 CFR 122.21(j)(6) and (7)]
and also to report any new or substantially changed pollutant introduced during the NPDES Permit term
[40 CFR 122.42(b).]

2.2    WHO NEEDS A PERMIT
One of the first decisions to be made  when establishing a permit program is to determine which Industrial
Users will be required to obtain a permit. At a minimum, EPA requires that permits be issued to all SIUs.
The Control Authority must establish a definition of an SIU to clearly establish which Industrial Users are
required to apply for and obtain permits to discharge. The Control Authority's definition of SIU must be
at least as stringent as the federal definition as listed at 40 CFR 403.3(v).

EPA has defined Significant Industrial  Users as the following:
    •   All Industrial Users subject to categorical Pretreatment Standards under 40 CFR 403.6 and 40
       CFR Chapter I, subchapter N.—known as Categorical Industrial Users (CIUs).
    •   Any other Industrial User that discharges an average of 25,000 gallons per day (gpd) or more of
       process wastewater to the POTW (excluding sanitary, noncontact cooling, and boiler blowdown
       wastewater); contributes a process wastestream that makes  up 5 percent or more of the average
       dry-weather hydraulic or organic capacity of the POTW treatment plant; or is designated as such
       by the Control Authority on the basis that the Industrial User has a reasonable potential to
       adversely affect the POTW's operation; or for violating any Pretreatment Standard or
       Requirement.
Furthermore, some categorical pretreatment standards require a facility to not discharge certain process
wastewaters. For those facilities, the permit writer should evaluate whether there is a potential for the
facility to actually discharge the prohibited process wastewater into the POTW. If the facility has no
potential (e.g., no sewer connection)  of discharging the prohibited wastewater, permit issuance to those
users is discretionary. Similarly if the facility uses a 100 percent recycling treatment system and has no
potential for discharge of the prohibited process wastewater, the facility would also not be considered  a
CIU. Regardless, CIUs that employ a 100 percent recycling system or claim no discharge of regulated
process wastewater should be thoroughly evaluated through an on-site inspection to determine if there is

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any reasonable potential for adversely affecting the POTW's operation or for violating any pretreatment
standard or requirement due to accidental spills, operational problems, or other causes. If the Control
Authority concludes that no regulated process wastewater can reach the POTW, and therefore, the facility
has no reasonable potential for adversely affecting the POTW's operation or for violating any
pretreatment standard or requirement, the facility need not be designated a CIU or an SIU, as defined by
40CFR403.3(v).
But if an Industrial User, subject to a federal standard of no discharge of certain process wastewaters or
prohibition of discharge of particular pollutants, has a potential to discharge a wastestream that is subject
to the federal standard, the user must be considered a CIU and, thus, an SIU (at least until a compliance
record can be established and the Control Authority can assess if the preconditions for a Nonsignificant
Categorical Industrial User (NSCIU) are satisfied. See below regarding NSCIU.). Therefore, these
facilities must be permitted. (For a summary of categorical sectors with prohibited discharge
requirements, see Appendix G.)

Other factors to consider when determining which additional Industrial Users the Control Authority
should permit include the following:
    •   Pollutants being introduced
    •   Spill potential
    •   Slug discharge potential
    •   Previous compliance history
    •   Potential for causing the POTW to violate its NPDES permit
    •   Potential for causing difficulties with sludge use or disposal

The federal Pretreatment Regulations allow, at the Control Authority's discretion, the classification of
certain CIUs as nonsignificant and, thus, not subject to permitting. Before implementing this provision,
the Control Authority must verify that it is authorized under state law and ensure that the POTW has the
legal authority to implement such provision. As defined in the Pretreatment Regulations at 40 CFR
403.3(v)(2), an NSCIU is a discharger that, among other things, never discharges more than 100 gpd of
total categorical wastewater to the POTW and never discharges any untreated concentrated wastes. If an
Industrial User is determined to be an NSCIU, the user is no longer an SIU and is therefore not required
to be controlled through a permit or other control mechanism although the Control Authority, of course,
may choose to do so. Regardless of whether an Industrial User is determined to be an NSCIU, it is still a

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categorical discharger and, as such, is still required to comply with applicable categorical Pretreatment
Standards and related reporting and notification requirements at 40 CFR 403.12(b), (c), (d), (f), (j), (1),
and (p). Furthermore, the Control Authority still must perform the same minimum oversight of an NSCIU
that is required for other facilities that are not SIUs, including notifying the CIU of its status and
requirements, reviewing required reports, verifying that daily regulated flow rates do not exceed  100 gpd,
random sampling and inspection, and investigating noncompliance as necessary.

Once the permitting program has become more firmly established, or if problems with specific pollutants
are identified, the Control Authority should consider expanding its program beyond the SIUs, such as
waste haulers, restaurants, auto maintenance facilities, and dental and medical facilities. Consequently,
the POTW should also establish the legal authority to issue permits to non-SIUs. For further discussion on
permitting waste haulers, see the Guidance Manual for the Control of Wastes Hauled to Publicly Owned
Treatment Works.

2.3     WHEN TO ISSUE A PERMIT
Once all potential permittees have been identified, the permits should be issued as soon as possible. If the
Control Authority will be permitting several SIUs, it might be helpful to issue the permits with staggered
expiration dates to balance the permit reissuance workload in the future. Control Authorities should plan
to reissue permits before they expire.

Many Control Authorities require existing SIUs to apply for initial permits within 6 months of the
adoption of local ordinance provisions authorizing a permit program. New SIUs permits must be issued
before SIUs begin discharging to the sewer system. Control Authorities have typically required each SIU
to submit an application for permit reissuance at least 90 days before the expiration date of the applicable
existing permit to provide the Control Authority with sufficient time to adequately evaluate the discharge,
develop permit conditions, and issue the permit on or before expiration.

The Control Authority's most important task is to have all SIUs under enforceable control mechanisms
that contain specific discharge conditions that are based on all available information at the time of permit
issuance. In instances where a Control Authority has a large number of SIUs, the initial permit issuance,
including thorough site inspections, could create a considerable backlog of Industrial Users waiting to be
permitted. The Control Authority might want to issue short-term permits or full-term permits with
reopener conditions allowing permit modification when more complete information has been obtained. In
addition, the Control Authority might want to determine whether to implement general control

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mechanisms for similar nondomestic dischargers that have similar processes and wastewater
characteristics (for further details on general control mechanisms, see Section 2.4.2 of this manual).
However, such control mechanisms must still contain the minimum elements required by the Pretreatment
Regulations (outlined in Chapter 5) and should be based on all existing data available to the permit writer
at that time.

2.4    WHAT TYPES OF PERM ITS TO USE
Keeping in mind that the purpose of issuing permits is for the Control Authority to notify Industrial Users
of the specific standards and requirements that they must meet, the Control Authority could choose to
develop and issue different types of permits for different reasons. The choice might result in improved
communication of requirements to  the permittee or could result in a resource savings for the Control
Authority. Whether the Control Authority chooses to issue individual, facility-specific permits or general
control mechanisms to multiple facilities, a control mechanism issued to SIUs must still contain the
minimum elements required by the Pretreatment Regulations.

2.4.1  Individual Control Mechanisms
The most traditional type of control mechanism is the individual, facility-specific permit. Although this
permit might contain general and specific prohibitions, categorical standards, and local limits that are very
similar or the  same as those issued  to other facilities in the Control Authority service area, the bases of the
standards and requirements are individually considered and determined. These types of permits are
appropriate when the Control Authority might have special circumstances that are unique to a single
facility. For example, individual  control mechanisms (and not general control mechanisms) will be
necessary when issuing permits for discharges where the  Categorical Pretreatment Standards are
production-based and where the Categorical Pretreatment Standards are expressed as mass  of pollutant
discharged per day because the Categorical Pretreatment  Standards is not expressed as a single number
but must be calculated for the specific user. Similarly, an individual control mechanism will be necessary
in other circumstances requiring  adjustments or calculation to determine the allowable discharge under
the  pretreatment standard, e.g., where wastestreams subject to categorical standards are combined with
other wastestreams before a sampling point or where net/gross allowance is granted.
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2.4.2   General Control Mechanisms
In addition to individual Industrial User permits, the Control Authority may have the option to issue
general control mechanisms to its Industrial Users. Provided that the approved POTW's pretreatment
program includes the general control mechanism provisions in accordance with 40 CFR Part 403 and the
state regulations allow for this provision, the Control Authority may use a general control mechanism for
facilities that meet the  following minimum criteria for being considered substantially similar:
    •  Involve the same or substantially similar types of operations
    •  Discharge the  same types of wastes
    •  Be subject to the same effluent limitations
    •  Be subject to the same or similar monitoring
    •  In the opinion  of the POTW, be more appropriately controlled under a general control mechanism
       than under individual control mechanisms

Using general control mechanisms allows the Control Authority to allocate resources more efficiently and
to provide timelier permit coverage.

General control mechanisms would be an available tool for permitting similar SIUs that are subject to
concentration-based standards or BMPs (or both). However, general control mechanisms are not available
for SIUs regulated by categorical Pretreatment Standards expressed as mass limits, which are inherently
unique to each user. The one exception to such a situation is where the POTW has imposed the same
mass-based local limit and any categorical Pretreatment Standards that are expressed as concentration
limits or BMPs on a number of facilities. In addition, general control mechanisms are not available for
Industrial Users whose limits are based on the Combined Wastestream Formula (CWF) or Net/Gross
calculations, or other calculated categorical Pretreatment Standard equivalents [40 CFR 403.6(e) and 40
CFR 403.15].

Before issuing general control mechanisms, the Control Authority should consider how it will notify
SIUs, subsequent to their filing a written request of coverage, that they are authorized to discharge under
the general control mechanism. In addition, the Control Authority should consider how it will
memorialize certain facility-specific factors such as sampling locations and any monitoring waivers (e.g.,
pollutants not present).
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In situations where a CIU has requested both coverage under a general control mechanism and a
monitoring waiver, it is the Control Authority's decision whether to exclude the CIU with sampling
waivers from coverage under a general control mechanism. If the Control Authority believes that a
general control mechanism is still appropriate for a CIU with monitoring waivers to be covered under a
general control mechanism, the Control Authority should determine what mechanism it will use to
incorporate facility-specific monitoring waivers into a general control mechanism. Some possible
mechanisms for addressing facility-specific monitoring waivers include issuing a separate monitoring
supplement to the general control mechanisms for the individual CIUs, using the waiver approval notice
as a facility-specific modification to the general control mechanism, or appending the general control
mechanism with specific monitoring waivers [70 FR 60147; October 14, 2005].

2.5     PERMIT DURATIONS
An Industrial User permit must not be issued for an indefinite term. The regulations at 40 CFR
403.8(f)(l)(iii) require both individual and general control mechanisms to be limited to a maximum 5-
year period; however, local or state law may mandate a shorter maximum duration. A short-term permit is
recommended where the permit writer knows that  the Industrial User is planning a major process change
or the business has been advertised for sale. Moreover, a short-term permit is also advisable where the
permit writer is aware of proposed changes in the federal, state, or local pretreatment program that might
significantly affect how the user will be regulated  in the future  (e.g., a revision to include a categorical
Pretreatment Standard). The permit writer should insert a condition to allow the Control Authority to
reopen the permit when changes occur or, if authorized to do so, may simply choose to modify the permit
under its general modification authority (see Section 2.6 below).

2.6    WHEN TO MODIFY OR TERMINATE PERMITS

2.6.1   Permit Modifications
Control Authorities must be able to revise their individual permits or general control mechanisms to
implement revisions in federal, state, and local program requirements and make mid-course corrections or
adjustments to  reflect significant changes in the user's circumstances. At a minimum, the Control
Authority's ordinance should always provide (and the permit should indicate) the authority for the
Control Authority to modify the permit when there is good cause to do so. The ordinance may also detail
the circumstances that represent good cause for modification. Generally speaking, permits should not be
modified to make discharge standards less stringent where the user is in compliance with the current

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permit conditions and no changes in operations justifying a relaxation of the permit are involved.
Common justifications for modifying permits include the following:
    •  Alterations in the Industrial User's operations, including production rates, that result in new
       pollutant contributions or substantial changes (increases or decreases) in the amount of pollutants
       discharged or the volume of wastewaters discharged
    •  New information that was not available at the time the permit was issued
    •  New federal, state, or local requirements promulgated since the time of permit issuance
       (e.g., revised categorical standards or local limits)
    •  Correcting technical mistakes, erroneous interpretations of federal, state or local law, or
       typographical errors

To the extent that the Control Authority allows Industrial Users or interested members of the public to
request permit modifications,  it is recommended that such requests be made in writing and include facts
or reasons that support the request. If the Control Authority is required to, or routinely provides, public
notice of draft permits, any proposal for a significant modification should also be subjected to similar
public scrutiny. Public participation in the permit issuance process is discussed further in Section 2.8 of
this manual. To avoid nonproductive paperwork, the Control Authority might wish to structure its
procedures so that minor modifications to the permit need not be subject to the public notice procedure.
The following typically qualify as minor changes:
    •  Correcting typographical errors
    •  Imposing more frequent monitoring or reporting conditions
    •  Changing interim compliance dates in compliance schedules (which will not affect the final
       compliance date)

Generally, a permit can be modified in a number of ways. One method, where extensive modifications are
necessary, is to reissue an entire new permit with the modifications incorporated. Another method, if only
one section of the permit needs modification, could be to issue an addendum to the existing permit.
Addendums issued separately from the permit could be overlooked or misplaced, so the Industrial User
should be instructed to replace the original section of the permit that is being modified with the addendum
or attach the addendum to the permit. The POTW should clearly document the modification and include
the modified permit section in the administrative file.
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When modifying a permit, the permit writer should allow a reasonable time frame for the Industrial User
to comply with the new or changed conditions if the user cannot meet them at the time of the modification
and if allowed by law. If such new or changed conditions are the result of new or changed categorical
pretreatment regulations, the regulations will stipulate the compliance period. The Control Authority
cannot extend the federal compliance period. Of course, if the Industrial User is already complying with
the modified condition, no compliance or grace period should be provided. The compliance period must
be clearly designated in the modified permit. In no event, however, may a compliance schedule relieve
the user of its duty to comply with currently applicable Pretreatment Standards and Requirements.

2.6.2   Permit or Discharge Terminations or Suspensions
Situations could arise during the effective period of a permit that require the Control Authority to suspend
or terminate the Industrial User's authorization to  discharge into the sewer system. The General
Pretreatment Regulations require, as a condition for an approved pretreatment program, that the Control
Authority has the authority to terminate the Industrial User's discharge if it presents or might present an
endangerment to the environment or if it threatens to interfere with the operation of the treatment works
[see 40 CFR403.8(f)(l)(vi)(B)]. Use of permit suspensions or terminations should be included in the
Control Authority's enforcement response plan. Development of such a strategy is described in EPA's
Guidance for Developing Control Authority Enforcement Response Plans.

2.7     PERMIT TRANSFERABILITY
The Control Authority must be given prior notification of owner/operator transfers and be given the
opportunity to question the new owner/operator regarding plans to redesign or otherwise change the
process or management practices at the facility. The Control Authority should, therefore, require advance
written notice of all proposed owner/operator transfers, preferably at least 30 days in advance of the
transfer. In addition, if the Control Authority does not wish to provide  for transfers for changes in
owner/operator, it may simply revoke the existing permit and reissue a new permit to the new
owner/operator. The Control Authority must clearly specify permit non-transferability requirements in the
Industrial User permit.
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2.7.1   Change in Ownership
When the Control Authority is satisfied that the transfer involves only a change in owner/operator, the
permit may be modified and a new owner specified without changing any of the other permit conditions.
The following procedures are recommended to implement this type of permit transfer:
    •    The current owner/operator must submit to the Control Authority, at least 30 days in advance of
        the proposed transfer date, a signed and certified document describing the anticipated transaction
        and identifying the transfer date.
    •    The notice must include
           -   A written agreement between the current and future owner/operator that the permit held
               by the current owner/operator, together with all privileges and obligations bestowed
               through it, be transferred to the future owner/operator effective as of the specified transfer
               date.
               A signed statement by the future owner/operator that it has no imminent intention of
               modifying operations  at the permitted facility in any manner that could result in a
               discharge from the facility that is different from the discharge quality and quantity of the
               existing facility without prior notification as required by the permit.
These documents should be signed and certified by individuals with authority to execute official
documents on behalf of the company represented.

The Control Authority must modify the existing permit to incorporate the new owner information and
make the permit effective  on the date that the ownership changes.

2.7.2   Modify or Revoke and Reissue
If the Control Authority believes that the change in owner/operator at a permitted facility will result in a
substantial change in process, operation, or management practices at the facility or if local or state law
prohibits permit transfers, the Control  Authority should formally modify or revoke and reissue the
existing permit. In such a case, the procedure should be the same as if the user is a new connection, and
the Control Authority should follow all application and permit issuance procedures.
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2.8    PUBLIC PARTICIPATION
Drafting the permit should be a collaborative process, involving open communication between the
Control Authority and the Industrial User. Communication between the permit writer, the Industrial User,
and the public is frequently a legal requirement and should always be encouraged. One way for Control
Authorities to encourage public involvement is by providing public notice of permit development
activities and accepting comments on draft permits. Alternatively, the Control Authority might wish to
hold a public hearing on draft permits. Local law may require some sort of public notice of and
opportunity to comment on the draft permit, such as publishing a notice in a local newspaper, notifying
specific individuals on a Control Authority's mailing list, or publicizing permits during public meetings
of sewage districts, city councils, town meetings, or in a bulletin or newsletter. Such notice is helpful to
explain the Control Authority's actions and could be particularly important if any possibility exists that
the permit might become controversial. Under EPA's pretreatment regulations, a Control Authority with
an approved pretreatment program must provide individual  notice to persons or groups who have
requested such notice and provide an opportunity to respond when new or modified specific limits are
developed by the POTW (40 CFR 403.5(c)). Specific or local limits approved by the Approval Authority
through the program approval  or substantial program modification process (in accordance with 40 CFR
403.11 and 40 CFR 403.18 (c), respectively) satisfy the 403.5(c) notice requirement. However, if the
POTW develops or modifies any specific prohibition or limit (for example changes to the pH limit or
reallocation of the maximum allowable industrial loading that were not part of the program approval
process or substantial program modification approval process, the POTW must follow the individual
notice requirement in 403.5(c) before the new limits can be  deemed pretreatment standards.

Public participation can occur  at several points  in the permit development process. Public involvement
during permit development, including  discussions with the applicant, allows the permit writer to identify
and resolve issues that are of concern by editing a draft permit before it is made final. Those discussions
might provide a source of supplementary data that could fill in gaps and omissions or clarify ambiguities
in the permit application. Such communication often leads to a better understanding by the permit writer
of the Industrial User's process and allows the Industrial User because the user gains a clearer picture of
the Control Authority's expectations. Therefore, EPA encourages Control Authorities to involve the
permittee and the general public as much as possible in the permit development process. However,
dialogue  with the permittee or the public at large should continue only as long as it proves useful. If the
development process stalls or the interested parties reach an impasse over an issue, the permit writer
should proceed directly to permit issuance. If the discharger believes that the permit writer's position is
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unreasonable, it may, upon permit issuance, seek reconsideration through an administrative or judicial
appeal.

If the Control Authority decides to provide public notice of and opportunity to comment a draft permit,
the Control Authority should provide such a notice and opportunity for comment for all draft permits.
This will avoid any appearance of arbitrary behavior on the Control Authority's part. The Control
Authority might want to meet with the Industrial User and interested citizens before drafting the permit or
wait until a draft permit is available for discussion. Alternatively, the Control Authority might choose to
distribute copies of a completed draft permit and request comments in writing. A subsequent meeting can
be arranged to discuss the comments, if warranted.

If comments are received on the draft permit, the Control Authority should review them and respond in
writing, either on an individual basis to each commenter or for all commenters in a single Response to
Comment document issued at the same time as the final permit. The Control Authority should keep a
record of all public meetings, comments received, and telephone conversations to document how the
permit was developed and to substantiate that proper procedures were followed. Lack of documentation
during the permit development and issuance processes, such as undocumented meetings or undocumented
verbal communications with the Industrial User or any other interested party, could create the appearance
of undue influence and unequal access. Therefore, the Control Authority should avoid such practices.

Even where a Control Authority chooses not to involve the general public in its permit issuance process,
it must still develop procedures to respond to individual requests to be notified of permitting activities.
EPA regulations require Control Authorities to provide individual notice and opportunity to comment to
persons or groups who request notification of local limits development [40 CFR 403.5(c)(3)].
Consequently, Control Authorities are expected to, at a minimum, maintain a mailing list of interested
persons and provide them with notice of local limit development.

2.9     ISSUING THE FINAL PERMIT
After the public participation requirements, if any, are satisfied, the Control Authority revises the draft
permit as necessary and proceeds to issue the final permit to the Industrial User. A transmittal letter
accompanying the permit should summarize its contents. For example, the cover letter should contain the
permit's effective and expiration dates, its enforceability, and any applicable procedures for appealing the
permit conditions. To ensure that the Industrial User receives the  permit, it is recommended that one of
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the following delivery methods be followed: hand delivery or sending the permit by certified mail with
return receipt requested.

In all cases, a signature should be obtained from the person accepting delivery of the permit. This
signature should indicate only that the applicant has received the permit. There should not be a statement
indicating that, by signing, the permittee agrees to comply with the terms and conditions of the permit.
Such a statement could, depending on the circumstances, be misconstrued as changing the legal nature of
the document from a permit to a contractual agreement; thereby affecting the  interpretations and
enforceability of the terms and conditions of the permit. The use of contracts or contractual agreements as
a control mechanism does not provide a POTW with the requisite penalty authority for an approved
program and are not an adequate control mechanism for POTWs with an approved program. A control
mechanism signed by the permittee may be deemed a contract and thus lose its effectiveness as a control
mechanism [53  FR40574-40577; October 17, 1988].

Although each Control Authority will have its own set of procedures, the basic procedure for permit
issuance will usually be the same. Figure 2-1 shows this basic permitting process.
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CHAPTER 2
      Permit Issuance Process
                      Identify and Notify SIU
                    SIU Files Permit Application
                       Application Review
                          Complete and
                           Accurate?
   Request
Additional Data
                            Visit Site
Draft Permit
^
r
• Send Draft Permit to SIU for Review
• Notify Other Interested Parties
• Other Public Participation
T
r
Consider Comments and Revise Draft Permit
T
r
Issue Permit
                  Monitor Compliance Enforcement
                  During Effective Period of Permit
                   SIU Files Renewal Application
                     or Requests Modification
                                                                 Document
                                                                 Rationale
                                                               Administrative or
                                                               Judicial Review
   FIGURE 2-1. COMMON ELEMENTS OF AN INDIVIDUAL PERMIT ISSUANCE PROCESS
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2.10    PERMIT APPEALS
Once the final permit is issued, Industrial Users should have the right to challenge or appeal specific
provisions of the permit that they believe are contrary to law or an unreasonable exercise of the Control
Authority's discretion under that law. The appeal period specified in the local legal authority should be
clearly identified in the letter transmitting the final permit (see Appendix E) together with a brief
description of the procedures the permittee must follow to file an appeal. The most effective permit
programs provide that once the limited period for administrative or judicial appeals has passed, the
permittee may not challenge the legality or appropriateness of the permit terms. Thus, the permittee may
not (in an enforcement proceeding) raise issues that could have been raised in a permit appeal.

The Control Authority should establish, through its legal authority, an administrative forum where
interested parties may request reconsideration of specific permit conditions. An administrative appeal
process may allow legitimate errors to be corrected without expending the resource requirements of a
judicial proceeding.

The Control Authority should consider the factors listed below when developing an administrative appeal
mechanism.
    •   Requests for reconsideration should be in writing and include supporting reasons for
        reconsidering the permit conditions.
    •   Requests for reconsideration should be made within a defined period as specified by  state law or
        the POTW's legal authority.  After that time, the right of reconsideration—by the Control
        Authority or by a court of law—is considered waived.
    •   Reconsideration requests should be evaluated by someone other than the person drafting and
        issuing the final permit. For example, if the Control Authority has a board of directors or a
        director who was not directly involved in permit development, the board or such a director should
        consider the appeal.
    •   The appeal may be considered on the basis of written submissions only or may also provide for a
        hearing before the board or director.
    •   The request for reconsideration should not result in an automatic stay of the final permit
        conditions. However, if the request is granted, a stay might be considered appropriate at the
        discretion of the board or the director.
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CHAPTER 2                                                            Permit Issuance Process

The legal authority should also provide the permittee with a limited time to bring a judicial appeal if the
administrative appeal is not successful, after which the right to such an appeal is not authorized.  The
permit is then final and effective.

2.11    PERMIT REISSUANCE
The Control Authority should consider conditioning the continuation of an expiring permit. The Control
Authority should require the existing permittee to submit a complete application with updated information
in a timely manner in order to continue its authorization to discharge. If a permit application is used to
renew the user's current permit, the permittee should submit the application with adequate lead time for
the Control Authority to issue a new permit before the existing permit's expiration. If the Control
Authority does not require an existing permittee to submit an application for permit renewal, the Control
Authority could obtain the necessary information for the reissuance of a permit by reviewing inspection
reports, historical effluent and flow data, and the permittee's current processes and treatment system.
During permit reissuance, the Control Authority should review any requests by an Industrial User for any
of the following: alternative monitoring, reporting, or classification. Ideally, the permit issuance process
should take no more than 2 months to complete for any user. Therefore, EPA recommends that permittees
submit applications for reissuance at least 90 days before expiration of the existing permit. To lessen the
administrative burden on the Control Authority and to provide additional time to review the permit
applications, EPA recommends that permits be issued with staggered expiration dates.

2.12    CONTINUING PERMITS BEYOND THEIR EXPIRATION  DATE
As discussed above, a Control Authority might wish to obtain the legal authority or include other
authorizing provision as allowed by state law to extend a permit's expiration. This provision should be
applicable if the permittee has filed a timely application for permit reissuance but the Control Authority,
through no fault on the part of the Industrial User, has not reissued the permit at the time of expiration. In
such cases, the Control Authority should require that existing permit conditions remain in effect until the
new permit is issued. This is important because the ordinance  will typically forbid discharge without a
valid permit. Thus, an Industrial User, through no fault of its own, could be forced to either cease
operations or to continue discharging in violation of the ordinance. Also, in locations where there is no
prohibition on Industrial User discharges without a permit, the user would not specifically be required to
continue to follow the prescribed permit conditions of a lapsed permit pending Control Authority
reissuance of the permit. However, EPA does not expect permits to be routinely continued beyond their
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CHAPTER 2                                                           Permit Issuance Process

expiration dates, and Control Authorities should use this stopgap measure only in unusual situations. This
procedure should not be used in lieu of maintaining a sufficient permitting staffer reissuing permits in a
timely manner. Furthermore, the length of time a permit is continued should be kept as brief as possible.
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CHAPTER 3                                                Legal Authority for a Permit Program


                                         CHAPTER 3.
                      LEGAL AUTHORITY FOR A PERMIT PROGRAM

The legal authority of a POTW or other local Control Authority to administer a permit program is derived
from state law and local ordinance. Although this chapter describes the legal authority and procedures
required for a POTW to implement an effective permit program, a state acting as the Control Authority
must have similar legal authorities and procedures in place. State law will determine what authorities are
available to the Control Authority and, thus, the Control Authority must be aware of the laws when
developing or seeking modifications to its local legal authority. The local legal authority (which
constitutes the Control Authority's exercise of the authority conferred by state law) must describe the
permit program in sufficient detail so that Industrial Users and permit writers will know the procedures,
expectations, and liabilities associated with the program. The Control  Authority should request its
attorney to assist in reviewing the legal authority to ensure that it provides adequate authority and that the
legal authority does not create any unnecessary procedural or institutional obstacles that might hinder the
permit program. If the legal authority must be modified to establish a permit program, the Control
Authority  should bear in mind that such modifications are considered  a substantial modification requiring
approval by the Approval Authority (EPA or state) in accordance with the procedure at 40 CFR 403.18.

Subsequent chapters of this manual will address the application and permit writing processes. This
chapter considers the legal authority necessary to implement and enforce a permit.

3.1    LEGAL AUTHORITY
Under general principles of administrative law, permit applicants and  other interested parties typically
may challenge the Control Authority's permit decisions. Such challenges may include issues related to the
authority of the Control Authority for conditioning and issuing  the permit. Therefore, the Control
Authority  must ensure that it has the requisite legal authority to impose Pretreatment Standards and
Requirements in Industrial User permits and control mechanisms and that it exercises its authority in a
nonarbitrary manner. Assuming that state law authorizes Control Authorities to issue and enforce permits,
the local ordinance must clearly provide the Control Authority with the following authorities [40 CFR
403.8(f)(l)(m)]:
    •   Authority to regulate all  Industrial Users contributing wastewater to the POTW
    •   Authority to require and issue Industrial User permits, orders, or other control mechanisms,
       including

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CHAPTER 3                                                Legal Authority for a Permit Program

               Authority to require Industrial Users to submit all data that the Control Authority deems
               relevant to permit decisions and provisions for public access to data
           -   Authority to enter, inspect, and sample to verify information supplied by the Industrial
               User as well as to assess the Industrial User's compliance status
           -   Authority to incorporate local limits, including BMPs (if applicable)
           -   Authority to incorporate federal and state Pretreatment Standards and Requirements
               Authority to require self-monitoring, record keeping, and reporting by permittee
               Authority to develop other appropriate permit conditions
    •   Authority to enforce sewer use ordinance and discharge permit violations
    •   Authority to require the development of a slug discharge control plan

Each of these authorities is discussed briefly below. EPA's Model Sewer Use Ordinance contains sample
sewer use ordinance provisions addressing permit issuance and enforcement.

3.1.1  Authority Over All Industrial Users  Contributing to the POTW
A Control Authority must be able to impose and enforce applicable Pretreatment Standards and
Requirements on every nondomestic user contributing wastewater to its collection system. Therefore, it is
necessary that the Control Authority's sewer use ordinance provides it with the requisite authority to issue
control mechanisms, conduct compliance monitoring activities, and, when warranted, take appropriate
enforcement action in response to noncompliance by Industrial Users within  its boundaries. However,
many Control Authorities  serve Industrial Users beyond their political boundaries (e.g., beyond a city's
limits or county line) and the legal authority to implement the Pretreatment Program in these
multijurisdictional areas might be uncertain. Such circumstances typically require the Control Authority
to take additional measures to ensure its regulatory authority throughout its service area. Control
Authorities should consult their attorneys for approaches under state and local laws to any
multijurisdictional problems. For additional information regarding multijurisdictional agreements, refer to
the Multijurisdictional Pretreatment Programs Guidance Manual.
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CHAPTER 3                                                Legal Authority for a Permit Program

3.1.2  Authority to Require and Issue Individual Permits and General Control
       Mechanisms
3.1.2.1   Requiring Industrial Users to Obtain Permits
The legal authority for a permit system, whether in a local sewer ordinance or state law, must make it
clear that Industrial Users covered by the permit program must obtain a permit or be subject to control
under some general control mechanism. The permit should be obtained as a precondition to discharging
wastewater into the sewer system. This requirement places the burden on the Industrial User to come
forward and identify itself or risk an enforcement action for failing to obtain a permit. In addition, if the
POTW plans to use general control mechanisms, the SIU requesting coverage under a general control
mechanism must file a written request for coverage. EPA recommends that Control Authorities develop a
permit boilerplate that includes all the requirements listed at 40 CFR 403.8(f)(2)(iii)(B).

Most Control Authority permit issuance does not involve public comment or public notice. EPA
recommends that the Control Authority provide a draft permits to the Industrial User before issuance for
review. When public comment or notice is required, the POTW may provide public notice of the draft
permit or hold a public hearing.

3.1.2.2  Submitting  Data
The legal authority should authorize the Control Authority to require the Industrial User to submit
information on its facility, processes, raw materials, flows, pollutant discharge,  storage areas, production,
and other environmental permits held. Typically, because each Industrial User is unique, the Control
Authority should also be able to require that the user submit additional information as might be necessary
to evaluate its wastewater discharge and spill potential. CIUs, are however, required to submit baseline
monitoring reports (BMRs) [40 CFR 403.12(b)]. Some POTWs use the BMRs from CIUs as applications.
The legal authority must ensure that information submitted to the Control Authority that meets EPA's
definition of effluent data under 40 CFR 2.302 will be available to the public without restriction [40 CFR
403.14].

In addition to collecting the necessary data through an application, the Control Authority could also
obtain this data through a site visit to the facility in question.

If an SIU is requesting coverage under a general control mechanism, the Control Authority must ensure
that the Industrial User identifies its contact information, production processes,  the types of waste
generated, and the monitoring location or locations at which all regulated wastewaters will be monitored.

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CHAPTER 3                                                Legal Authority for a Permit Program

The request for coverage should also include a finding that the SIU properly falls within the category of
facilities covered by the general control mechanism.

In addition, the user's request for coverage should include an indication of whether the user is requesting
a monitoring waiver for pollutants not present. SIUs that are requesting monitoring waivers for pollutants
neither present nor expected to be present might still quality for coverage under a general control
mechanism. Control Authorities will need to determine whether such facilities could still meet the
required criteria for being considered substantially similar. EPA specifies that the monitoring waiver is
effective in the general control mechanism only after the SIU obtains written approval from the POTW
that the monitoring waiver request has been approved.

3.1.2.3  Entering and Inspecting
EPA regulations require the Control Authority to have the authority to enter and inspect Industrial Users'
facilities. This authority must be at least as extensive as EPA's own broad authority under section 308 of
the CWA. At a minimum, such entry and inspection authorities must allow the Control Authority's
authorized representative(s) to, (1) have a right of entry to, upon, or through any premises in which an
effluent source is located or in which records required to be maintained by the permittee are located, and
(2) have access to and copy any records, inspect any monitoring equipment  or methods (required of the
permittee), and sample any effluent that the owner or operator of the source is generating [40 CFR
403.8(f)(l)(v)].

3.1.2.4  Imposing Local Limits (including BMPs)
The Control Authority is obligated to develop and enforce local limits or BMPs necessary to implement
and enforce the general and specific prohibitions [40 CFR 403.5]. The legal authority must state that such
local limits or BMPs or both may be imposed on Industrial Users directly through the legal authority,
through Industrial User permits, and through additional control mechanisms that the Control Authority
intends to use as part of its pretreatment program.

3.1.2.5  Imposing Federal and State Requirements
Control Authorities are responsible for enforcing federal and state Pretreatment Standards and
Requirements as well as local limits. The legal authority must specifically require compliance with the
general and specific  prohibitions [40 CFR 403.5] and any other requirements mandated under state law.
The Control Authority must have the authority to enforce all these requirements and to impose and


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CHAPTER 3                                                Legal Authority for a Permit Program

enforce them through Industrial User permits [40 CFR 403.8(f)(l)(ii)]. Moreover, the Control Authority
must ensure that the legal authority does not provide for any variance or adjustment of the requirements
other than those authorized under applicable state or federal law.

3.1.2.6   Requiring Industrial Users to Self-Monitor, Keep Records, and Report
Federal regulations require certain classifications of Industrial Users to conduct periodic self-monitoring,
maintain sampling records, routinely report on their compliance status, and disclose any changing
conditions or planned alterations at their facilities [40  CFR 403.12]. The Control Authority must have the
legal authority to impose and enforce such requirements in Industrial User permits. In addition, the
ordinance  should authorize the Control Authority to impose and enforce those or similar obligations on
other Industrial Users. Furthermore, for any user determined by the Control Authority to be an NSCIU,
the Control Authority must require an annual certification requirement in accordance with 40 CFR
403.12(q).

3.1.2.7   Imposing Other Conditions based on State or Local Requirements
In many instances, the Control Authority will have developed other local requirements or conditions
applicable to Industrial User discharges. These conditions are in addition to those required by the National
Pretreatment Program. These conditions might include such things as user fees, a cross-connection
prohibition, backflow prevention fees, or surcharge fees for excessive Industrial User loading of
compatible pollutants above surcharge threshold values (i.e., Biochemical Oxygen Demand (BOD), Total
Suspended Solids (TSS), ammonia, oil and grease). Surcharge threshold values are not considered
maximum ceiling concentration effluent limits. If a discharger exceeds a surcharge threshold value, the
discharger is not in violation of an effluent limit. Surcharge fees are typically established on the basis of
the POTWs' cost for treating the excessive compatible pollutant loadings. Therefore, the Control
Authority  should ensure that any surcharge threshold values are clearly specified as such and are not
characterized as enforceable maximum discharge limits. Because surcharge threshold values are  not the
same as effluent limits, the permit writer should not include surcharge threshold values in the same table
or section  as effluent limits. Although such conditions might not directly relate to controlling interference
or pass through, they are nonetheless Industrial User requirements and may be  included as permit
conditions. For this reason, the Control Authority must have the legal authority to impose such conditions
in Industrial User permits as the Control Authority deems necessary or desirable. In addition, the permit
and its fact sheet should clearly state the authority by which the condition is being imposed.
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CHAPTER 3                                                Legal Authority for a Permit Program

3.1.3  Authority to Enforce Permit Violations
Few legal authorities explicitly mandate all the specific pretreatment requirements that a Control
Authority may be authorized to impose through a permit on an Industrial User. In other words, they leave
many details regarding the contents and issuance of a permit to the discretion of the Control Authority, in
general, and the permit writer in particular. While it isn't necessary for the legal authority to describe in
detail the specific requirements for each Industrial User, the individual permit will contain  the applicable,
typically more detailed and enforceable requirements applicable to the specific individual Industrial User.
The legal authority should specify the enforcement response alternatives available to the Control
Authority including injunctive relief, civil and criminal penalties, and  service termination.
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       PART II
Permit Writing Procedures

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CHAPTER 4                                                                Permit Applications


                                        CHAPTER 4.
                                  PERMIT APPLICATIONS

After the Control Authority has established its permitting procedures and legal authority (as discussed in
Chapters 2 and 3), permit preparation can begin in earnest. The initial step in this process is to obtain and
review Industrial User data from the permit application and all other pertinent background information.
The permit writer must evaluate and verify the completeness and accuracy of the data because they are
used as a basis for permitting decisions.

4.1    WHAT INFORMATION TO COLLECT AND HOW TO COLLECT IT
A permit application enables the Control Authority to obtain the information necessary to evaluate the
quality and quantity of wastewater to be discharged and to determine what controls are necessary for the
Control Authority to accept the wastewater. The Control Authority should have the legal authority to
require an Industrial User to complete and file a permit application to receive a permit. In addition,
Control Authority should consider requiring an existing permittee to submit an application with updated
information for a reissued permit.  The permit application serves as the formal request from the Industrial
User to the Control Authority to connect or discharge to the sewer system.

The permit application format should be  standardized so that all necessary information is requested but
should also allow the applicant the leeway to include narrative information. The Industrial User should be
required to provide manufacturing process flow and  wastewater characteristics, and information regarding
any existing BMPs. Other information, such as number of employees, list of chemicals used or stored,
and plumbing schematics, is also vital to the permit writer. The number of employees can indicate the
estimated volume of sanitary flow, and the list of chemicals used by the facility can indicate potential
pollutants present in the wastestream. This information can lead to a better understanding of the facility's
operations, which, in turn, enables the permit writer to evaluate the Industrial User's discharge
comprehensively and to develop adequate and appropriate permit conditions. An example of an
application form is in Appendix C.

If the Control Authority does not require an Industrial User to complete a permit application to receive a
permit, the Control Authority could compile the necessary information to draft a permit by reviewing the
Industrial User's BMR (if the user is a CIU), reviewing historical effluent data, or conducting  a site
inspection of the user's facility.
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CHAPTER 4                                                                 Permit Applications

4.2    APPLICATION REVIEW PROCESS
After receiving the completed application, the review process begins. First, the Control Authority should
review the application for completeness and accuracy. Because the draft permit is based on the
information in the application, it is imperative that the permit writer use all means possible, including
inspecting the facility (for more information regarding facility inspections, see Section 4.2.4), to verify
the completeness and accuracy of the application.

4.2.1  Completeness
At a minimum, the application form should have all applicable spaces filled in and should be signed and
dated by the authorized Industrial User representative with the appropriate signatory certification.
Instructions provided to the Industrial User on how to complete the application should state that all items
must be completed and that the term not applicable should be used to show that the item was considered
but was not pertinent to the facility. If blanks do appear on the submitted application form, the permit
writer should obtain a response to the items before issuing a permit. In some cases, obtaining a response
can be  handled over the telephone, with the phone conversation documented in writing. However, the
permit writer may choose to meet the responsible party at the facility to explain and assist in completing
the missing application information and to clarify questions that might not have been understood. The
most reliable method is to obtain the response in writing by returning a copy of the application to the
applicant for completion. Such a method has the  advantage of requiring the permit applicant to actually
fill in the blanks in a copy of the originally submitted application, thereby allowing greater clarity as to
who provided the information and who is responsible for any inaccuracies or distortions of fact. The
Industrial User should be required to initial and date any changes. The Control Authority should also have
the Industrial User resubmit the revised application with a new signatory certification. Additionally, the
permit writer should conduct a facility inspection to determine whether the information on the application
is complete. If changes or corrections to any application are extensive, the Control Authority should
exercise its information gathering authority to request a revised, complete application instead  of an
incomplete application that is later augmented with multiple attachments.

When reviewing the application for completeness, the permit writer should make sure that three items—
which are often overlooked by applicants—are included in the application: (1) the facility's sewer piping
layout and process diagrams; (2) effluent data (new facilities would not have effluent data but could
provide effluent data from  another facility using the same production process, chemicals, and treatment
process), and (3) a list of raw materials used at the facility.

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CHAPTER 4                                                                 Permit Applications



In some cases, such as where significant dilution is thought to occur, data on the characteristics of internal

wastestreams, particularly treatment unit effluents, might be needed to assess the adequacy of existing

pollution controls and the feasibility of achieving greater reductions of pollutants in the effluent. In

addition, data on flows of internal wastestreams must be known if the permit writer is applying the CWF

[40 CFR 403.6(e)]. Table 4-1 gives three examples of how to analyze permit applications to determine if
                                          TABLE 4-1
        EXAMPLES OF DEFICIENCIES COMMONLY FOUND IN PERMIT APPLICATIONS

Are required toxic organic pollutants listed?

Example: An application from an Industrial User subject to federal categorical metal-finishing regulations
fails to list the presence or absence of any toxic organics.

Discussion: Industrial facilities subject to metal-finishing categorical standards are regulated for 111
toxic organics [40 CFR 433.11 (e)].  To comply with the federal BMR requirements and the 90-day
compliance report, the facility must monitor for those regulated toxic organics reasonably expected to be
present, on the basis of a process engineering analysis of the raw materials used and the possibility of
any toxic organics present at the facility coming into contact with water and wastewater sources. If no
toxic organics are used  or expected to be discharged, this should be so stated by the facility's authorized
representative. The Control Authority must require the user to sample, analyze, and report on all toxic
organic pollutants on the required reports.

[Note: The permit writer must verify the toxic organic pollutant requirements with the specific categorical
regulations.]

Are all expected pollutants listed?

Example: A job shop electroplater  marks zinc and copper as "believed absent in the wastewater."

Discussion: If the facility discharges 10,000 gpd  or more, zinc and copper are regulated by the
electroplating categorical standards [40 CFR Part 413, Subpart A] and must be monitored even if they are
not expected to be present in the discharge in significant quantities  [40 CFR 403.12(b), (d), and (e)]. If the
facility discharges less than 10,000 gpd,  zinc and copper are not regulated and, therefore, are not
required by federal regulations to be monitored; however, such pollutants could be present  in trace
amounts in proprietary chemicals or because the  base material contains zinc or copper. A comprehensive
test will determine whether any unexpected contaminants are present in significant quantities and will
provide information on levels of pollutants that are known to be present.

[Note: Even if the Control Authority has established the authority to waive sampling requirements for
pollutants regulated  by a categorical Pretreatment Standard, the waiver is  not available for monitoring
required for BMRs (40 CFR 403.12(b) or the 90-day compliance report (40 CFR 403.12(d)].

Has the Industrial User evaluated all pollutants?

Example: A metal finisher marks many pollutants as Unknown presence (other are listed as not present
or present). What should the permit write do?

Discussion: The Industrial User should be required to monitor and report  for all the pollutants being
reported as Unknown in the discharge. This monitoring requirement could  be to conduct sampling and
analysis as a one-time sampling event during the duration of the permit, or as frequent as the permit
writer deems necessary. This will provide the permit writer some basic information to document permit
decisions such as modifications to the permit, including additional permit limits, or including additional
monitoring requirements.
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CHAPTER 4                                                                 Permit Applications

they are complete. Pollutant data on the final effluent might not always be adequate for complex facilities
where internal wastestreams can be diluted by large volumes of cooling water before the sampling point.
Waste characterization (through sampling and analysis) of individual wastestreams might be necessary.
Where an Industrial User discloses that a pollutant is present in the effluent, the permit writer should
include a monitoring requirement for that pollutant. A review of all raw materials will allow the permit
writer to decide what pollutants warrant limits or monitoring requirements or both. The permit writer
should not hesitate to require any supplementary information (such as more detailed production
information or monitoring data) needed to develop the permit.

Finally, the application should be signed by a responsible corporate officer of the Industrial User because
submitting false information is subject to significant penalties under federal law. EPA regulations [40
CFR 403.12(1)] require that reports from CIUs be  signed by one of the following persons:

        a)  By a responsible corporate officer, if the Industrial User submitting the reports, required by
           40 CFR 403.12(b), (d), and (e), is a corporation. For the purposes of this paragraph, a
           responsible corporate officer means

             (i)  a president, secretary, treasurer, or vice-president of the corporation in charge of a
                 principle business function, or any other person who performs similar policy- or
                 decision-making functions for the corporation,  or

             (ii)  the manager of one or more manufacturing, production, or operating facilities,
                 provided, the manager is authorized to 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 initiate and direct other
                 comprehensive measures to assure long-term environmental compliance with
                 environmental laws and regulations; can ensure that the necessary systems are
                 established or actions taken to gather complete  and  accurate information for control
                 mechanism requirements; and where  authority to sign documents has been assigned or
                 delegated to the manager in accordance with corporate procedures.

        b)  By a general partner or proprietor if the Industrial User submitting the reports, required by 40
           CFR 403.12(b), (d), and (e), is a partnership or sole proprietorship, respectively.

        c)  By a duly authorized representative of the individual  designated in 40 CFR 403.12(1)(1) or
           403.12(l)(2)if

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CHAPTER 4                                                                 Permit Applications

             (i)  The authorization is made in writing by the individual described in 40 CFR
                 403.12(l)(l)or403.12(l)(2);

             (ii) The authorization 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

             (iii) The written authorization is submitted to the Control Authority.

       d)  If an authorization under 40 CFR 403.12(1)(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, the Industrial User must submit a
           new authorization satisfying the requirements of 40 CFR 403.12(1)(3) to the Control
           Authority before or together with, any reports to be signed by an authorized representative.

4.2.2  Accuracy
A permit application must be accurate. In other words, not only should the application be complete and
contain all the necessary information, but it must also be correct. While it might be difficult to detect
certain inaccuracies, a number of common mistakes can be readily detected. When mistakes are detected,
the permittee must correct them. The permit writer should follow the same procedures to correct
inaccurate information as were used to obtain missing information. The examples in Table 4-2 illustrate
the type of review that the permit writer must conduct.

In verifying the Industrial User's information, particular attention should be given to the following:
    •  Information on the use, production, and discharge of toxic substances
    •  Information on all wastestreams (including schematic flow diagram(s) and waste characterization
       of individual wastestreams)
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CHAPTER 4                                                                Permit Applications
                                          TABLE 4-2
                    COMMON INACCURACIES IN PERMIT APPLICATIONS
 Are the reported values consistent with the existing permit, previous application, and monitoring
 data?
 Example: The monitoring data from the previous permit show an average discharge of 38 pounds per
 day for oil and grease. The new application reports an average of 3.3 pounds per day.
 Discussion: There might be a problem in calculation here. It could be simply a shift in the decimal point,
 or it could involve some other type of error. It could also represent a significant change in production
 techniques or treatment efficiencies.
 Are analytical detection limits sufficient to detect the presence of pollutants?
 Example: An Industrial User subject to the metal-finishing categorical Pretreatment Standards reports
 that methylene chloride was not detected at the detection level of 0.1 mg/L.

 Discussion: The Total Toxic Organics (TTOs) standard is the summation of all quantifiable values
 greater than 0.01 mg/L of the specific toxic organics listed in the regulation. A detection limit of 0.1 mg/L
 would not reveal the presence  of methylene chloride at concentrations between 0.01 mg/L and 0.1 mg/L.
 The permit writer should verify that the best approved analytical procedures were used to verify the
 presence or absence of methylene chloride. If not, further testing using approved procedures should be
 required.
 Do the concentration, mass, and flow values correspond?
 Example: Suppose an Industrial User reports a maximum daily flow of 0.12 mgd, a daily TSS
 concentration of 23 mg/L, and a maximum daily mass discharge of 2.3 pounds per day.

 Discussion: There appears to be a mathematical error because the maximum daily flow and
 concentration yield a maximum daily discharge of 23 pounds per day. The permit writer should
 investigate this apparent error.
Accurate information on the use or production of toxic or nonconventional pollutants at a facility and

adequate sampling data on such pollutants in the facility's effluent are essential for preparing appropriate

permit limits. Industrial Users should provide a comprehensive list of toxic substances used, produced (as

products, by-products, or intermediates), and stored and identify the toxic substances known or suspected

to be present in the wastestream. If the Industrial User lists toxic substances but does not indicate their

potential presence in the wastestream, an explanation for their absence from the wastestream  should be

provided. Specific constituents of trade name products or compounds should be obtained from

manufacturers. Facility inspections should be conducted to verify this information by inspecting all

storage areas and reviewing material safety data sheets.


The permit writer should also verify schematic diagrams of facility operations and internal wastewater

streams by inspecting the facility. If the facility is subject to categorical Pretreatment Standards, the

permit writer should pay attention to identifying which wastestreams  are regulated by the categorical


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CHAPTER 4                                                                Permit Applications

standards, which wastestreams are not, and where any wastestreams might combine. Proper classification
of the various wastestreams and accurate flow data on the individual wastestreams are critical to
calculating correct effluent limits.

Facility inspections may include dye testing as a method of verifying piping diagrams or identifying
where piping diagrams do not exist. Developing a water balance (as discussed in Table 4-3) using the
water and wastewater flow data provided by the Industrial User can determine whether all wastestreams
have been accounted for and whether flow data are accurate. If discrepancies exist, the Control Authority
should collect actual flow measurements to gather more accurate data.
                                         TABLE 4-3
                  VERIFICATION OF FLOW DATA USING WATER BALANCE
Example: An Industrial User has estimated a wastestream flow of 50,000 gpd using water usage records.
However, a review of historical water usage records and an old permit application indicates wastewater
flows ranged from 100,000 to 150,000 gpd. The facility had not instituted any water-reduction measures,
significantly changed its process operations, or decreased its number of employees.
Discussion: An inspection of the facility revealed two separate water meters (one for sanitary and one
for process water); the Industrial User had overlooked the sanitary meter. Further, the process water
meter was found to be defective. Subsequent flow monitoring of the total wastestream recorded a flow of
125,000 gpd. A new water meter was installed and concurrent wastestream flow monitoring and water
meter readings resulted in the following water balances:
 • Water In (based on both water meter readings): 148,000 gpd (131,000 gpd process line and 17,000
  gpd sanitary line)
 • Water Out (based on wastestream flow monitoring): 125,000 gpd total wastestream discharged to
  sewer system. Evaporative and consumption losses were estimated at 23,000 gpd (15 percent of total
  water usage).
4.2.3  Background Information Review
To help evaluate the completeness and accuracy of the permit application, the permit writer should
consider any additional background information on the facility that might be relevant. Much of this
information might already be available in the Control Authority's Industrial User files. Pertinent
background information to consider includes the following:
    •   Current permit and rationale for the current permit—The permit writer should be aware of the
       parameters regulated, the basis for setting effluent limits (i.e., any change in processes or
       categorical wastestreams), and any BMPs required of the discharger. This information will alert
       the permit writer to pollutants previously thought to be of concern and the monitoring
       requirements deemed appropriate. In addition to reviewing the Industrial User background
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CHAPTER 4                                                                 Permit Applications

       information, the permit writer should consider whether changes in the treatment plant's operation,
       its NPDES permit conditions and its sludge disposal practices and limitations could affect the
       industry's permit conditions. If the conditions under which specific discharges were permitted
       have not changed since the last permit application, there is little reason for drastic changes to the
       conditions for that discharge, assuming the previous permit was developed properly. Exceptions
       to this include cases where a record of problems or noncompliance exists at the facility, as
       discussed below.
    •  Old permit application, BMR, and industrial -waste surveys—Information in such  documents can
       be used (1) to establish past operating practices and conditions; (2) as a baseline for evaluating
       the new application; and (3) to identify changes.
    •  Compliance inspection reports, sampling data, and self-monitoring reports—Such reports can
       provide the permit writer with information regarding possible causes for any permit violations,
       indicate how well wastewater treatment units are operated, and provide insight as to the
       discharger's commitment to environmental compliance.  Information gathered from the reports
       such as evidence of spills or poor operation and maintenance of a treatment system can also
       provide a basis for the requirement of Industrial User management practices as a permit
       condition. If the reports reveal  any changes in the facility's operations such differences should be
       noted and verified. If the changes in the facility's operations are not noted in the latest
       application, any discrepancies should be resolved to the permit writer's satisfaction before a
       permit is issued.

Review and evaluation  of sampling data are important because the data can indicate how consistently the
permit limits have been met. This information can be relevant in establishing monitoring frequencies
required in the new permit. Changes in monitoring data or compliance can also indicate possible changes
at the facility.

The permit writer must review sampling data and document such an evaluation to provide a sampling
waiver, to determine qualifications under a general control mechanism, or to reclassify the facility as an
NSCIU or middle-tier categorical industrial user (MTCIU).
    •  Correspondence concerning compliance or enforcement actions—This information can alert the
       permit writer to the occurrence and resolution of compliance  problems and can be used to help
       the permit writer determine monitoring frequencies and special conditions.
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CHAPTER 4                                                                Permit Applications

The permit writer can obtain additional information on the industrial processes and pollutants that might
be present by reviewing national categorical pretreatment regulations, related development documents,
reference text books on specific industry categories, and information from other environmental permit
programs such as the Resource Conservation and Recovery Act (RCRA) and the Clean Air Act. As
needed, the permit writer should request supplemental information from various state agencies, EPA
Regional offices, EPA's  Office of Enforcement and Compliance Assurance (Compliance Assistance and
Sector Programs Division), and the applicant.

4.2.4  Facility Inspection
As mentioned earlier, EPA recommends that the permit writer conduct a facility inspection (including
taking pictures) to verify application information and to gain an understanding of the Industrial User's
facilities. The inspection should encompass a review of the following:
    •   Facility information—This review will ensure that the facility information such as the facility
       address (physical location versus mailing location) and the location of the sampling point is
       correct in the permit and permit files.
    •   Production processes—This will help the permit writer identify the following:
               Applicable categorical Pretreatment Standards
           -   Toxic or hazardous substances that might be present in raw materials, products, and by-
               products that have the potential to be present in the industry's discharge
               Water uses and resulting wastewater streams
           -   Existing in-process pollution controls
           -   Potential for spills and leaks
From such information, the permit writer can select pollutants to be limited or require development of
additional in-process controls.
    •   Sewer layout of the plant—If a sewer plan exists, the permit writer should review the plan
       thoroughly to determine the course and destination of each sewer line. He or she should identify
       the exact source  of and the point at which each wastestream enters the sewer. The permit writer
       should also delineate the existing monitoring point or any potential location for monitoring.
       Where sewer plans do not exist, he or she should perform smoke or dye testing to locate all points
       of discharge to the sewer system. This information will be used to determine the appropriate
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CHAPTER 4                                                                Permit Applications

       sampling points, to ensure that all points of discharge to the sewer system will be identified in the
       permit, and to evaluate the need for application of the CWF.
    •  Waste-water treatment facilities, including treatment performance and operation and
       maintenance practices—Such information can be used to evaluate the adequacy of existing
       treatment, to assess the feasibility of improvements, and to evaluate performance data.
    •  Types of batch discharges that occur at the facility—This information could affect the design of
       the monitoring requirements. Cleanup operations usually  result in batch discharges of washdown
       water. Permit writers should obtain information about cleanup times and water volumes.
    •  Raw material and product storage and loading areas, sewage sludge storage and disposal
       areas, hazardous waste management facilities (if applicable) including on-site disposal areas
       and all process areas, and the proximity of such areas to sewer discharge points—This review
       will help to identify potential pollutants and potential or known problems with spills or leaks. The
       information is then used to determine the need for additional controls by establishing specific
       Industrial User BMPs (i.e., slug discharge control plans, toxic organic management plans, and
       good housekeeping practices).
    •  Sampling points,  sampling methods, and analytical techniques—This information is necessary
       to determine appropriate limits to apply at different locations, whether internal monitoring points
       should be established, and to evaluate the quality of both the Control Authority's and the
       Industrial User's sampling data.

An adequate inspection of a facility could require a full day or more to conduct. Complex plants with
several treatment systems, numerous  sewer connections and associated waste delivery piping, and
extensive ancillary activities might require more than one day to inspect. For guidance on the
performance of inspections, see the NPDES Compliance Inspection Manual and EPA's Industrial User
Inspection and Sampling Manual for POTWs.

4.3    PUBLIC ACCESS TO INFORMATION
Certain information collected through a permit application form and industrial monitoring reports must be
made available to the general public upon request [40 CFR 403.14(b)]. The following information is
defined as effluent data at 40  CFR Part 2 of EPA's regulations and must always be available to the public:
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CHAPTER 4                                                                  Permit Applications

    •   General description of the location and nature of the source to the extent necessary to identify the
        source and distinguish it from other sources (including, to the extent necessary for such purposes,
        a description of the device, installation, or operation constituting the source)
    •   Information necessary to determine the identity, amount, frequency, concentration, temperature,
        or other characteristics (to the extent related to water quality) of the pollutants that, under an
        applicable standard or limitation, the source was authorized to discharge (including, to the extent
        necessary for such purpose, a description of the manner or rate of operation of the source)
    •   Information necessary to determine the identity, amount, frequency, concentration, temperature,
        or other characteristics (to the extent related to water quality) of any pollutant that has been
        discharged
    •   Production data at facilities subject to production-based categorical pretreatment standards.
        [Reference: RSR Corp. v. Browner, 1997 U.S. Appeals LEXIS 5523 (2nd Cir. Mar. 26, 1997)]

While the effluent data must be made available to the public, other data submitted by Industrial Users
may be  claimed confidential and withheld from public scrutiny. The Control Authority, however, must
release information submitted under a claim of confidentiality to the Approval Authority and EPA (if
different) whenever requested to do so. To guarantee that effluent data remain available for public  review,
the ordinance should specifically state that effluent data [as defined in 40 CFR 2.302(a)(2)] will not be
considered confidential under any circumstances. The ordinance may also provide that proprietary
information or trade secrets will be entitled to consideration by the Control Authority for possible
confidential treatment (provided that such information is not effluent data) if the Industrial User stamps
Confidential Business Information over all parts for which protection is sought. When confidentiality is
requested, the Control Authority may make an immediate determination as to whether to grant the  request
or defer making a determination until the Control Authority receives a request to provide the information
to the public.

If the Control Authority determines, when it first receives the request for confidentiality, that the
information is not entitled to confidential treatment, the Control Authority should notify the Industrial
User verbally and then by written notice of the denial of confidentiality status. The written notice may be
made by certified mail  with return receipt requested, by personal delivery, or by other means that allow
verification of receipt and the date of receipt. This written notice should provide an opportunity for the
Industrial User to appeal the decision within 15 days.
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CHAPTER 4                                                                 Permit Applications

If the Control Authority determines that the information is confidential (or if it is being treated as
confidential pending a final determination), the Control Authority should separate the information from
the rest of the permit file and keep it in limited access (lock and key) status. This will typically require
creating a second file for each user that contains additional confidential materials. Access to the special
information should be safeguarded, even against Control Authority employees who have no legitimate
reason for access to such materials. If such information is turned over to EPA, the confidential
information will receive such protection as is afforded by 40 CFR Part 2. All information that is not
specifically identified as confidential (or that is later determined by the Control Authority not to be
entitled to confidential treatment) should be available to the public upon request.

If the Control Authority defers the determination of confidentiality until public access to the information
is requested, the Control Authority should notify the Industrial User of the request, inform the Industrial
User of the preliminary determination, and provide an opportunity for the Industrial User to appeal. The
Control Authority should allow a period of no less than 15 days for the Industrial User to respond. If the
Industrial User does not respond, the Control Authority may release the information (if the information
was not entitled to confidentiality) or deny the request to provide the information (if the information is
considered  confidential).

It is important that the Control Authority keep public information in an orderly and complete manner and
protect against theft or destruction of valuable documents. Therefore, the Control Authority should
develop a request system that will create a permanent record of the information requested and the
person(s) handling and receiving the information. Such a system might function similarly to a checkout
system at a public library and would enable the Control Authority to identify persons looking at the file if
a portion of it was ever missing. In fact, the Control Authority should have photocopying services
available on-site to prohibit files from being taken off the premises.
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CHAPTER 5                                                         Permitting Considerations
                                        CHAPTER 5.
                             PERMITTING CONSIDERATIONS
5.1    CONTENTS OF A PERMIT
Once complete and accurate information is obtained and verified, the next step in the Industrial User
permit development process is for the Control Authority to draft the actual permit. At a minimum, the
permit should consist of the following elements:
    •   Cover page (Chapter 6)
    •   Effluent limits (Chapter 7)
    •   Monitoring requirements (Chapter 8, Sections 8.1-8.5)
    •   Reporting requirements  (Chapter 8, Section 8.6)
    •   Standard conditions (Chapter 9)
    •   Additional conditions where necessary to adequately regulate the discharge (Chapter 10)

Such elements are set out in a sample permit in Appendix E, and sample standard conditions are provided
in Appendix F. Those appendices illustrate many of the concepts discussed in this chapter. Before the six
elements are discussed in more detail, some general considerations need to be emphasized: the care that
the permit writer should take in the structure and wording of the permit; common permitting errors or
omissions to avoid; the flexibility of the permit; and the importance of documenting all permit decisions.

5.2    STRUCTURE AND WORDING
The structure and wording of a permit directly affect the Control Authority's ability to invoke its various
enforcement options successfully. For this reason, the permit writer should follow three general rules:
    •   Use specific language
    •   Develop concise and complete discharge conditions and requirements
    •   Write as clearly and simply as possible (please refer to www.plainlanguage. gov for more
       information)
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CHAPTER 5                                                           Permitting Considerations

The permit writer should avoid vague, weak, or obtuse language that could undermine the permit's
enforceability. The list below shows appropriate language to use in the permit.
To express
is required to
is required not to, is not allowed
has discretion to, is permitted to
is not permitted to
ought to
future contingency
Use
must
must not
may
may not
should
will
The permit writer should also avoid long and confusing requirements. However, the permit writer should
not be so brief as to leave out vital specifics. A permit frequently acts as the principal notification to the
Industrial User of its responsibilities for compliance. Therefore, permit requirements must be clear and
simple to understand.

5.3    COMMON PERMITTING ERRORS AND OMISSIONS
The permit writer should keep in mind that any of the following errors and omissions in the permit might
cause it to be susceptible to legal challenge, to fail to properly regulate the Industrial User, or to be
misleading or confusing to the permittee:
    •  Failure to correctly calculate and apply effluent limitations from applicable Pretreatment
       Standards
    •  Failure to apply the most stringent limit (federal categorical Pretreatment Standard, state
       requirement, or local limit)
    •  Failure to regulate all discharge points
    •  Omission of standard conditions
    •  Failure to specify adequate monitoring or analytical requirements, including a failure to identify
       specific monitoring locations
    •  Use  of ambiguous or inappropriate permit commands, such as recommended, shall, and expected
       rather than may, may not, will, must, must not, and should, (for appropriate use of these, see the
       list in section 5.2)
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CHAPTER 5                                                           Permitting Considerations



    •   Failure to incorporate specific citations to requirements contained in an ordinance or regulation,

       where the requirements are not otherwise set forth in the permit

    •   Failure to specify the signatory requirements for self-monitoring reports and other notification

       requirements

    •   Failure to account for any known seasonal changes or other predictable variations in the effluent



5.4    FLEXIBILITY


Specific conditions within each permit element should be tailored to the Industrial User for which the

permit is intended. While it might be obvious that very dissimilar Industrial Users will need different

permit conditions, even similar Industrial Users could need permit conditions tailored to site-specific

discharge situations. Table 5-1 presents an example that illustrates the use of flexibility in the individual

permit system, and Table 5-2 presents an example of when general control mechanisms could be used.
                                          TABLE 5-1
                     EXAMPLE OF FLEXIBILITY OF INDIVIDUAL PERMITS

Company X, which manufactures product X, conducts metal-finishing operations including zinc plating,
phosphate coating (using a zinc-phosphate solution), and painting. The company has a history of zinc
violations and has a continuous discharge of 35,000 gpd.

Company Y manufactures product Y and, like Company X, conducts metal-finishing operations including
zinc plating, phosphate coating, and painting. However, Company Y's operations are on a smaller scale.
Plating is done only one or two days a week; the company has switched to an iron phosphate solution
and recycles the phosphate solution and first rinse waters. The discharge is less than 3,000 gpd.

The Control Authority writes a permit for Company X that contains conditions that are based on the
applicable metal-finishing categorical Pretreatment Standards. The permit also requires weekly
monitoring for zinc and monitoring for the other metals six times per year. Company Y's permit, like
Company X's, contains conditions that are based on applicable metal-finishing categorical Pretreatment
Standards but requires only monthly monitoring for zinc (on a day when any batch discharges  from the
recycled phosphate solution and first rinse waters and plating operations occur) and a twice per year
monitoring for all other metals regulated in the permit.
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CHAPTER 5                                                         Permitting Considerations
                                         TABLE 5-2
                         USING GENERAL CONTROL MECHANISMS

Company X and Company Y have requested coverage under a general control mechanism. Company X
is an industrial laundry that washes restaurant and hotel linens and floor mats. Company Y is also an
industrial laundry, but it washes uniforms and towels. Both companies, however, have the same
pollutants of concern: oil and grease, TSS, and BOD. The POTW has local limits for each of the
pollutants of concern. In addition, the facilities use similar laundry practices, and both have sampling
locations after treatment of wastes.

The POTW has submitted to the Approval Authority that it has the legal authority to issue general control
mechanisms to substantially similar facilities and has already established policies and procedures for
implementing general control mechanisms. Furthermore, the POTW has already established general
control mechanism policies and procedures for laundry facilities.

The Control Authority determines that Company X and Company Y are substantially similar to the general
control mechanism policies established for laundry facilities. Therefore, the Control Authority authorizes
both facilities to discharge under a general control mechanism with the same discharge conditions.
Certain permit conditions are not flexible and cannot be modified. For example, the permit writer cannot

modify categorical Pretreatment Standards and Requirements or the general and specific prohibitions in

40 CFR 403.5. The following are federal requirements that must be imposed on Industrial Users where

they apply:

    •   Those conditions based on federal Pretreatment Standards and Requirements, including any BMP

       requirements

    •   Use of the CWF or flow-weighted averaging formula to derive appropriate limits for CIUs where

       applicable

    •   Requirement to follow analytical methods in 40 CFR Part 136 or other EPA-approved methods

       for waste water analyses


The permit writer cannot modify any Industrial User permit or general control mechanism conditions

mandated by state law or local ordinance, such as the following:

    •   Those conditions based on state Pretreatment Standards and Requirements (unless otherwise

       specified)

    •   Standard conditions adopted by the Control Authority

    •   The Control Authority's ability to modify or terminate the permit during its effective period

    •   The extent of the permittee's enforcement liability if noncompliance occurs



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CHAPTER 5                                                           Permitting Considerations

Flexibility is provided, however, in the drafting process allowing the permit writer to analyze comments
and modify portions of the permit. Situations (depending on legal authority) that could result in modified
permit conditions include the following:
    •   Wastewater flow rate [Note: Modifications to the wastewater flow rate must not exceed the flow
       used in the development of the approved maximum allowable industrial loading. In addition, if an
       Industrial User is classified as an MTCIU, its flow rate modification must not exceed the
       following:
               0.01 percent of the design dry-weather hydraulic capacity of the POTW, or 5,000 gpd,
               whichever is smaller,
               0.01 percent of the design dry-weather organic capacity1 of the POTW; and
               0.01 percent of the maximum allowable headworks loading (MAHL) for any pollutant
               regulated by the applicable categorical Pretreatment Standard for which approved local
               limits were developed by the POTW in accordance with 40 CFR 403.5(c).]
    •   Production rates
    •   Pollutants of concern other than those addressed by Federal, State, or local regulations
    •   Monitoring location (for more details, see  Section 8.1)
    •   Monitoring frequency (for more details, see Chapter 8)
    •   Special conditions
    •   Effective period (a maximum of 5 years)

5.5    DOCUMENTING PERMIT DECISIONS
Throughout the permit drafting process, the permit writer should carefully and thoroughly document each
step for several reasons. First, it will help the permit writer develop the permit thoroughly and logically.
Second, it will facilitate defending any challenges that the permit terms and conditions were developed
arbitrarily or capriciously. Third, it will provide the required documentation in the permit record of any
relief from otherwise applicable requirements (i.e., pollutants not expected to be present, equivalent
limits, decisions on general control mechanisms, decisions on NSCIU classification, and decisions on
reduced monitoring requirements). Finally, careful documentation makes future permit reissuance easier,
1 Organic capacity is considered the maximum loading of BOD or TSS that could impair the biological capacity of
the treatment plant to treat all incoming wastes [55 FR 30121; July 24, 1990].
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CHAPTER 5                                                         Permitting Considerations

particularly if a new permit writer is responsible for permit reissuance. Chapter 11 discusses development
of the two critical elements needed to properly document the permit issuance process—a documented
record of permit procedures and decisions and a fact sheet.
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CHAPTER 6                                                     Components of the Cover Page


                                        CHAPTER 6.
                           COMPONENTS OF THE COVER PAGE

The most basic and, therefore, most frequently overlooked portion of a permit is the cover page.
However, drafting the cover page improperly could have significant ramifications regarding permit
enforceability. An example of a cover page is in Appendix E.

6.1    FORMAT
The cover page should have the appearance of a legal document. It is recommended that the cover page
appear on official agency letterhead or stationery or on a special permit form.

6.2    ELEMENTS OF THE COVER PAGE
The cover page should contain the following:
    •   Name and address of the permittee—The correct and legal name of the permittee and the
       facility's physical location address. The mailing address can also appear on the cover page.
    •   Citation to legal authority—A specific citation to the Control Authority's legal authority to issue
       and enforce permit provisions.
    •   Duty to comply—The permittee's duty to comply with all applicable federal, state, and local laws
       even if they are not specifically incorporated into the permit.
    •   Reapplication requirements—The permittee's duty to reapply for continuation of the permit
       before the expiration date.
    •   Effective period—The permit's effective date and expiration date must be clearly set out. If the
       permit's or general control mechanism's effectiveness is to begin on a date other than the one on
       which it was signed or issued by the Control Authority, that effective date should appear clearly
       on the cover page. In addition, the date on which the permit or general control mechanism is
       signed should be on or before the effective date. Although Control Authorities may establish
       shorter durations, the  effective periods must not extend more than 5 years into the future for SIUs.
    •   Signature of Control Authority—The  permit must be signed and dated only by a Control
       Authority official authorized to issue permits. Failure to sign and date the permit properly might
       call its validity into question at a later date. In addition, to avoid any possible misunderstanding
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CHAPTER 6                                                      Components of the Cover Page

       that the permit is some form of contract, the Industrial User should not sign the permit. For a
       further discussion, see Chapter 2.

The cover page should also clearly state that a violation of any permit provision is a violation of the
Control Authority's sewer use ordinance (or applicable state law) and could subject the permittee to
enforcement action. In addition, if the ordinance requires the Industrial User to have a permit before it can
begin its discharge, the cover page should indicate that the permit allows or grants the Industrial User
permission to discharge to the sewage system.
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CHAPTER 7	Effluent Limitations


                                        CHAPTER 7.
                                 EFFLUENT LIMITATIONS

This chapter explains how to select which pollutants to specifically regulate and how to establish permit
effluent limits.

7.1    SELECTING POLLUTANTS TO BE REGULATED
To identify pollutants to be regulated, the permit writer must first determine whether the Industrial User is
subject to categorical Pretreatment Standards. Next, the permit writer should determine what pollutants
are present or suspected of being present in the wastewater. Then a determination can be made as to
which of the pollutants to regulate. Those three steps are outlined below. Of course, specific permit limits
must be included in the permit for pollutants regulated by applicable federal categorical Pretreatment
Standards.

7.1.1  Which Pollutants Require Regulation ?
The permit writer must decide which of the pollutants require regulation. The permit must contain
effluent limits that are based on the following:
    •   Categorical Pretreatment Standards [40 CFR Parts 405-471]
    •   National prohibited discharges (general and specific) [40 CFR 403.5(a) and (b)]
    •   Local limits [40 CFR 403.5(c) and (d)]
    •   Other site-specific limits needed to protect the POTW, receiving water, and worker health and
       safety

The examples in Table 7-1 illustrate how a permit writer selects pollutants for regulation.
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CHAPTER 7                                                              Effluent Limitations
                                         TABLE 7-1
                EXAMPLES OF SELECTING POLLUTANTS FOR REGULATION

EXAMPLE 1.   SELECTING POLLUTANTS ON THE BASIS OF CATEGORICAL PRETREATMENT
STANDARDS

The permit writer at the Cleanwater POTW receives a permit application from the Batteries R Us
Company. The permit writer notices that the user indicated that it was not subject to any categorical
pretreatment standards, but the application indicates that the company produces zinc anode batteries on-
site. The application also indicates that the facility manufactures its own zinc oxide anodes and silver
oxide cathodes. Furthermore, the permit writer notes that the facility's wastewater discharge includes
process wastewater from the anode and cathode manufacturing processes, floor and equipment
washdown, and employee showers. Even though the Batteries R Us application indicates that it was not
subject to any categorical pretreatment standards, the permit writer reviewed a summary list of
categorical standards (See Appendix G - Summary of Industrial Sectors with Categorical  Pretreatment
Standards and Requirements) and realized that EPA has established categorical pretreatment standards
for battery manufacturers [40 CFR Part 461]. The permit writer will consult those regulations to determine
which subpart of 40 CFR Part 461 applies to the discharger and will incorporate the appropriate
categorical effluent limits in the discharger's permit.

EXAMPLE 2.   SELECTING CONVENTIONAL POLLUTANTS FOR REGULATION

The operator at the Cleanwater POTW noticed that periodically the influent to his plant was milky white.
He collected an influent sample and noted that the milky color was due to very fine particles in the waste
that did not settle readily but produced a high TSS value. As a result, the plant violated its NPDES TSS
limit. The operator traced the milky white discharge to ABC Company. After reviewing data indicating
extremely high TSS concentrations from ABC Company's discharge, the permit writer included a TSS
limit in the ABC Company's  permit to  reduce the TSS load to the POTW and thus prevent pass through.

EXAMPLE 3.   SELECTING TOXIC  ORGANIC POLLUTANTS FOR REGULATION

In reviewing the discharge data for the Double D Company, the permit writer noticed that the discharge
contained 106 mg/L of 2,4,6-trichlorophenol and 5.3 mg/L of pentachlorophenol. The permit writer was
faced with a problem. The POTW's NPDES permit does not contain limits for such pollutants, and no data
are available on the levels of the pollutants in the POTW's effluent, influent, or sludge. Because the
permit writer did  not know the concentrations of either pollutant at the treatment plant, he decided to have
the POTW analyze its influent, effluent, and sludge for the organic priority pollutants. The  resulting data
indicated concentrations of 0.580 mg/L and 0.060 mg/L of 2,4,6-trichlorophenol and pentachlorophenol,
respectively, in the treatment plant's influent. Sludge and effluent data indicated the presence of both
pollutants, with pentachlorophenol present in the effluent at levels exceeding state ambient water quality
criteria. Because of concern for the water quality of the receiving stream and because of broad authority
in the local ordinance for the POTW to regulate Industrial Users  so as to prevent harm to the
environment, the permit writer established local limits for both compounds and included the requirements
in the Double D Company's  permit.

EXAMPLE 4.   SELECTING POLLUTANTS ON THE BASIS OF POTENTIAL HEALTH RISKS

The Anytown POTW superintendent had not noticed any apparent inhibition of his treatment system, but
plant operators complained periodically about strong organic smells in the wet well and at Triple T
Company's sampling manhole. In reviewing the discharge data from the Triple T Company, he noticed
that the company discharged 1,2 dichloroethane. Additional sampling of the gases in the collection
system revealed concentrations of 1,2 dichloroethane that exceeded the Occupational Safety and Health
Administration's Immediately Dangerous to Life and Health (IDLH) levels. Because of the  broad authority
in the local ordinance for the POTW to regulate Industrial Users  so as to ensure the health and safety of
the workers at the POTW, the superintendent decided to establish a local limit for 1, 2 dichloroethane and
add it to the Triple T Company's permit.
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CHAPTER 7	Effluent Limitations

7.1.1.1  Categorical Pretreatment Standards
Categorical Pretreatment Standards are technology-based standards for a selected group of industries
established by EPA under authority of the CWA. These standards are developed on the basis of industry-
wide studies of current treatment practices for pollution control (e.g., treatment technology) and,
therefore, establish national baseline pollution control requirements for the regulated industrial categories.
Pretreatment Standards are generally promulgated for both existing sources and new sources. These
standards could be the same or different. If an Industrial User is subject to categorical Pretreatment
Standards, the permit writer must include effluent limits based on these standards in the user's permit.

In certain situations, the Control Authority may have the option to authorize a CIU to forgo sampling for
a pollutant not expected to be present [40 CFR 403.12(e)(2)]. Before implementing that option, the
Control Authority must have the legal authority to implement the provision (i.e., the state and local
regulations include the provision and it has been submitted to and approved by the Approval Authority in
accordance with 40 CFR Part 403). If the Control Authority has determined that a monitoring waiver is
appropriate, the permit must still contain the applicable effluent limitations for the pollutants with waived
monitoring requirements. Furthermore, any grant of a monitoring waiver by the Control Authority must
be included as a condition in the user's permit along with the requirements to submit the certification
statement outlined at 40 CFR 403.12(e)(2)(v) with each user self-monitoring report. In addition, the
permit must include the notification requirement that if a pollutant with waived monitoring requirements
is found to be present or is expected to be present according to changes that occur in the user's operations,
the user must immediately notify the Control Authority and comply with the monitoring requirements of
40CFR403.12(e)(l).

To include all relevant categorical Pretreatment Standards in the permit, the permit writer must be
familiar with specific categorical Pretreatment Standards to which the  Industrial User is subject and
follow the rules below to apply categorical Pretreatment Standards.

Rules for Applying Categorical Pretreatment Standards
    •    Determine the proper category and subcategory for the industrial processes operated by the
        permittee.
    •    Identify all regulated, unregulated, and dilution wastestreams.
    •    Identify appropriate sampling locations.
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    •   Categorical standards apply directly to specific wastestream or at the end of treatment of that
       wastestream. When the designated sampling location described in the permit contains a
       categorically-regulated wastestream and one or more other wastestreams not regulated by the
       same categorical standard, an alternative categorical limit must be calculated.
    •   If effluent limits have both the daily maximum and the monthly average categorical Pretreatment
       Standards, both limits must be included in the permit.
    •   Limitations on all pollutants regulated by the categorical Pretreatment Standards must be
       included in the permit. Note, however, that some of the categorical regulations allow the use of
       indicator pollutants (e.g., oil and grease monitoring in lieu of TTO monitoring for dischargers
       subject to 40 CFR Part 467, Aluminum Forming) or allow exemptions from monitoring for
       certain pollutants (usually requiring periodic certification of non-use).
    •   Any grant of a monitoring waiver by the Control Authority must be included in the Industrial
       User's control mechanism.
    •   Upon approval of a monitoring waiver, the Industrial User's control mechanism must include the
       requirement for the user to submit the certification statement at 40 CFR 403.12(e)(2)(v).
    •   The Control Authority has the option of converting production-based categorical Pretreatment
       Standards to equivalent mass or equivalent concentration limits.
    •   The Control Authority has the option of converting categorical Pretreatment Standards that are
       expressed in terms of concentration to equivalent mass limits. [Note: This provision must be
       incorporated into the pretreatment program in accordance with 40 CFR Part 403 before
       implementation.]
    •   The Control Authority has the option of converting flow-based mass limits for facilities in the
       Organic Chemicals, Plastics, and Synthetic Fibers  [40 CFR Part 414], Petroleum Refining [40
       CFR Part 419], and Pesticide Chemicals [40 CFR Part 455] categories to concentration-based
       limits. [Note: This  provision must be incorporated into the pretreatment program in accordance
       with 40 CFR Part 403 before implementation.]
    •   Categorical Pretreatment Standards establish the compliance date(s) by which Industrial Users
       covered by the standards must be in compliance. The Control Authority cannot  extend these
       federally promulgated dates in the permit.
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Several EPA documents provide guidance on how to apply categorical Pretreatment Standards. The guidance
documents should be used to supplement the information provided in this section and in the Standards
themselves for incorporating categorical effluent limits into permits that are based on the standards.

Rules for Applying Production-Based Categorical Pretreatment Standards
Incorporating production-based categorical Pretreatment Standards in permits involves special
considerations. The standards are expressed in terms of an allowable pollutant mass discharge per unit of
production, such as pounds of pollutant per 1,000 pounds of product produced. The standards can be
placed in the permit verbatim from the regulations. The permit should then require the Industrial User to
submit actual production data from the date(s) on which the compliance samples were collected and to
calculate the actual mass of pollutant(s) discharged, on the basis of flow and concentration, to evaluate
compliance for that specific day.

Often, it might be impractical or difficult for the Control Authority to independently determine or verify
compliance because the production rate and the wastestream flow and pollutant concentration must be
known. The Control Authority has the option of using equivalent mass or concentration limits [40 CFR
403.6(c)].  Such limits use an industry's long-term average daily production and flow rates to derive the
corresponding daily maximum and monthly average limits. The applicable formulas are shown in Table 7-2.
                                         TABLE 7-2
     FORMULAS FOR CALCULATING EQUIVALENT LIMITS FROM PRODUCTION-BASED
                                       STANDARDS
Equivalent Mass Limits (in pounds per day [Ibs/day])
          Pounds of allowable pollutant loading
              (categorical Standard)               f Long - term average daily production
             Per day for peach 1,000 pounds        ^   rate in 1,000 pound increments
                 of product produced
Equivalent Concentration Limits (in milligrams per day [mg/L])
        Pounds of allowable pollutant loading
               (categorical Standard)           f Long - term daily average production^
            Per day for each 1,000 pounds      ^  rate in 1,000 pound increments    j
                of product produced
                   (8.34  x  Long - term average process effluent flow (mgd))
                                [Note: 8.34 is a conversion factor.]
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The Industrial User permit may function as the legal document for the conversion of production-based
standards to equivalent mass or concentration limits. These equivalent limits are deemed Pretreatment
Standards under section 307(b) of the CWA and are federally enforceable.

It is critical when converting production-based standards to equivalent mass or concentration limits that
the permit writer correctly calculate the equivalent limits and document the calculations. A permit
containing equivalent limits must clearly specify: (1) the applicable equivalent limits; (2) the flow and
production rates upon which the limits are based; (3) the requirement that the Industrial User report a
reasonable measure of its long-term production rate in each periodic compliance report; (4) the
requirement that the Industrial User notify the Control Authority of significant changes in long-term  flow
and production rates within 2 days of knowing that they will change in the next calendar month; and  (5) a
provision that the Control Authority may modify the permit on the basis of such new information. Table
7-3 provides an example.
                                          TABLE 7-3
 EXAMPLE OF INCORPORATING PRODUCTION-BASED STANDARDS AS EQUIVALENT MASS
                                     LIMITS IN A PERM IT
Part 1. Effluent Limitations
A. Description of Discharges
Pipe       Description
01         Discharge of wastewater generated by all regulated battery manufacturing processes at the facility
B. Effluent Limits
Effective no later than March 9,  1987, and lasting until the expiration date of this permit, the permittee is
authorized to discharge wastewater from pipe 01. This discharge is limited as specified below:
                                   Effluent Limitation (Ibs/day)
Limited Parameter                        Daily Maximum                 Monthly Average
Total Copper                                  0.021                            0.011
Total Lead                                    0.005                            0.002
C. Notification of Production Changes
The production rate that was used to calculate the equivalent mass per day limits in this permit is:
    •  0.1 million pounds of lead used per day
The permittee must report a reasonable measure of its long-term production rate in each periodic compliance
report submitted to the City. In addition, the permittee must notify the City immediately of a significant change in
this production rate that would cause the equivalent mass limits to have to be revised. A significant change is
an increase or decrease of 20 percent from the rate stated above.
D. Modification
This permit may be reopened and the effluent limits modified on the basis of any changed production rate
reported in C above.
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Determining the appropriate production rate is one of the critical factors in deriving equivalent limits.
EPA recommends using a production figure that approximates the long-term average. Data for a day,
week, month, or year that are unusually high or low should not be used; 3 to 5 years of data should be
reviewed to determine the appropriate long-term average. For example, after reviewing 5 years of data,
the permit writer could select the highest yearly average (provided that this value does not vary by more
than 20 percent to the most recent annual average). If a production rate varies greater than 20 percent, the
Control Authority should contact the facility and determine the basis for the variation. If a facility does
not have good historical data, as in the case of a new facility or a facility that has had significant
operational changes, the permit writer will have to rely on the facility's future projections for production.
Detailed guidance and procedures for developing and applying equivalent limits and example problems
are presented in EPA's Guidance Manual for the Use of Production-Based Pretreatment Standards and
the Combined Wastestream Formula. EPA encourages the permit writer to use that guidance manual
when developing equivalent limits. If an Industrial User is expected to have significant fluctuations in the
production (e.g., a 20 percent increase or decrease in the long-term average) during the permit period, a
tiered permit could be considered. For more detailed discussion on tiered permits, see Section 7.2.6.

Rules for Applying Equivalent Mass Limits for Concentration Limits
Before establishing equivalent  mass limits, the Control Authority must have the legal authority to
implement such a provision (i.e., the state and local regulations include the provision and it has been
submitted to and approved by the Approval Authority in accordance with 40 CFR Part 403). Where a
program has been modified to do so, the Control Authority has the option of establishing equivalent mass
limits for concentration limits [40 CFR 403.6(c)(5)]. For an Industrial User to be eligible for equivalent
mass limits, the user must do the following:
    •  Employ or demonstrate that it will employ water conservation methods and technologies that
       substantially reduce water use during the term of its permit.
    •  Currently use control and treatment technologies adequate to achieve compliance with the
       applicable categorical Pretreatment  Standards and not have used dilution as a substitute for
       treatment.
    •  Provide sufficient information to establish the facility's actual average daily flow rate for all
       wastestreams, on the basis of data from a continuous effluent flow monitoring device, as well as
       the facility's long-term average production rate. Both the actual average daily flow rate and long-
       term production rate must be representative of current operation conditions.
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    •  Not have daily flow rates, production levels, or pollutant levels that vary so significantly that
       equivalent mass limits are not appropriate to control the discharge.
    •  Have consistently complied with all applicable categorical Pretreatment Standards during the
       period before the user's request for equivalent mass limits.

In addition, the following provisions must be included in a permit issued to an Industrial User subject to
equivalent mass limits:
    •  Maintain and effectively operate control and treatment technologies adequate to achieve
       compliance with the equivalent mass limits.
    •  Continue to record the facility's flow rates through the use of a continuous effluent flow-
       monitoring device.
    •  Continue to record the facility's production rates and notify the Control Authority whenever
       production rates are expected to vary by more than 20 percent from its baseline production rates.
    •  Continue to employ the same or comparable water-conservation methods and technologies as
       those implemented to qualify for the equivalent mass limits.

If the Control Authority chooses to establish equivalent mass limits, it may retain the same equivalent
mass limit in subsequent permit terms if the user's actual average daily flow rate was reduced solely as a
result of implementing water-conservation methods and the actual average daily flow rate used in the
original calculation of the equivalent mass limit was not based on the use of dilution as a substitute for
treatment. In addition, the Control Authority must do the following:
    •  Calculate the equivalent mass limits by multiplying the actual daily flow rate of the regulated
       process(es) of the user by the concentration-based categorical Pretreatment Standards and the
       appropriate conversion factors.
    •  Reassess the equivalent mass limit and recalculate the limit as necessary to reflect changed
       conditions at the facility.

Rules for Applying Equivalent Concentration Limits for Mass Limits
Before establishing equivalent concentration limits, the Control Authority must ensure that it has the legal
authority to implement such a provision (i.e., the state and local regulations include the provision and it
been submitted to and approved by the Approval Authority in accordance with 40 CFR Part 403). Where
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the program has been modified to do so, the Control Authority has the option to convert the mass limits of
the categorical Pretreatment Standards at 40 CFR Parts 414, 419, and 455 to concentration limits [40 CFR
403.6(c)(6)]. When establishing equivalent, concentration-based Pretreatment Standards instead of mass
limits (i.e., flow-based limits) the Control Authority must document that dilution is not being used as a
substitution for treatment. Additionally, the Control Authority is required to adjust the permit limits when
the wastestream used for demonstrating compliance with the permit limits is mixed with nonprocess
wastewater or from other processes.

The Control Authority may also determine  that an Industrial User should be subject to both the flow-
based, mass limit as well as the equivalent concentration-based limit. If both limits are incorporated into a
permit, the Industrial User would have to comply with both limits.

Rules for Applying Pollutant Not Expected to be Present
Before authorizing an Industrial User to forgo sampling of a pollutant not present, the Control Authority
must ensure that it has the legal authority to implement such a provision (i.e., the state and local
regulations include the provision and it has been submitted to and approved by the Approval Authority in
accordance with 40 CFR Part 403). Where the program has included this provision, the Control Authority
has the option to authorize a CIU to forgo sampling of a pollutant if the user can demonstrate through
sampling and a technical evaluation of the facility's operations, that a given pollutant is neither present
nor expected to be present in the discharge, or is present only at background levels [40 CFR
403.12(e)(2)]. This provision, however, does not supersede the  certification processes and requirements
established in categorical Pretreatment Standards, except as specified in the categorical Pretreatment
Standard (e.g., TTO certification for metal finishing, 40 CFR Part 433).

 Such an authorization is subject to the following conditions:
    •    The Control Authority may authorize a waiver where a pollutant is  determined to be present
        solely because of sanitary wastewater discharged  from the facility, provided that the sanitary
        wastewater is not regulated by an applicable categorical Pretreatment Standard and includes no
        process wastewater.
    •    The monitoring waiver is valid only for the duration of the effective period of the  permit but in no
        case longer than 5 years. The user must submit a new request for the waiver before the waiver
        may be granted for each subsequent permit.
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    •  In making a demonstration that a pollutant is not present, the user must provide data from at least
       one sampling of the facility's process wastewater before any treatment present at the facility that
       is representative of all wastewater from all processes.
    •  The request of a monitoring waiver must be signed in accordance with 40 CFR 403.12(1) and
       include the certification statement in 40 CFR 403.6(a)(2)(ii).
    •  Nondetectable sample results may be used only as a demonstration that a pollutant is not present
       if the EPA-approved method from 40 CFR Part 136 with the lowest minimum detection level for
       that pollutant is used in the analysis.
    •  Any grant of the monitoring waiver by the Control Authority must be included as a condition in the
       user's permit. The reasons supporting the waiver and any information submitted by the user in its
       request for the waiver must be maintained by the Control Authority for at least 3 years after the
       expiration of the waiver. In addition, the following provisions must be included as permit
       provisions.
               Upon approval of the monitoring waiver, the user must certify on each report with the
               statement below, that there has been no increase in the pollutant in its wastestream
               because of activities of the user:
               On the basis of my inquiry of the person or persons directly responsible for managing
               compliance with the Pretreatment Standard for 40 CFR	[specify applicable
               national Pretreatment Standard part(s)], I certify that, to the best of my knowledge and
               belief, there has been no increase in the level of	[list pollutant(s)] in the
               wastewaters because of the activities at the facility since filing the last periodic report
               under 40 CFR403.12(e)(l).
           -   If a waived pollutant is found to be present or is expected to be present on the basis of
               changes that occur in the user's operation, the user must immediately comply with the
               monitoring requirements of 40 CFR 403.12(e)(l) or other, more frequent monitoring
               requirements imposed by the Control Authority and notify the Control Authority.

7.1.1.2  National Prohibited  Discharges
Section 403.5(a) and (b) of the  General Pretreatment Regulations establishes general and specific
prohibitions that apply to all nondomestic users that discharge to POTWs (see Table 7-4). Local
ordinances for POTWs with approved pretreatment programs must include the authority for local
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enforcement of those provisions. The permit writer should keep informed of developments in this area to

ensure that all permits accurately incorporate all federal pretreatment requirements.
                                          TABLE 7-4
                           NATIONAL PROHIBITED DISCHARGES

General Prohibitions
A user may not introduce into a POTW any pollutants that cause pass through or interference
[40CFR403.5(a)(1)].

Specific Prohibitions
The following pollutants must not be introduced into a POTW:
    •  Pollutants that create a fire or explosion hazard in the POTW, including, but not limited to,
      wastestreams with a closed cup flashpoint of less than 140 degrees Fahrenheit or 60 degrees
      Centigrade using the test methods specified in 40 CFR 262.21 [40 CFR 403.5(b)(l)]
    •  Pollutants that will cause corrosive structural damage to the POTW, but in no case discharges with
      pH lower than 5.0, unless the POTW is specifically designed to accommodate such discharges
      [40 CFR 403.5 (b) (2)]
    •  Solid or viscous pollutants in amounts that will cause obstruction to the flow in the POTW resulting
      in interference [40 CFR 403.5(b)(3)]
    •  Any pollutant, including oxygen demanding pollutants (BOD,  and the like) released in a discharge
      at a flow rate or pollutant concentration that will cause interference with the POTW
      [40 CFR 403.5(b)(4)]
    •  Heat in amounts that will inhibit biological activity in  the POTW resulting in interference, but in no
      case heat in such quantities that the  temperature at the POTW exceeds 40 degrees Centigrade
      (104 degrees Fahrenheit) unless the Approval Authority, upon request of the POTW, approves
      alternate temperature limits [40 CFR 403.5(b)(5)]
    •  Petroleum  oil, nonbiodegradable cutting oil, or products of mineral oil in amounts that will cause
      interference or pass through [40 CFR 403.5(b)(6)]
    •  Pollutants that result in the presence of toxic gases, vapors, or fumes within the POTW in a
      quantity that could cause  acute worker health  and safety problems  [40 CFR 403.5(b)(7)]
    •  Any trucked or hauled pollutants, except at discharge points designated by the POTW. [40 CFR
      403.5(b)(8)]
Table 7-5 is an example of incorporating the national specific prohibitions with other locally derived

prohibitions into a permit. The preferred means is by direct inclusion of verbatim language from the

sewer use ordinance. This language may be inserted either in the effluent limits section or in the standard

conditions section of the permit.
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                                         TABLE 7-5
           EXAMPLE OF INCORPORATING PROHIBITED DISCHARGES IN PERMIT
VERBATIM IN STANDARD CONDITIONS SECTION OF PERMIT
Part IV—STANDARD CONDITIONS
  1. The permittee must comply with all the general prohibited discharge standards in Section 5 of the city
    ordinance. Namely, the Industrial User must not discharge wastewaterto the sewer system:
    a) Wastewater having a temperature greater than [	degrees F (	degrees C)], or that
       will inhibit biological activity in the treatment plant resulting in Interference, but in no case
       wastewater that causes the temperature at the introduction into the treatment plant to exceed 104
       degrees F (40 degrees C);
    b) Fats, oils, or greases of animal or vegetable origin in concentrations greater than [	] mg/L;
    c) Pollutants that create a fire or explosion hazard in the POTW, including wastestreams with a
       closed cup flashpoint of less than one hundred forty (140) degrees Fahrenheit (60 degrees C)
       using the test methods specified in 40 CFR 261.21;
    d) Wastewater causing two readings on an explosion hazard meter at the point of discharge into the
       POTW, or at any point in the POTW, of more than [	percent (____)%] or any single
       reading over [        percent (	)%] of the Lower Explosive Limit of the meter.
    e) Solid or viscous substances in amounts that will cause obstruction of the flow in the POTW
       resulting in Interference [but in no case solids greater than	inch(es) (	") or	
       centimeter(s) (	cm)  in any dimension];
    f) Petroleum oil, nonbiodegradable cutting oil, or products of mineral oil origin, in amounts that will
       cause interference or pass through;
    g) Having a pH lower than  5.0 or higher than [	], or otherwise causing corrosive structural
       damage to the POTW or equipment;
    h) Pollutants that result in the presence of toxic gases, vapors, or fumes within the POTW in a
       quantity that could cause acute worker health and safety  problems;
    i) Noxious or malodorous liquids, gases, solids,  or other wastewater that, either singly or by
       interaction with other wastes, are sufficient to  create a public nuisance or hazard to life, or to
       prevent entry into the sewers for maintenance or  repair;
    j) Sludges, screenings, or other residues from the treatment of industrial wastes;
    k) Containing any substance that could affect the treatment  plant's effluent and cause violation of the
       NPDES permit requirements;
    I) Containing any substance that would cause the treatment plant to be in noncompliance with
       sludge use, recycle or disposal criteria pursuant to guidelines  or regulations developed under
       section 405 of the Clean Water Act, the Solid Waste Disposal Act, the Clean Air Act, the Toxic
       Substances Control Act or other regulations or criteria for sludge management and disposal as
       required by the state;
    m) Wastewater that imparts color, which cannot be removed  by the treatment process, such as, but
       not limited to, dye wastes and vegetable tanning solutions, which consequently imparts color to
       the treatment plant's effluent, thereby violating [the name of the  POTW's] NPDES  permit;
    n) Medical wastes, expect as specifically authorized by the [the Superintendent]  in a permit;
    o) Stormwater, surface water, ground water, artesian well water, roof runoff, subsurface drainage,
       swimming pool drainage, condensate, deionized water, noncontact cooling water,  and unpolluted
       wastewater, unless specifically authorized by  [the Superintendent];
    p) Wastewater causing, alone or in conjunction with  other sources, the treatment plant's effluent to
       fail toxicity tests;
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                                     Table 7-5 (continued)
     q) Detergents, surface-active agents, or other substances that that might cause excessive foaming in
       the POTW;
     r) Wastewater containing any radioactive wastes or isotopes except in compliance with applicable
       state or federal regulations; or
     s) Pollutants, including oxygen-demanding pollutants (BOD, and the like) released in a discharge at a
       flow rate or pollutant concentration which, either singly or by interaction with other pollutants, will
       cause Interference with the POTW.
7.1.2.3  Local Limits
Section 403.5(c) of the General Pretreatment Regulations requires Control Authorities to develop and
enforce specific limits to implement the general prohibition against pass through and interference
[40 CFR 403.5(a)] and the specific prohibitions [40 CFR 403.5(b)]. In July 2004, EPA published an
extensive guidance document on developing and implementing local limits (Local Limits Development
Guidance). For the purposes of this guidance manual, it is assumed that the Control Authority has
developed local limits in accordance with that guidance or some other acceptable approach.

The Control Authority might have established local limits for any number of pollutants. The two main
considerations on how to incorporate such local limits into Industrial User permits are whether the sewer
use ordinance contains all the local limits and how the Control Authority has allocated its maximum
allowable industrial loading to its Industrial Users.

The Control Authority must have the legal authority to implement its approved local limits. The permit
must include a list of all applicable local limits even if the Control Authority is not requiring the
Industrial User to monitor for all or any of the pollutants with local limits. This approach ensures that the
Industrial User is aware of all local limits. The permit must also include monitoring requirements as
specified by 40 CFR 403.12 for all the pollutants of concern. The permit writer can establish monitoring
requirements for the pollutants present in the discharge. However, the monitoring frequency for pollutants
known to be absent, or present at levels at or below local background  concentrations, could be reduced.

The Control Authority may develop industry-specific local limits. Because each permitted industry
receives different numerical limits, it is difficult to incorporate them into a local sewer use ordinance. In
such a situation, the sewer use ordinance will generally establish the authority to develop and implement
local limits and state that the limits will be enforced through Industrial User permits. All local limits
applicable to the Industrial User must be included in its permit. This is particularly important because the
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limits are not incorporated in the ordinance. The monitoring frequency for any pollutant of concern could
then be set on the basis of the pollutant's presence in the wastestream.

Establishing or revising local limits is considered to be a modification of the POTW's pretreatment
program. Therefore, the Control Authority must submit to the Approval Authority for its review and
approval any new or changed local limits. The POTW must submit a notice to the Approval Authority
that states the basis for the modification and must provide a modified program description and other
documentation requested by the Approval Authority. Modifications that relax local limits, except for the
modifications to local limits for pH and reallocations of the Maximum Allowable Industrial Loading of a
pollutant that do not increase the total industrial loadings  for the pollutant, are considered to be substantial
program modifications. Approval procedures for modifications of local limits are described in 40 CFR
403.18.  After the Approval Authority  approves a modification, the Control Authority shall incorporate it
into the  POTW's NPDES permit [40 CFR 403.18 and 40  CFR 122.62].

7.1.2.4    Best Management Practices
BMPs are management and operational procedures that are intended to prevent pollutants from entering a
facility's wastestream or from reaching a discharge point. BMPs are defined as schedules of activities,
prohibitions of practices, maintenance procedures, and other management practices to implement the
general and specific prohibitions listed  at 40 CFR 403.5(a)(l) and (b). BMPs also include treatment
requirements; operating procedures; and practices to control plant site runoff, spillage, or leaks; sludge or
waste disposal; or drainage from raw materials  storage. There are two different circumstances in which
BMPs may be  Pretreatment Standards.  The first is when a POTW establishes BMPs as local limits or in
addition to the local limits to implement the general and specific prohibitions. The second is when the
BMPs are categorical Pretreatment Standards established by EPA. The Control Authority should use
BMPs instead  of numeric limits where determining compliance with numeric limits is infeasible or as a
supplement to  numeric limits as appropriate to meet the requirements of the CWA.

Before implementing BMPs as  a supplement to local limits, the Control Authority must ensure that it has
the legal authority to implement such a provision (i.e., the state and local regulations include the provision
and it has been submitted to and approved by the Approval Authority in accordance with 40 CFR Part 403).

Where the program has been approved to do so, the Control Authority has the option to use BMPs in lieu
of numeric limits. BMPs required, however, by a categorical Pretreatment Standard are not optional and
must be included in CIU permits [40 CFR 403.8(f)(l)(iii)(B)(3)]. As such, the CIU permits must include

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applicable BMPs as required by categorical Pretreatment Standards. For example, facilities may develop
toxic organic management plans in lieu of sampling to demonstrate compliance with the TTO limit at 40
CFR Part 433 (Metal Finishing category).

If the Control Authority has been approved to use BMPs in lieu of or in addition to numeric limits, the
BMPs should include the following:
    •   Specific notice to Industrial Users of requirements and enforceability.  Such a notice, provided
       through POTW sewer use ordinances or individual or general control mechanisms, should make
       clear which users are subject to BMPs, and what affected users must do to comply with their
       requirements.
    •   Installation of treatment. POTWs should provide criteria or specifications that the equipment
       must satisfy. For example, a requirement for use of oil/water separators at auto repair facilities
       could include sizing and design criteria. EPA cautions POTWs to avoid endorsing the use of
       specific brands or vendors.
    •   Requirements for or prohibition on certain practices, activities, or discharges. POTWs should
       include specific requirements or prohibitions where necessary to ensure that the use of such
       BMPs is protective. An example would be a prohibition on discharges of tetrachloroethene from
       dry cleaning facilities.
    •   Requirements for O&M of treatment units. POTWs should spell out their operations and
       maintenance (O&M) expectations to ensure that treatment systems continue to perform as
       designed and installed. For example, restaurants could be required to have grease interceptors
       cleaned out at a specified frequency.
    •   Time frames associated with key activities. POTWs should provide time frames for when
       management practices must be implemented or when required treatment must be installed and
       fully operational. Other milestones should be added to the schedule where necessary to facilitate
       the oversight of BMP implementation.
    •   Compliance certification, reporting and records retention. Establishing specific procedures for
       such requirements will enable POTWs to verify whether required equipment has been installed or
       whether required maintenance has been performed at the specified frequency.
    •   Provision for reopening or revoking the BMP conditions. As with numeric limits, POTWs should
       include language in the sewer use ordinance or facility control mechanisms that enables them to
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       revoke the control mechanism at any time to include modified numeric limits or BMPs. For
       example, the POTW may find it necessary to revoke an Industrial User's control mechanism
       where the POTW determines that the user has not complied with applicable BMPs or where the
       POTW determines that it is easier to determine compliance with a numeric limit.
    •   Any other requirements as determined by the Control Authority.

There are at least two ways to impose BMPs in permits: (1) by requiring the Industrial User to develop
and implement BMPs (either a comprehensive plan or a plan addressing specific problems); or (2) by
imposing site or pollutant-specific requirements (e.g., removing or sealing floor drains or containing
stored chemicals). The applicable BMP conditions may be incorporated in multiple sections of a permit
since BMP requirements can include  special monitoring requirements or activities, reporting and
recordkeeping requirements, and/or treatment requirements.

If the BMP includes an implementation of a plan, the plan should be reviewed when  submitted; but it is
not generally necessary or advisable for the  Control Authority to approve the plan. Compliance with the
plan cannot relieve the Industrial User of its liability if its discharge causes or contributes to pass through
or interference. Approval of the plan could be misconstrued as Control  Authority sanction even though
the plan when implemented might not be effective in controlling slug loads or other problematic
discharges. The Control Authority has the discretion to reject any BMP that it deems to be inadequate to
prevent interference, pass through, or violate the specific prohibitions.

When incorporating special conditions in the control mechanism, the permit writer should use language
that clearly identifies what specific activities must occur and when they must occur or be completed.
Examples of activities include criteria, specifications, and timeline of installation of treatment and
requirements for O&M of treatment units.

Additional information on BMPs is in Appendix H.  For more information, see the following EPA
documents:
    •   Guidance Manual for Control of Slug Loadings to POTWs
    •   Guidance Manual for Implementing Total Toxic Organics (TTO) Pretreatment Standards
    •   NPDES Best Management Practices Guidance Document
    •   Appendix W—Best Management Practices Mini-Case Studies in the Local Limits Development
       Guidance

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CHAPTER 7	Effluent Limitations

A slug discharge control plan is a specific type of BMP. A slug discharge is any discharge of a nonroutine
episodic nature, including an accidental spill or a noncustomary batch discharge, that has a reasonable
potential to cause interference or pass through or in any other way violate the POTW's regulations, local
limits, or permit conditions [40 CFR 403.8(f)(2)(vi)]. If the Control Authority determines actions to
control slug discharges are necessary, the SIU's permit must include provisions addressing those
requirements to control slug discharges [40 CFR 403.8(f)(l)(iii)(B)(6)]. As noted previously, the Control
Authority should review the SIU's slug discharge control plan to ensure that the plan contains all of the
federal requirements, but the Control Authority should not approve the plan.

EPA expects that POTWs will include language in the permit that requires control of slug discharges
rather than the terms of a particular SIU's plan. Including the entire slug discharge control plan could
prove to be administratively burdensome because changes made to the plan during the term of the permit
could require the Control Authority to modify the permit or reopen and reissue the permit.

7.2    APPLYING  EFFLUENT LIMITS
It is important that the permit writer correctly apply the effluent limits in the permit. The permit should
clearly designate the sampling point(s) where the limits apply, the period in which the limits apply (e.g.,
from a specific date to a  specific date if different from the effective period of the permit), and the units
(e.g., mg/L or Ibs/day). In addition, the effluent limits should be expressed in terms of the duration for
which the limits themselves are intended to apply (e.g., instantaneous maximum, maximum daily, or
monthly average) and such terms should be well defined. For example, an instantaneous maximum value
is the maximum concentration of a pollutant allowed to be discharged at any time, determined from the
analysis of any discrete or composited sample collected, independent of the industrial flow rate and the
duration of the sampling event. On the other hand, a maximum daily discharge limit is defined as the
highest allowable daily discharge, and daily discharge is defined as the discharge of a pollutant measured
during a calendar day or any 24-hour period that reasonably represents the calendar day for the purposes
of sampling. For pollutants with limits expressed in units of mass, the daily discharge is calculated as the
total mass of the pollutant discharged over the day. For pollutants with limits expressed in other units of
measurement, the daily discharge is calculated as the average measurement of the pollutant over the day
[40 CFR 122.2].
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CHAPTER 7	Effluent Limitations

7.2.1   What Other Pollutants Are Present?
The permit writer should review the permit application and other supplemental materials requested from
the Industrial User. For example, analytical data on wastewater quality indicate actual pollutants present
before treatment and the concentration/strength of the pollutants in the wastewater. The permit writer can
use a list of raw materials to identify additional possible pollutants that could be present in the wastestream.
In addition, the permit writer should review flow data to identify variability in pollutant and hydraulic
loadings. If the permit writer identifies additional pollutants present that are not regulated by categorical
Pretreatment Standards, the permit writer should either determine if local limits are already established or
need to be developed for these pollutants. If these pollutants do not have local limits, the permit writer
could consider obtaining additional monitoring  data to determine if local limits are needed for these
pollutants. The permit writer is reminded that all applicable local limits must be included in the permit.

7.2.2   Relationship of Local Limits to Categorical Pretreatment Standards
Categorical Pretreatment Standards and local limits are distinct and complementary types of Pretreatment
Standards. Promulgation of a categorical Pretreatment Standard by EPA in no way relieves a Control
Authority from its obligation to evaluate  the need for, and to develop, local limits to meet the general and
specific prohibitions in the General Pretreatment Regulations. As mentioned earlier, categorical
Pretreatment Standards are developed to achieve a degree of water pollution control for selected industries
and pollutants on the basis of a national assessment of available technology and costs. Local limits are
intended to prevent site-specific POTW and environmental problems resulting from Industrial Users.

In implementing its  pretreatment program, a Control Authority is required to enforce the applicable
Pretreatment Standard (i.e., federal, state, or local, whichever is most stringent). When the Control
Authority is drafting a permit for an Industrial User subject to categorical Pretreatment Standards, the task
of applying the applicable effluent limits can be complicated.  Local limits are often more stringent than
categorical Pretreatment Standards because they are based on  local, site-specific situations. In addition,
there might be local limits for more pollutants than are regulated in the applicable categorical
Pretreatment Standard. Therefore, a permit may contain a mixture of categorical Pretreatment Standards
and local limits. One complicating factor is that, in contrast to the categorical Pretreatment Standards that
apply to individual discharges from regulated processes (end-of-process), local limits normally apply at
the point(s) of discharge to the public sewer system (end-of-pipe).

In the situation where the Industrial User's  discharge to the public sewer contains only wastewater from a
process  regulated under a particular categorical  standard, the end-of-process pollutant load is the same as

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CHAPTER 7
Effluent Limitations
the end-of-pipe pollutant load. The determination of which limits apply, local or categorical, is
accomplished by simply choosing the limit that is numerically more stringent if the terms of duration of
the limits are the same (e.g., both limits are daily maximum limits or monthly average limits). More
commonly, the industry's discharge at the point of connection contains a mixture of categorical process
wastestreams and noncategorical process waste streams. If categorical standards are to be applied at the
end-of-pipe where additional wastestreams exist, the permit writer must adjust the categorical
Pretreatment Standards to end-of-pipe limits. Appendices I and J contain guidance for calculating
production-based standards and using the CWF, respectively. Such adjusted limits must then be compared
to the Control Authority's local limits, and the most stringent limit would be included in the permit. The
example in Table 7-6 illustrates the results of comparing federal and local limits.
                                         TABLE 7-6
      EXAMPLE OF FACT SHEET DOCUMENTING THE DETERMINATION OF THE MOST
                      STRINGENT DAILY MAXIMUM EFFLUENT LIMITS
Parameter
Cadmium
Chromium (Hex)
Chromium (Total)
Copper
Cyanide
Lead
Manganese
Mercury
Nickel
Silver
Zinc
TTO***
Daily
PSES
0.69
~
2.77
3.38
1.20
0.69
~
~
3.98
0.43
2.61
2.13
Monthly
PSES
0.26
~
1.71
2.07
0.65
0.43
~
~
2.38
0.24
1.48
~
Daily
CWF
0.46
~
1.85
2.26
*
0.46
~
~
2.66
0.28
1.74
1.42
Monthly
CWF
0.17
~
1.14
1.38
*
0.29
~
~
1.59
0.16
0.99
~
Local
daily limit
0.1
0.1
1.0
5.0
2.0
0.1
1.0
0.005
2.0
0.1
5.0
1.0
Daily final
limit
0.1
0.1
1.0
2.26
1.20*
0.1
1.0
0.005
2.0
0.1
1.74
1.0
Monthly
final
limit**
0.17
~
1.14
1.38
0.65*
0.29
~
~
1.59
0.16
0.99
~
Note: All concentrations are in mg/L unless otherwise noted.
Key:
PSES = Pretreatment Standards for Existing Sources, metal finishing category [40 CFR Part 433.15(a)]
CWF = Alternative metal-finishing standards after use of the combined wastestream formula
Local Limit = Maximum pollutant concentrations established by the Control Authority
Final Limit = Final limits based on most stringent of local, state, and federal standards
* Cyanide limits must apply to the segregated cyanide wastestream of the cyanide destruct treatment process.
** The discharger is required to comply with both the daily maximum and monthly average limits, if applicable.
*** The pollutants regulated by the categorical TTO limit and the local TTO limit are the same.
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CHAPTER 7	Effluent Limitations

In other instances, the Control Authority might find it necessary or preferable to monitor the industrial
discharge at more than one location. In such a case, the permit must clearly indicate where the specific
limits apply and where samples for various parameters must be collected. For example, a Control
Authority might want to regulate a metal-finishing industry by requiring monitoring for local limits at the
connection to the sewer system, monitoring for categorical Pretreatment Standards at the discharge from
the treatment facility, and monitoring for cyanide on the segregated wastestream from the cyanide
treatment unit.

7.2.3   Concentration- or Mass-Based Limits
As noted in Section 7.1.1.1, the Control Authority may have the authority to establish equivalent mass
limits or equivalent concentration limits for federally established concentration-based and mass-based
limits, respectively. The Control Authority might also want to establish the same flexibility when
applying its local limits. The permit writer needs to be familiar with how the local limits were developed,
how they are meant to be implemented, and how they were adopted into the sewer use ordinance.

Local limits are generally expressed as numeric values, which are upper bounds of the amount of
pollutant that may be discharged to the POTW by Industrial Users. During the local limits development
process, the quantity of specific pollutants that may be accepted by the POTW is developed as a mass
value (pounds per day) or otherwise known as maximum allowable industrial loadings. Then the
maximum allowable industrial loading value is typically divided among all Industrial Users subject to
local limit requirements and converted into a concentration-based limit. Typically, most POTWs
implement their numeric  limits as uniform, concentration-based local limits. (For more information
regarding local limits development and implementation, see EPA's Local Limits Development Document,
July 2004).

When to Convert Concentration-Based Local Limits to Mass Limits
There might be circumstances when applying an equivalent mass limit is more appropriate than applying
a concentration limit. Before converting concentration-based local limits to mass limits, the permit writer
should review how the local limits were originally established to determine the maximum allowable
loading values allocated for each Industrial User. By converting concentration-based local limits to mass
limits, the permit writer ensures that the maximum allowable loading allocated to that Industrial User is
not exceeded and that compliance is not achieved through dilution. The following are some situations in
which the permit writer should consider converting concentration-based local limits into mass limits:
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CHAPTER 7	Effluent Limitations

    •   Batch dischargers
    •   Dischargers with excessive or variable wastewater flow
    •   Dischargers with seasonal variations

To evaluate compliance with the equivalent mass limit, the permit writer must obtain or require the
Industrial User to submit appropriate flow measurements of the wastewater discharged to the POTW. The
applicable formula is shown in Table 7-7.

When to Convert Mass-Based Local Limits to Concentration Limits
Even though local limits are typically concentration-based limits, some POTWs have adopted mass-based
local limits. If your POTW has adopted mass-based local limits, there might be situations when these
limits should be converted to concentration limits. By converting mass-based local limits to concentration
limits, the Control Authority can evaluate compliance with effluent requirements of local limits by simply
comparing the analysis result with the numeric limit. The following are some situations in which the
permit writer should consider converting mass-based local limits to concentration limits.
    •   Dischargers with consistent wastewater discharge flow rates
    •   Dischargers with consistent compliance

The applicable formula is shown in Table 7-7.
                                         TABLE 7-7
                       FORMULAS FOR CONVERTING LOCAL LIMITS
Concentration-based limits (mg/L) to mass limits (Ibs/day)
^User's Discharge FlowrateN
in million gallons per day
I (mgd)
f Concentration - based limitN
x in milligrams per liter
( (mg/L)
Mass-based limits (Ibs/day) to concentration limits
( Conversion factor^)
x = Equivalent mass
^ 8'34 ' Ibs/day
(mg/L)
f User's Allowable Pollutant loading^
^ (pounds per day [Ibs/day]) J
f User' s average daily discharge flowrate^j f Conversion factor^
I (mgd) JX[ 8.34 J


mg/L
limit,

limit,
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CHAPTER 7	Effluent Limitations

7.2.4   NSCIU Requirements
The Control Authority, at its discretion, may establish the authority to classify some CIUs as NSCIUs. If
the Control Authority has established this authority, the Control Authority should consider how it will
regulate its NSCIUs. Because NSCIUs are no longer considered significant users, there is no federal
requirement to control these users through a permit or any other control mechanism. The Control
Authority, however, at its own discretion, can establish the authority to issue permits to these users.
Regardless of whether an Industrial User is determined to be an NSCIU, it is still a categorical discharger
and, as such, is still required to comply with applicable categorical Pretreatment Standards and related
reporting and notification requirements at 40 CFR 403.12(b), (c), (d), (f), (j), (1), and (p). Furthermore, the
Control Authority still must perform the same minimum oversight of an NSCIU that is required for other
facilities that are not SIUs, including notifying the CIU of its status and requirements, reviewing required
reports and certifications, verifying that daily regulated flow rates do not exceed  100 gpd, random
sampling and inspection, and investigating noncompliance as necessary.

If the Control Authority has established the necessary authority to permit these dischargers, the permit
writer should include the following:
   •    Applicable categorical and local effluent limitations
   •    Necessary reporting and notification requirements.

7.2.5   Zero-Discharge Requirements
The Control Authority, at its discretion, may prohibit the discharge of certain wastewaters (e.g., storm
water, chlorinated swimming pool waters) into the POTW, in addition to the general federal prohibitions.

Furthermore, some categorical pretreatment standards require a facility to not discharge certain process
wastewaters. For those facilities, the permit writer should evaluate whether there is a potential for the
facility to actually discharge the prohibited process wastewater into the POTW. Considerations for
"potential" are discussed in detail in Section 2.2 of this manual.

A Control Authority may choose to issue a permit to a facility that does not discharge (zero-discharge) or
is prohibited to discharge process wastewater. There are special conditions that the Control Authority
should include in the permit for this type  of facility. These conditions are discussed in detail in Section
10.3 of this manual.
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CHAPTER 7	Effluent Limitations

7.2.6   Tiered Permits
The Control Authority could encounter situations in which one set of effluent limits might not be
appropriate for the permit's entire period (e.g., where production rates and associated wastestream volume
discharged varies). A tiered permit might be appropriate in such situations, eliminating the need for
continual permit revisions. For example, an Industrial User may be issued one set of limits for the average
production rate and another set that takes effect when there is a significant change in the average
production rate. Generally, a 10 to 15 percent deviation above or below the long-term average production
is within the range of normal variability. Predictable changes in the long-term production higher than that
range could warrant consideration of a tiered permit. Tiered permits are recommended where the long-
term average production varies by 20 percent or greater. Typically, there are three situations in which
tiered permits are warranted.

The first situation would involve a facility that the Control Authority knows  will begin a new process or
add a new process line during the term of the permit. In such a case, the permit writer could include two
sets of limits—one set for the current conditions and one set for the future conditions. The permit should
also clearly state the terms and conditions under which each set of limits would apply.

The second situation would involve an industry that has an annual pattern of low- and high-production rates.
For example, an industry that produces Christmas items might operate at only  40-50 percent capacity from
January through June, but at full capacity from July through December. In such a case, the permit writer
would also develop two (or more) sets of limits for the industry. For seasonal variations, the permit could
stipulate either dates or production levels that would trigger the application of one set of limits versus
another. For that type of permit, a special condition should be included in the permit that requires the
Industrial User to notify the Control Authority when the scheduled production change occurs or if
unexpected circumstances cause seasonal operations to differ from the fixed periods defined in the permit.

The third scenario would involve an  industry where the demand is variable, and the permit modification
process is not fast enough to respond to the need for higher or lower equivalent limits. A permit might be
written with two or three tiers that apply to ranges of production. For example, a hypothetical battery
plant has a historical average production rate that varies between 40 and 100 percent with a maximum
average production rate of 2.0 x 106 Ibs/day. The plant is subject to a production-based categorical
standard for pollutant X - 1 Ib/million Ib of product (daily maximum). Alternate effluent limits might be
set as follows:
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CHAPTER 7	Effluent Limitations

    First Tier: Basis of Calculation. 1 x 106lbs/day
          Limit for Pollutant X 2.0 Ibs/day (daily maximum)
          Applicable Production Range: 0.8  x  I06to 1.2 x  106 Ibs/day
    Second Tier: Basis of Calculation. 1.4 x 106 Ibs/day
          Limit for Pollutant X 2.8 Ibs/day (daily maximum)
          Applicable Production Range: > 1.2  x  106 to 1.6  x 106 Ibs/day
    Third Tier: Basis of Calculation. 1.8 x 106 Ibs/day
          Limit for Pollutant X 3.6 Ibs/day (daily maximum)
          Applicable Production Range: > 1.6  x  106 to 2.0  x 106 Ibs/day
The first tier has an applicable production range that covers plus or minus 20 percent of the basis of the
calculation for that tier. This can be seen by noting that the basis of calculation for the first tier is 1 x 106
Ibs/day, and the threshold level that would trigger the next tier is set at 1.2 x 106 Ibs/day or 20 percent
higher. Similarly, the second and third tiers have  applicable production ranges of 14 percent and 11
percent, respectively. That is consistent with the general rule (mentioned earlier) that a 10 to  15 percent
change in average production rate is within the range of normal variability while a 20 percent or greater
change should warrant alternate limits.

The production range for each tier must be specified in the  permit, and the Industrial User must be
required to report the measurements or estimates  of the actual production rate that prevailed during the
reporting period. The anticipated production rate  for the next reporting period should also be reported.

For a tiered permit, a special notification condition should be included in the permit that requires the
Industrial User to notify the Control Authority within 30 days before a change in production.

A tiered permit requires an increased technical  and administrative role by the  Control Authority to verify
compliance with effluent limits. The permit should be issued only after careful consideration and only
when a substantial change in the long-term average rate of production or other changes that effect permit
conditions are likely to occur.
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CHAPTER 8                                             Monitoring and Reporting Requirements


                                        CHAPTER 8.
                     MONITORING AND REPORTING REQUIREMENTS

Once an Industrial User's effluent limits are developed, the permit writer's next step is to establish
monitoring and reporting requirements. Requiring the Industrial User to routinely self-monitor and to
report the results of such monitoring enables the Control Authority to keep informed of characteristics of
the user's discharge and compliance status so that any necessary permit modifications or enforcement
actions can be initiated. Periodic self-monitoring also serves as a reminder to the Industrial User that
compliance with the effluent limits is its responsibility.  If an Industrial User is not monitoring, it does not
know how well the pretreatment controls are working. The Control Authority should be aware of and
concerned with the potential problems of self-monitoring, such as improper sample collection or
preservation, poor analytical techniques, and falsification of records. To prevent or minimize such
problems, the permit writer should clearly detail monitoring and reporting requirements in the permit.

The permit's monitoring  and reporting section should contain specific requirements for each of the
following items:
    •  Sampling location
    •  Pollutants to be monitored, including pollutants with a sampling waiver
    •  Sample collection method
    •  Monitoring frequencies
    •  Analytical methods
    •  Reporting and certification requirements

The Control Authority should consider several factors in determining the specific requirements to be
imposed. Basic factors that affect sampling location, sampling method, sampling frequency, and reporting
frequency are as follows:
    •  Applicability of categorical Pretreatment Standards
    •  Effluent and process variability
    •  Flow or pollutant loading or both
    •  Type of pollutant
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CHAPTER 8                                            Monitoring and Reporting Requirements



The permit writer must carefully consider such factors because any error can lead to inaccurate

compliance determination or misapplication of federal or local requirements. In particular, several

categorical Pretreatment Standards contain special monitoring requirements for specific regulated

pollutants. Table 8-1 contains some examples of these special monitoring requirements.
                                         TABLE 8-1
  EXAMPLES OF SPECIAL MONITORING AND REPORTING REQUIREMENTS FOR SPECIFIC
                       CATEGORICAL PRETREATMENT STANDARDS
Electroplating [40 CFR Part 413]

    •  In lieu of routine monitoring for TTO, facilities may certify that toxic organics are not used in the
      facility or are controlled through a Toxic Organics Management Plan (TOMP). The TOMP and
      certification statements must be submitted to the Control Authority.
    •  If monitoring for TTO pollutant is necessary to measure compliance, the facility is required to
      analyze only for those pollutants expected to be present.
       - The owner or operator certifies in writing that no cyanide is used.

Pharmaceutical Manufacturing [40 CFR Part 439]

    •  Unless otherwise noted, self-monitoring must be conducted at the final effluent discharge point.
    •  If monitoring for cyanide at end-of-pipe is impractical because of dilution, compliance with the
      cyanide standard established in subparts A and C must be demonstrated at in-plant monitoring
      points pursuant to 40 CFR 403.6(e)(2) and (4).
    •  The Control Authority may impose monitoring requirements on internal wastestreams for any other
      parameter regulated by subparts A and C.
    •  In lieu of conducting compliance monitoring for the pollutants regulated in all subparts, the
      Industrial User  can certify that the regulated pollutants are neither used nor generated.

Pulp,  Paper, Paperboard [40 CFR Part 430]

    •  Specific monitoring frequencies for chlorinated  organic pollutants for subparts B and E are listed at
      40 CFR 430.02(a). The duration of this required monitoring is listed at 40 CFR 430.02(b).
    •  Reduced monitoring frequencies for bleach plant pollutants are allowed under the Voluntary
      Advanced Technology Incentives  Program as specified at 40 CFR 430.02(c) and (d).

Transportation Equipment Cleaning [40 CFR Part 442]

    •  The facilities may in lieu of achieving the Pretreatment Standards established in subparts A and  B
      develop and implement a Pollutant Management Plan and submit a certification statement
      indicating intent to do so.

Electrical and Electronic Components [40 CFR Part 469]

    •  In lieu of routine monitoring for TTOs, facilities may certify that toxic organics are not used in  the
      facility or are controlled through a solvent management plan. The solvent management plan and
      certification statements must be submitted to the Control.
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CHAPTER 8                                             Monitoring and Reporting Requirements
                                    TABLE 8-1 (continued)
Coil Coating [40 CFR Part 465]

    •  The facilities may be exempted from cyanide monitoring if:
       - The first cyanide sample collected during the calendar year is less than 0.07 mg/L of cyanide;
          and,
       - The owner or operator certifies in writing that no cyanide is used.
    •  As an alternative to monitoring for TTOs in subpart D, the facilities may meet the alternative oil and
      grease standard and must monitor for oil and grease using the analytical method outlined in 40
      CFR 465.03(c).

Leather Tanning [40 CFR Part 425]

    •  The analytical method specified forsulfide in 40 CFR 425.03 must be used for determination of
      sulfide in alkaline wastewaters discharged by plants operating in all subcategories except subpart
      C.
    •  Facilities may be exempt from the sulfide standard if the Control Authority submits a written
      certification to EPA that the sulfide does not interfere with the treatment works.

Metal Finishing [40 CFR Part 433]

    •  Monitoring for compliance with the cyanide limit must be conducted after cyanide treatment and
      before dilution with other wastestreams. If monitoring the segregated  cyanide wastestream cannot
      be done, then samples of the facility's final effluent may be taken, if the applicable cyanide
      limitations are adjusted based on the dilution ratio of the cyanide wastestream flow to the facility's
      effluent flow.
    •  In lieu of routine monitoring for TTO, facilities may certify that toxic organics are not used in the
      facility or are controlled through a TOMP. The TOMP and certification statements must be
      submitted to the Control Authority.
    •  If monitoring for TTO pollutant is necessary to measure compliance, the facility is required to
      analyze only for those pollutants expected to be present.

Porcelain Enameling [40 CFR Part 466]

    •  Facilities may be exempted from chromium monitoring if:
       - The first sample collected during the calendar year is less than 0.08 mg/L of chromium; and,
       - The owner or operator certifies in writing that chromium is not used.
8.1    SAMPLING LOCATIONS


Selecting the appropriate sampling point(s) is critical in determining compliance with effluent limits. In

determining the appropriate sampling locations, the following rules should be applied:


    •   Sampling location(s) must coincide with the point(s) at which the effluent limits apply

    •   Sampling location(s) must produce a sample representative of the nature and volume of the

       Industrial User's effluent
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CHAPTER 8                                             Monitoring and Reporting Requirements

    •  Sampling locations must be safe, convenient, and accessible to Industrial User and Control
       Authority personnel

If there is no ready access to a representative sampling point, the Control Authority should require the
permittee to provide such access including, if necessary, installation of sampling manholes. The sampling
location(s) chosen should also allow the measurement or estimation of the volume of wastewater flow.

Because the Control Authority's local limits generally apply to the entire discharge from an Industrial
User, a sewer manhole at the connection between the industrial facility's sewer pipe and the Control
Authority's sewer pipe is usually selected as the sampling point. Such a sampling manhole allows easy
access by the  Control Authority and usually facilitates collecting a sample of the user's total discharge.
However, in some cases, the manhole could contain wastewater discharges from upstream domestic or
other Industrial Users connected to the Control Authority's sewer pipe, making it impossible to obtain a
sample of any one Industrial User's discharge. In such a case the Control Authority should identify a
more appropriate sampling location.

Another important factor that must be considered when establishing an appropriate sampling location at
an industrial facility subject to categorical Pretreatment Standards is the collection of representative
samples. Categorical Pretreatment Standards are numerical limits that apply to specific regulated
wastestreams  before the wastestreams are mixed with other flows. Because of that, the sampling point(s)
chosen must provide representative samples of categorical wastestreams and should be after treatment of
the categorical wastestreams if treatment is used. If other wastestreams are combined before treatment,
and sampling of the  effluent occurs after treatment, then alternate discharge limits must be established to
account for the dilution effect of these wastestreams. However, if the other wastestreams are combined
after treatment but before the facility's monitoring point, a different formula must be used [40 CFR
403.6(e)].

EPA has clarified, in the preamble to the October 17, 1988, revisions to the General Pretreatment
Regulations [53 FR 40562; October 17, 1988], that a flow proportioning formula or a more stringent
calculation must be used to calculate alternate categorical Pretreatment Standards where other flows
combine after treatment but before sampling. For an explanation of calculating adjusted categorical
limits, the permit writer should refer to Appendix J, Combined Wastestream Formula Fact Sheet.
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CHAPTER 8
            Monitoring and Reporting Requirements
In addition, the Control Authority can require analytical, engineering and other data to determine the

adjusted limits, or the Control Authority can require two sample points (sampling points before and after

the mixing of additional wastestreams).


                                       TABLE 8-2
             EXAMPLES OF SPECIFYING SAMPLING LOCATIONS IN PERMITS

EXAMPLE OF SPECIFYING SAMPLING LOCATION BY NARRATIVE DESCRIPTION

Pipe 01A is defined as the sampling site from the industry's process wastewater discharge downstream
from the existing treatment clarifier. Note that after the upgraded treatment system becomes operational,
the sampling site will be the first manhole downstream from the sand filters.


EXAMPLE OF MULTIPLE SAMPLING LOCATIONS SPECIFIED BY NUMBER DESIGNATION


IV.   SELF-MONITORING REQUIREMENTS

     A.    Sample Locations
  1. Discharge from the Chemistry-Fine Arts Building must be sampled at the Manhole No. 50
  2. Discharge from the Duane Physics Building must be sampled at the Manhole No. 22
  3. Discharge from the Research Lab No. 1 must be sampled at the Manhole A.


EXAMPLE OF SAMPLING LOCATION SPECIFIED BY DIAGRAM

Parti                              Permit No. 001


Part 1.  Effluent Limitations and Monitoring Requirements


     A.    Description of Discharges

Pipe         Description

     01       Discharge Pipe—Discharge of wastewater generated by all regulated metal-finishing
             processes at the facility. Samples must be collected at the point indicated on the attached
             diagram.
               Pipe 01
Parshall Flume

\


Final pH
adjustment
tank

/ \
*Sampli
                                                                     Manhole
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CHAPTER 8                                             Monitoring and Reporting Requirements

The permit writer must consider each of the above factors to identify the most practical and most
representative sampling location(s). Once the sampling locations are selected, the permit writer must
clearly specify the sampling locations in the permit. The permit writer should not assume that the
sampling locations are known by other Control Authority staffer by the permittee. Changes in either
Control Authority or industrial personnel can result in loss of knowledge of the exact sampling location
unless the sampling locations are clearly defined in the permit. Examples in Table 8-2 illustrate three
ways of specifying sampling locations by using brief narrative descriptions, designation by numbers, and
a diagram. If one or more sampling points are identified, each location and the limits and any applicable
monitoring requirements that apply should be clearly specified in the Industrial User's permit.

8.2    POLLUTANTS TO BE MONITORED
The POTW should always require Industrial User self-monitoring for all pollutants limited by specific
numerical values in the Industrial User permit. Industrial Users subject to categorical Pretreatment
Standards are required to monitor and report the analytical results for all regulated pollutants to comply
with the reporting requirements of 40 CFR 403.12(e) of the General Pretreatment Regulations unless the
Control Authority has authorized the discharger to forgo sampling of a pollutant that is neither present or
expected to be present. For further guidance on how to conduct an assessment of whether pollutants are
expected to be present in particular wastestreams, see Section 7.1.1.1 of this manual. Some categorical
Pretreatment Standards allow alternatives to sampling specific regulated pollutants. The permit writer
must review the specific monitoring and reporting requirements contained in the applicable categorical
pretreatment regulations. In addition, EPA's Guidance Manual for Implementing Total Toxic Organics
(TTO) Pretreatment Standards contains guidance on the TTO monitoring alternatives.

The Control Authority is not required to limit the pollutants to be sampled to only those subject to
effluent limits. It may require the Industrial User to monitor for other pollutants of potential concern. In
such a case, a monitoring-only requirement may be included as an additional condition of the permit
(discussed in more detail in Chapter 10). The permit writer should also require the Industrial User to
monitor flow (even if flow  is not limited). A flow-monitoring requirement is necessary where mass limits
are imposed to determine compliance with mass limits. In addition, flow-monitoring is required when the
Control Authority is converting concentration-based categorical Standards to an equivalent mass limit [70
FR 60173; October 14, 2005, 40 CFR 403.6(c)(5)(iii)(A)]. A flow-monitoring requirement can also serve
as a reminder to collect flow data for those SIUs that are required to report daily maximum and average
flows in semiannual reports [40 CFR403.12(g)].
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CHAPTER 8                                            Monitoring and Reporting Requirements

8.3    SAMPLE TYPE
The permit must specify the sample collection method or type of sample(s) for each pollutant to be
monitored. In general, two types of samples may be taken: grab or composite. The permit writer should
review the sampling objectives and the advantages and disadvantages of each sample type. According to
the sampling requirements specified at 40 CFR 403.12(g)(3), grab samples must be used for pH, cyanide,
total phenols, oil and grease, sulfide, and volatile organic compounds. For all other pollutants, 24-hour
composite samples must be obtained through flow-proportional composite sampling techniques, unless
the Control Authority authorizes time-proportional sampling or grab sampling. Where the Control
Authority authorizes time-proportional sampling or grab sampling, the samples must be representative of
the discharge, and the decision to allow the alternative sampling must be documented in the  Industrial
User file for that facility or facilities.

Because two types of composite samples exist—flow proportional and time proportional—the permit
writer should clearly specify or define the sample type. The sample period should also be specified.
Generally, the sample period is 24 hours, but if the Industrial User's discharge is for only 8 hours each
day, the permit writer could specify that the composite sample be collected over the 8 hours  of discharge.
The number of grab samples should be specified (e.g., a grab sample taken after a specified volume of
wastewater has been discharged or a minimum of four per day at equal time intervals).

8.3.1  Grab Sample
A grab sample is a single, discrete sample collected over a period not exceeding 15 minutes, without any
regard to the wastestream's flow. Grab samples  may be used when both wastewater flow and pollutant
concentrations (or pollutant loadings) are constant over time.  Grab samples may also be used for batch
discharges, such as a contaminated process tank that is periodically discharged. However, a batch
discharge must be homogeneous to be accurately represented by a grab sample.

Grab samples are useful in characterizing an Industrial User's fluctuations or extremes in wastewater flow
and quality (i.e., changes in pollutant concentrations or loadings) and, therefore, are useful in identifying
slug loads. Such samples are also appropriate to determine compliance with instantaneous effluent limits,
where a composite sample could mask extreme conditions in the wastewater. The pH parameter can
illustrate this concept clearly: a composite sample could exhibit a neutral pH, while individual grab
samples could exhibit a wide range of pH.
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CHAPTER 8                                            Monitoring and Reporting Requirements

Grab samples should be used when storing or compositing a sample would alter the concentration or
characteristics of pollutants being measured. Parameters that necessitate grab sampling techniques include
pH, oil and grease, temperature, total phenol, cyanide, sulfides, and some volatile organics (purgeable
halocarbons, purgeable aromatics, acrolein, and acrylonitrile).

8.3.2  Composite Sample
Composite samples are used to measure the average amount of pollutants discharged by an Industrial
User during the composite period. Composite samples are preferred when evaluating compliance with
24-hour or daily average concentration limits and mass limits. Samples may be obtained as either time-
proportional or flow-proportional.

For a flow-proportional composite sample, each individual aliquot is collected after a defined volume of
discharge (e.g., every 2,000 gallons) has passed. Flow-proportional composite  samples are collected when
both an Industrial User's effluent flow and pollutant concentrations or loadings exhibit irregular changes.
For pollutants for which grab samples are not necessary, flow-proportional composite samples should
always be  used to determine compliance with categorical Pretreatment Standards. For a time-proportional
composite sample, each individual aliquot is collected after a defined period (e.g., once every two hours)
has passed, regardless of the volume or variability of the rate of flow during that period. Time-
proportional composite samples are generally collected under conditions of constant or slightly
fluctuating effluent flows. For a nonhomogeneous batch discharge, wastes are  stratified in a tank, and the
effluent's quality will vary over the period of batch discharge. For such a situation, a time-proportional
composite sample collected over the period of discharge would be most appropriate. Flow-proportional
compositing is usually preferred when effluent flow volume varies appreciably over time. However, the
permit writer may specify time-proportional composite samples or grab samples where flow-proportional
samples are not feasible and the use of such other sampling techniques would provide a representative
sample.

8.4    MONITORING FREQUENCIES
The Control Authority has considerable discretion in establishing monitoring frequencies. However,
federal regulations [40  CFR403.12(e)(l)] specify a minimum reporting frequency of twice per year to
demonstrate continued compliance with categorical Pretreatment Standards except when the Control
Authority has determined a CIU to be nonsignificant or when the Control Authority has reduced the
discharger's monitoring and reporting requirements. The Control Authority must require monitoring and

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CHAPTER 8                                             Monitoring and Reporting Requirements

reporting, at least once every 6 months, from all other SIUs [40 CFR 403.12(h)]. Furthermore, monitoring
must be conducted to satisfy BMR, 90-day compliance report, and repeat noncompliance monitoring
reporting requirements pursuant to 40 CFR 403.12. In establishing monitoring frequencies, the permit
writer's primary task is to achieve a reasonable balance between the need for sufficient representative
data to assess compliance and the expense or burden of obtaining such data. Each of the following factors
should be considered by the Control Authority as it develops both the Industrial User self-monitoring
requirements and its own compliance monitoring program:
    •    Frequency necessary to obtain data representative of the nature and volume of the Industrial
        User's wastewaters
    •    Amount of historical data available to characterize the industry's discharge (industries with no
        historical data should be sampled more frequently)
    •    Actual (or potential) impact of the Industrial User's wastes on the operation of the Control
        Authority's treatment plant, receiving stream, and sludge disposal practices
    •    Types of pollutants contained in a facility's wastewaters and the concentrations or loadings
        discharged
    •    The quantity of process and other wastewater discharged to the POTW
    •    Regulatory requirements of any existing Industrial User permits, local sewer use ordinances,
        POTW policy statements, or federal regulations and policies
    •    Any seasonal variations experienced in the Industrial User's manufacturing operations and
        wastewater flow
    •    Length of the Industrial User's operating day and the number of shifts worked per day
    •    Industrial User's history of upsets or accidental spills or lack of spill prevention plans for raw
        materials, process wastewaters, or chemicals stored on-site
    •    Reliability of the Industrial User's treatment facilities
    •    Any scheduled discharges of unusual or extraordinary strength or volume (i.e., batch discharges
        of process tanks or routine cleanup periods scheduled each day, week, or month)
    •    Compliance (or noncompliance) history of the Industrial User for, at a minimum, the past 2 years
    •    Expense of monitoring imposed on both the Industrial User and the Control Authority and the
        resources (labor and equipment) available
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CHAPTER 8                                             Monitoring and Reporting Requirements

    •   Design dry-weather hydraulic and organic capacity of the POTW
    •   MAHL of the technically based local limits

The Control Authority might wish to develop a base level monitoring frequency to be imposed on all
Industrial Users and use the above factors to increase or decrease the monitoring frequencies on a case-
by-case basis from the established base monitoring frequency. EPA recommends frequencies based on
five flow categories using flow as an indication of the potential impact on a 5 mgd treatment plant and the
ability of the user to bear the monitoring cost (see Table 8-3). The Control Authority could also adopt the
monitoring frequency that EPA used in developing categorical Pretreatment Standards (generally, this
frequency  is 10 times per month for inorganics).
                                          TABLE 8-3
   RECOMMENDED INDUSTRIAL SELF-MONITORING FREQUENCIES DURING THE INITIAL
                                    COMPLIANCE PERIOD
Industrial flow           Conventional pollutants, inorganic
(gpd)                   pollutants, cyanide, and phenol               GC or GC/MS organics
0-10,000                          1/month                                2/year
10,001-50,000                     2/month                                4/year
50,001-100,000                    1/week                                1/month
100,001-240,000                   2/week                                2/month
> 240,000                          3/week                                4/month
Note: Industrial Users subject to TTO standards in the Electrical and Electronic Components, Electroplating, and
Metal Finishing categories may elect to implement a Toxic Organics Management Plan and submit periodic
certification statements in lieu of performing TTO analyses. Industrial Users subject to TTO standards in the
Aluminum Forming, Copper Forming, Coil Coating (Canmaking), and Metal Molding and Casting categories may
monitor for oil and grease as an alternative to TTO monitoring.
Excerpt from:    EPA's  Pretreatment Compliance Monitoring and Enforcement Guidance	
Before reducing an Industrial User's monitoring frequency or classifying a CIU to be a middle-tier or
nonsignificant CIU, the Control Authority must ensure that it has the legal authority to do so (i.e., the
state and local regulations include the provision) and the program has been modified in accordance with
40 CFR Part 403.

For programs that have been modified to incorporate the NSCIU provision (in accordance with 40 CFR Part
403), the Control Authority has the option to classify a CIU as nonsignificant. If the Control Authority
chooses to treat a qualifying CIU as an NSCIU, the Industrial User is still required to provide baseline
8-10                                                                             September 2012

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CHAPTER 8                                             Monitoring and Reporting Requirements

monitoring and 90-day compliance reports (as required by 40 CFR403.12(b) and (d)]. A qualifying CIU is a
discharger that discharges no more than 100 gpd of total categorical wastewater to the POTW and has
consistently complied with all applicable categorical Pretreatment Standards and Requirements, and never
discharges any untreated, concentrated wastewater [40 CFR 403.3(v)(2)]. The NSCIU, however, is not
required to conduct any subsequent monitoring and is not required to provide periodic compliance reports
[40 CFR 403.12(e)]. As an NSCIU, the discharger is still considered a CIU, but is no longer considered
an SIU and, therefore,  is not required to be issued a control mechanism. An NSCIU, however is required
to submit an annual certification statement signed in accordance with 40 CFR 403.12(1).

For programs that have been modified to incorporate the reduced monitoring provisions (in accordance
with 40 CFR Part 403), the Control Authority also has the option to reduce a CIU's monitoring and
reporting requirements to once per year under certain conditions (e.g., middle-tier CIU). To qualify for
the reduced monitoring and reporting, the discharger must meet all the following conditions:
    •  The discharger's total categorical wastewater flow does not exceed 0.01 percent of the design
       dry-weather hydraulic capacity of the POTW, or 5,000 gpd (whichever is smaller, as measured by
       a continuous effluent flow monitoring device unless the user discharges in batches); 0.01 percent
       of the design dry-weather organic treatment capacity of the POTW; and 0.01 percent of the
       MAHL for any pollutant regulated by the applicable categorical Pretreatment Standards for which
       approved local limits were developed by the POTW.
    •  The discharger has not been in significant noncompliance, as defined at 40 CFR 403.8(f)(2)(viii),
       for any time in the past 2 years.
    •  The discharger does not have daily flow rates, production levels, or pollutant levels that vary so
       significantly that decreasing the reporting requirement for this discharger would result in data that
       is not representative of conditions occurring during the reporting period.
    •  The discharger must notify the Control Authority immediately of any changes at its facility
       causing it to no longer meet the conditions of 40 CFR 403.12(e)(3)(i) or (ii). Upon notification,
       the discharger must immediately begin complying with the minimum reporting requirements of
       40CFR403.12(e)(l).

Other Monitoring Considerations
For operations that are variable, the permit writer might want to require increased monitoring during peak
operations, seasonal changes, or raw material changes. For batch discharges, monitoring frequencies
September 2012                                                                              8-11

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CHAPTER 8                                            Monitoring and Reporting Requirements

could be geared to the frequency of discharge. For example, the permit writer could require a small
electroplater that batch discharges once a month to monitor when the batch discharge occurs. Or the
permit writer could decide to require the batch discharger to monitor and submit the monitoring results to
the Control Authority before the batch may be discharged.

For an example on how to specify monitoring frequencies, see Appendix E, Sample Permit Fact Sheet and
Industrial User Permit. Additional monitoring requirements may be inserted in the monitoring
requirements section of the permit or in the permit's special conditions section discussed in Chapter 10.

8.5    ANALYTICAL METHODS
The General Pretreatment Regulations [40 CFR 403.12] require that all analyses to determine compliance
with categorical Pretreatment Standards be performed in accordance with 40 CFR Part 136, Guidelines
Establishing Test Procedures for the Analysis of Pollutants under the Clean Water Act and amendments,
or with any other test procedures approved by EPA (See 40 CFR 136.4 and 136.5). Analytical techniques
for additional pollutants not contained in 40 CFR Part 136 must be performed by using validated
analytical methods approved by EPA [40 CFR 403.12(g)(5)].  Requiring everyone to use such
EPA-approved test methods ensures that analytical data are obtained uniformly and consistently. The
EPA-approved test methods must also be used to determine compliance with state standards and local
limits. If multiple methods are approved for the same parameter at 40 CFR Part 136, the analytical
method used should have an appropriate quantification limit to determine compliance with the effluent
limit. This requirement to use EPA-approved analytical methods should be specified in either the
monitoring and reporting section or the standard conditions section of the permit as illustrated in
Appendix E, Sample Permit Fact Sheet and Industrial User Permit.

8.6    REPORTING REQUIREMENTS
Along with establishing self-monitoring requirements, the permit writer must specify reporting
requirements in the permit. At least once every 6 months, SIUs are required to submit a characterization
of their discharge. These periodic compliance reports must contain the following:
   •   The concentration, or production and mass, of regulated pollutants in the Industrial User's
       effluent
   •   The measured or estimated average and maximum flow rates for the reporting period
   •   Documentation to evaluate compliance with any BMP or pollutant prevention requirements

8-12                                                                              September 2012

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CHAPTER 8                                              Monitoring and Reporting Requirements

In cases where the Control Authority conducts all the sampling and analysis and the Control Authority
collects the flow data, the Control Authority might determine that the Industrial User does not need to
submit a monitoring report. If the Control Authority has chosen this alternative and is collecting all the
data that would ordinarily be required from the Industrial User (e.g., flow data, production data) and at a
frequency that would be expected of the user if it were conducting self-monitoring, the Control Authority
may waive the requirement that the Industrial User report continuing compliance [40 CFR 403.12(g)]. In
such a case, the Control Authority should explicitly state in the permit that periodic monitoring and
reporting requirements  are waived but still include a list of all applicable effluent limits in the permit.
Even if the Control Authority has decided to waive an Industrial User's continued compliance reporting
requirements, the Industrial User is still required to submit documentation required by the Control
Authority to determine  compliance with any BMP or pollution prevention alternatives.

A list of all pretreatment reporting requirements outlined in 40 CFR Part 403 is described in detail in
Table 8-4. The permit writer should review this table and include applicable reporting requirements in
each permit. These reporting requirements can be placed in the permit together with any additional local
reporting conditions. Some examples of actual permit reporting conditions are provided in Table 8-5.

The Control Authority must require appropriate reporting from Industrial Users. When drafting an
Industrial User's reporting requirements, the permit should contain the following information in sufficient
descriptive detail:
    •    What types of information are to be contained in each report (e.g., analytical data, flow data, or
       production data)
    •    When each report is to be submitted to the Control Authority (specifying the dates and frequency
       for submission)
    •    Who is responsible for signing and  certifying the reports (e.g., an authorized corporate official)
    •    Where the reports are to be sent, including the Control Authority's address and, if appropriate, the
       name of the person responsible for  receiving each report
    •   How the reports can be submitted to the Control Authority (e.g., electronic versus hardcopy
       submittals)
September 2012                                                                               8-13

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CHAPTER 8
Monitoring and Reporting Requirements
                                  TABLE 8-4
                  INDUSTRIAL USER REPORTING REQUIREMENTS
Required report and
citation
Baseline Monitoring
Report (BMR)
[40 CFR
403.12(b)(1-7)]
















Compliance
Schedule Progress
Reports [40 CFR
403.12(c)(1-3)]


90-Day Compliance
Report
[40CFR403.12(d)]








Report due date
Within 180 days of
effective date of
the regulation or
an administrative
decision on
category
determination














Within 14 days of
each milestone
date on the
compliance
schedule; at least
every 9 months

Within 90 days of
the date for final
compliance with
applicable
categorical
Pretreatment
Standard; for new
sources, the
compliance report
is due within 90
days following
commencement of
wastewater
discharge to the
POTW

Purpose of report
• To provide
baseline
information on
industrial facility
to Control
Authority
• To determine
wastewater
discharge
sampling points
• To determine
compliance
status with
categorical
Pretreatment
Standards





• To track progress
of the industrial
facility through
the duration of a
compliance
schedule

• To notify Control
Authority as to
whether
compliance with
the applicable
categorical
Pretreatment
Standards has
been achieved
• If facility is
noncompliant, to
specify how
compliance will
be achieved

Information required
• Identifying information about the
facility (name, address, and so
on)
• List of all environmental control
permits issued to the facility
• Description of operations
• Flow measurements of
wastewater discharged to the
POTW
• Nature and concentration of
pollutants discharged to the
POTW

• Certification of compliance status
with categorical Pretreatment
Standards
• Compliance schedule to attain
compliance
• Certification of validity of
information provided
• Compliance with appropriate
increment of compliance
schedule
• Reasons for any noncompliance
• Actions taken to return to the
approved schedule
• Nature and concentration of all
pollutants regulated by
categorical Pretreatment
Standards
• Average and maximum daily flow
for regulated manufacturing
processes
• Compliance status (if
noncompliant, additional
measures needed)
• Certification of validity of
information provided
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                    September 2012

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CHAPTER 8
                                  Monitoring and Reporting Requirements
                                    TABLE 8-4 (Continued)
Required report and
citation
Report due date
Purpose of report
Information required
Periodic Compliance
Reports forCIUs (not
including NSCIUs)
[40CFR403.12(e)(1)]
Every June and
December after
the final
compliance date
(or after
commencement of
a discharge for
new sources)
unless the Control
Authority
increased
frequency
  To provide the
  Control Authority
  with current
  information on
  the discharge of
  pollutants to the
  POTW from
  categorical
  industries
 •  Nature and concentration of all
   regulated pollutants

 •  Average and maximum daily
   flows discharged to the POTW for
   the reporting period

 •  Where mass-based units are
   used, a measure of the mass of
   pollutants discharged

 •  For industries subject to the
   production-based standards, an
   actual average production rate for
   the reporting period

 •  For industries subject to
   equivalent mass or concentration
   limits pursuant to 403.6(c), a
   reasonable measure of the long-
   term production rate

 •  Certification of the  validity of the
   information provided

 •  Additional information as required
   by the Control Authority

 •  For industries subject to BMPs,
   documentation required to
   determine compliance with the
   BMP
Periodic Compliance
Reports for CILJs with
Pollutant Not Present
or Expected to be
Present
[40CFR403.12(e)(2)]
Every June and
December after
the final
compliance date
(or after
commencement of
a discharge for
new sources)
unless the Control
Authority
increased
frequency
  To certify that a
  pollutant is not
  present or
  expected to be
  present at a
  facility
   For facilities that have been
   granted a waiver of monitoring for
   a pollutant that has been
   determined not to be present, a
   certification statement indicating
   that there has been no increase
   in the pollutant in the
   wastestream because of activities
   of the user (403.12(e)(2)(v))
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                                                                     8-15

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CHAPTER 8
Monitoring and Reporting Requirements
                                TABLE 8-4 (Continued)
Required report and
citation
Periodic Compliance
Reports for CILJs with
Reduced Monitoring
Requirements
[40CFR403.12(e)(3)]




















Notice of Potential
Problems, including
Slug Loading [40
CFR 403.12(f)]





Noncompliance
Notification
[40CFR403.12(g)(2)]




Report due date
Once every year,
unless required
more frequently in
the categorical
Pretreatment
Standard or by the
Control Authority



















Notification of
POTW
immediately after
occurrence of slug
load or any other
discharge that
could cause
problems to the
POTW
Notification of
POTW within 24
hours of becoming
aware of violation



Purpose of report
• To provide the
Control Authority
with current
information on
the discharge of
pollutants to the
POTW from
categorical
industries

















• To alert the
POTW of the
potential hazards
of the discharge





• To alert the
POTW of a
known violation
and potential
problem that
could occur

Information required
• Nature and concentration of all
regulated pollutants
• Average and maximum daily
flows discharged to the POTW for
the reporting period
• Where mass-based units are
used, a measure of the mass of
pollutants discharged
• For industries subject to the
production-based standards, an
actual average production rate for
the reporting period
• For industries subject to
equivalent mass or concentration
limits pursuant to 403. 6(c), a
reasonable measure of the long-
term production rate
• Certification of the validity of the
information provided
• Additional information as required
by the Control Authority
• For industries subject to BMPs,
documentation required to
determine compliance with the
BMP
• None specified in General
Pretreatment Regulations; other
federal, state, and local
regulations might address
reporting requirements




• Nature and magnitude of the
violation; other information as
determined by the POTW



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                       September 2012

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CHAPTER 8
Monitoring and Reporting Requirements
                                TABLE 8-4 (Continued)
Required report and
citation
Periodic Compliance
Reports for
Noncategorical Users
[40CFR403.12(h)]





Notification of
Changed Discharge
[40CFR403.12(j)]






Notification of
Hazardous Waste
Discharge [40 CFR
403.12(p)]










Notification of
Changes Affecting
Slug Discharge
Potential [40 CFR
403.8(f)(2)(vi)]





Report due date
To be determined
by the POTW, but
at least once every
6 months





Before any
substantial
changes in the
volume or
character of
pollutants in the
discharge


No later than 180
days after the
discharge of the
listed or
characteristic
hazardous waste









Notification of
POTW
immediately of any
changes at the
facility that affects
its potential for a
slug discharge



Purpose of report
• To provide the
POTW with
current
information on
the discharge of
pollutants to the
POTW from
Industrial Users
not regulated by
categorical
standards
• To notify the
POTW of
anticipated
changes in
wastewater
characteristics
and flow that
could affect the
POTW
• To notify the
POTW of the
name of the
hazardous waste
and type of
discharge (batch
or continuous)









• To notify the
POTW of
changes that
might require the
facility to
implement
procedures to
control slug
discharges

Information required
• Description of the nature,
concentration, and flow of the
pollutants required to be reported
by the Control Authority
• For industries subject to BMPs,
documentation required to
determine compliance with the
BMP


• All anticipated changes that could
affect the character or volume of
the discharge






• The name of the hazardous
waste, the EPA hazardous waste
number, and the type of
discharge
• If the user discharges more than
100 kilograms of hazardous
waste per calendar month, the
user must also submit (to the
extent such information is known)
an identification of the hazardous
constituents contained in the
wastes and an estimation of the
mass of constituents in the
wastestream expected to be
discharged during the following
12 months
• All changes that could affect the
potential of a slug discharge







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                               8-17

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CHAPTER 8
Monitoring and Reporting Requirements
                                TABLE 8-4 (Continued)
Required report and
citation
Annual Certification
by NCSIUs [40 CFR
403.12(q)]




Notification of Bypass
[40 CFR 403. 17]




















Report due date
At least once a
year





If possible, at least
1 0 days before the
date of the
anticipated
bypass.
/-* n
OR
In the event of an
unanticipated
bypass, a verbal
notification of a
bypass that
exceeds applicable
Pretreatment
Standards to the
POTW within 24
hours from the
time the Industrial
User becomes
aware of the
bypass.

Purpose of report
• To provide to the
POTW a
statement that
the facility is in
compliance with
the definition of
NCSIU
• To provide to the
POTW a notice
of a facility's
intentional
diversion or an
unanticipated
bypass of
wastestreams
from any portion
of the facility's
treatment facility











Information required
• The certification statement at 40
CFR 403.12(q) must be signed in
accordance with the signatory
requirements in 40 CFR 403.12(1)



• A written submission must be
provided within 5 days of the time
the Industrial User becomes
aware of the bypass. The written
submission must contain a
description of the bypass and its
cause, the duration of the bypass
(including exact dates and times),
and if the bypass has not been
corrected, the anticipated time it
is expected to continue, and
steps taken or planned to reduce,
eliminate, and prevent
reoccurrence of the bypass.







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                       September 2012

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CHAPTER 8                                              Monitoring and Reporting Requirements
                                            TABLE 8-5
                   EXAMPLE OF REPORTING REQUIREMENTS IN A PERMIT
 SECTION 2 - REPORTING REQUIREMENTS

 A.   Periodic Compliance Reports
      1.    In accordance with 40 CFR403.12(e) and Section 99.15 of the Anytown General Ordinance, the
            permittee must, after the effective date of the permit, submit to the Director of Public Works reports
            indicating the nature and concentration of pollutants in the effluent that are limited by the
            standards specified in Part 1 of the permit. The reports are due by July 15 (for the reporting period
            of January through June) and January 15 (for the reporting period of July through December). The
            report must include a record of daily flow during each reporting period.

      2.    In cases where the Pretreatment Standard or local limits require  compliance with a Best
            Management Practice (or pollution prevention alternative), the permittee is required to submit
            documentation required by the City or the Pretreatment Standard necessary to determine
            compliance.

      3.    If the permittee monitors any pollutant more frequently than required by this permit, in accordance
            with 40 CFR Part 136 or other EPA-approved methods, the results of such monitoring must be
            submitted with the  applicable periodic report.

      4.    Where the permittee is subject to production-based standards, the permittee must submit the
            appropriate production data as specified below:

            a)  If the permittee is subject to equivalent mass or concentration limits, the production data
               reported must  be a reasonable measure of the permittee's long term production rate, or

            b)  If the permittee is subject to limits expressed only in terms of allowable pollutant discharge per
               unit of production, the production data reported  must be the  actual average production rate for
               the reporting period.

 B.   New or Changed Wastewater Reporting

      1.    The permittee must notify the City 90 days before the introduction of any new wastestreams or
            pollutants, or any substantial increase or decrease in the volume (i.e., 20 percent or greater
            variance from the monthly average flow) or characteristics of existing wastestreams discharged to
            Outfall 1, described above, or any other outfall of the permittee.

      2.    The permittee must notify the City immediately of any changes at its facility affecting the potential
            for a Slug Discharge.

 C.   Prevention of Spills and Accidental Discharges

      1.    The permittee must provide to the City, under Section 99.29, plans showing facilities and
            operating procedures to provide protection against spills or accidental discharges of prohibited or
            regulated materials as established by Section 99 of this permit. Such plans  must include, but are
            not limited to the following:

            a)  Diking systems for containment

            b)  Alarm systems including test frequency of alarms

            c)  Employee education programs

            d)  Manhole  sealing and repiping

      2.    The permittee must provide the spill prevention and  accidental discharge control plans showing
            facilities and operating procedures to the City for review within 30 days of the effective date of the
            permit.

      3.    The City must review and approve plans before construction  of any facilities.
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CHAPTER 8                                              Monitoring and Reporting Requirements
                                     TABLE 8-5 (Continued)
 D.   Accidental Discharge Reporting

      1.   The permittee must notify the City immediately upon the occurrence of an accidental discharge,
           slug, spill, or any bypassing or overflow of untreated wastewater containing substances regulated
           by Section 99 of this permit to the sanitary sewer from the permittee's facility. The notification must
           be as specified in Section 99.02(7)(h).

 E.   Upset and Bypass Reporting

      1.   As specified in Section 99.04(8) and (9) of the ordinance, the permittee must notify the City within
           24 hours of the first awareness of an upset or unanticipated bypass experienced by the permittee
           of its treatment that places it in a temporary state of noncompliance with wastewater discharge
           limitations contained in this permit or other limitations specified in Section 99. The following
           information must be submitted:

           a)  A description of discharge and cause of noncompliance/bypass,

           b)  The period of noncompliance including exact dates and times or, if not corrected, the
               anticipated time the noncompliance/bypass is expected to continue, and

           c)   The steps being taken and planned to reduce, eliminate, and prevent reoccurrence of the
               noncompliance/bypass.

           d)  A written report must be submitted, within 5 days of becoming aware of the upset or bypass,
               containing the above information.

      2.   The permittee must submit prior notice at least 10 days in advance of a planned bypass that could
           result in violation of applicable Pretreatment Standards.

 F.   Compliance Schedule Progress Reports

      1.   Not later than 14 days following each compliance schedule event in Part 3, Sections Al and A2,
           the permittee must issue a progress report to the City indicating whether the increment of progress
           has been met, and if not, the reason for the delay and the date the permittee expects to comply
           with the increment of progress.

 G.   Noncompliance Report

      1.   General Noncompliance

           If the permittee's self-monitoring results indicate a discharge limit violation, the permittee must
           notify the City within 24 hours of becoming aware of the violation. The permittee must also repeat
           the sampling and analysis and submit the results of the repeat analysis to the City within  30 days
           after becoming aware of the violation.

 H.   All reports required by this section must be signed by a responsible corporate officer or other
      duly authorized representative.

 I.    All reports required by this permit must be submitted to the City at the following address:

      City of Anytown Public Works Department

      Attention: Pretreatment Coordinator

      123 Walnut Street

      Anytown, USA 11111
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CHAPTER 8                                            Monitoring and Reporting Requirements

8.6.1  What Types of Information
Table 8-6 provides the permit writer with the types of information required for the Industrial User's
periodic compliance reports. Those reporting requirements are generally included in either the standard
conditions section or the reporting requirements section. Again, the format and language for that
provision and any other reporting requirements are left to the Control Authority's discretion.

If a permit writer would like to incorporate a compliance schedule for meeting categorical Pretreatment
Standards into a permit, the permit writer must ensure that the final compliance date does not exceed the
compliance deadline established for the specific categorical pretreatment standard. Further, if a CIU is
subject to a compliance schedule contained in the permit, the permit writer must require the submission of
periodic reports on the progress of compliance schedule activities. The Industrial User must submit those
reports no later than 14 days after each milestone date and must describe the progress made, any delays
experienced and the reasons for those delays, and steps taken to return to the schedule established.

If the permit writer has incorporated other compliance schedules (i.e., installation of sampling locations,
development and implementation of slug discharge control plans), the permit writer should require
submission of periodic progress reports of the compliance activities and a final compliance date.

Furthermore, the permit writer must impose  any special reporting requirements on CIUs required by the
specific categorical pretreatment regulations. A list of other special reporting requirements for specific
CIUs are at Appendix G, Summary of Industrial Sectors with Categorical  Pretreatment Standards and
Requirements.

Finally, Table 8-4 lists additional pretreatment reporting requirements as outlined in 40 CFR Part 403.
The table also includes what types of information are necessary for each of these reports. The permit
writer should review Table 8-4 to ensure that any additional applicable reporting requirements, and the
associated information required for each report, are incorporated into the permit.
                                          TABLE 8-6
  FUNDAMENTAL ELEMENTS OF AN INDUSTRIAL USER PERIODIC COMPLIANCE REPORT
  •  Basic Information. Name of Industrial User, address, and reporting period.
  •  Wastewater Pollutant Sampling and Analysis Data. Pollutants monitored, units in which pollutant
    results are recorded, the date(s) and time(s) samples were taken, sample collection method, the
    analytical methods used, and the concentration of pollutants.
        - Where the Industrial User must comply with monthly average standards, calculation of the
 	averages must be made and reported.	
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CHAPTER 8                                             Monitoring and Reporting Requirements
                                    TABLE 8-6 (Continued)
        - Where mass limits are imposed, the report must include information on the mass/day
          discharges along with the supporting concentration and flow data.
  •  Production Data. For all other users subject to production-based standards, the user must submit
    the actual average production rate for the reporting period. For Industrial Users subject to equivalent
    mass or equivalent concentration limits calculated by the Control Authority, the report must contain a
    reasonable measure of the user's long-term production rate.

  •  Flow Data Reporting. Industrial Users subject to categorical Pretreatment Standards must submit
    average and daily maximum flow data. That data should include the flow rate, for each wastewater
    source, used in calculating the Industrial User's limits.

  •  Best Management Practices. Documentation of BMP or pollution-prevention activities and any
    required certifications (e.g., TTO certifications).

  •  Signature of Authorized Representative. A signed statement by an authorized representative that
    certifies the report's validity.

  •  Certification Statement. "\ certify under penalty of law that this document and all attachments were
    prepared under my direction or supervision in accordance with a system designed to assure that
    qualified personnel properly gather and  evaluate the information submitted. On the basis of my inquiry
    of the person or persons who manage the system, or those persons directly responsible forgathering
    the information, the information submitted is, to the best of my knowledge and belief, true,  accurate,
    and complete. I am aware that there are significant penalties for submitting false information,
    including the possibility of fine and imprisonment for knowing violations."

    If an Industrial User has certified to a particular condition of a categorical standard, a statement
    should be included acknowledging the continuing applicability of that certification. For example, metal
    finishers and electroplaters would provide the following certification statement to conform with
    alternatives for monitoring Total Toxic Organics (TTO) and their approved toxic organic management
    plan:

        On the basis of my inquiry of the person or persons directly responsible for managing
        compliance with the Pretreatment Standard for Total Toxic Organics (TTO), I certify that, to the
        best of my knowledge and belief, no dumping of concentrated toxic organics  into the wastewater
        has occurred since filing of the  last semiannual compliance report. I further certify that this
        facility is implementing  the toxic organic management plan submitted to the Control Authority.

    If an Industrial User has been granted a monitoring waiver, the user must certify on each report that
    the facility's pollutants in the wastewater have not increased. The user must use the statement below:

        On the basis of my inquiry of the person or persons directly responsible for managing
        compliance with the Pretreatment Standard for 40 CFR	[specify applicable national
        Pretreatment Standard part(s)], I certify that, to the best of my knowledge and belief, there has
        been no increase in the level of	[list pollutant(s)] in the wastewaters because of the
        activities at the facility since filing of the  last periodic report under 40 CFR403.12(e)(1).

  •  Other Data
        - Identification of all occurrences of noncompliance
        - Explanation of violations and the corrective action(s) taken
        - Type of sample, sampling time and location, preservation used, and the person taking sample
        - Date the analysis was performed, the analytical methods used, and the  person performing
          analysis
        - Industrial  User limits
        - Telephone number of the contact person
        - Identification of any process  or treatment changes
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CHAPTER 8                                             Monitoring and Reporting Requirements

8.6.2   When Reports Should be Submitted
The permit writer must require Industrial Users subject to Pretreatment Standards to submit reports at a
minimum of once every 6 months unless the Control Authority requires the Industrial User to submit
reports more frequently, elects to collect all the information that would otherwise be supplied by the
Industrial User [40 CFR 403.12(e) and (g)], classifies the CIU as an NSCIU, or reduces the CIU's
reporting requirements. Industrial users are required to comply with reporting periods as specified in the
permit. A sample is required to be representative of the operations and wastewater discharged during that
reporting period. The signatory certification and representative sample requirements apply to the entire
period. A permittee cannot certify to something that has not occurred (e.g., an NSCIU certifying that it
has been in compliance with the definition of NSCIU from the period of January through June 2009, but
submitted the certification in May 2009).

To account for violations of a Pretreatment Standard, the user must notify the Control Authority within
24 hours of becoming aware of the violation and must resample and submit results within 30 days of
becoming aware of the violation to ensure that the violation is not continuing [40 CFR 403.12(g)(2)].
Furthermore, the regulations at 40 CFR 403.12(g)(6) require an Industrial User subject to the reporting
requirements at 40 CFR 403.12 (e) and (h) monitoring any regulated pollutants at the appropriate
sampling location more frequently than required by the Control Authority, using the procedures contained
at 40 CFR Part 136, to submit the results to the POTW. Frequency for submission of self-monitoring
reports should be established by the Control Authority on the basis of the need to evaluate an Industrial
User's compliance status and such factors as the following:
   •    Industrial User's size in terms of significance of its flow to the POTW's treatment plant
   •    Nature of the Industrial User's discharge (i.e., the quantity and quality of the pollutants
        discharged)
   •    Industrial User's compliance history
   •    Industrial User's current self-monitoring frequency

In addition to including the reporting dates of periodic compliance reports and notification of exceedance
requirements, the permit writer should also review the reporting requirements outlined in Table 8-4. The
permit writer should ensure that any additional applicable reporting requirements, and the associated due
dates required for each report, are incorporated into the permit.
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CHAPTER 8                                             Monitoring and Reporting Requirements

8.6.3   Who Signs the Reports
The permit should contain a provision that requires reports to be signed by a responsible corporate
official. EPA's regulations require that reports by categorical users [40 CFR 403.12(1)] be signed by the
following:

        (a) By a responsible corporate officer, if the Industrial User submitting the reports is a
           corporation. For the purpose of this paragraph, a responsible corporate officer means

             (i)  a president, secretary, treasurer, or vice-president of the corporation in charge of a
                 principal business function, or any other person who performs similar policy- or
                 decision-making functions for the corporation, or;

             (ii)  the manager of one or more manufacturing, production, or operating facilities,
                 provided, the manager is authorized to make management decisions that govern the
                 regulated facility including having the explicit or implicit duty of making major capital
                 investment recommendations, and initiate and direct other comprehensive measures to
                 assure long-term environmental compliance with environmental laws and regulations;
                 can ensure that the necessary systems are established or actions taken to gather
                 complete and accurate information for control mechanism requirements; and where
                 authority to sign documents has been assigned or delegated to the manager in
                 accordance with corporate procedures.

        (b) By a general partner  or proprietor if the Industrial User submitting the reports is a partnership
           or sole proprietorship, respectively.

        (c) The principal executive officer or director having responsibility for the overall operation of
           the discharging facility if the Industrial User submitting the reports is a federal, state, or local
           governmental entity, or their agents.

        (d) By a duly authorized representative of the individual designated in paragraph (a), (b), or (c)
           of this section if

             (i)  the authorization is made in writing by the individual described in paragraph (a), (b), or
                 (c);
             (ii)  the authorization specifies either an individual or a position having responsibility for
                 the overall operation of the facility from which the Industrial Discharge originates,

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CHAPTER 8                                             Monitoring and Reporting Requirements

                such as the position of plant manager, operator of a well, or a well field superintendent,
                or a position of equivalent responsibility, or having overall responsibility for
                environmental matters for the company; and

             (iii)the written authorization is submitted to the Control Authority

       (e) If an authorization under paragraph (d) of this section is no longer accurate because a
           different individual or position has responsibility for the overall operation of the facility or
           overall responsibility for the environmental matters for the company, a new authorization
           satisfying the requirements of paragraph (d) of this section must be submitted to the Control
           Authority before submitting, or together with, any reports to be signed by an authorized
           representative.

8.6.4  Where Reports Are to be Sent
The reporting requirements section of the permit should also clearly identify where the Industrial User
should submit all required reports by specifying the  appropriate Control Authority department and
address. An example of the format and language to require the submission of monitoring reports can be
found in Table 8-5.

8.6.5  How Reports May be Submitted
The POTW can specify different methods that Industrial User must use when submitting its required
reports. For example, the POTW can develop a template that all Industrial Users must use to submit their
periodic compliance sampling results and certification statements. If the POTW requires the use of a
specific reporting format, this requirement should be clearly established in the permit.

In addition, a POTW may require its Industrial Users to submit its required reports electronically.
According to  40 CFR 403.8(g), before accepting electronic reports, the POTW must ensure that it has
satisfied the requirements of 40 CFR Part 3  [Cross-Media Electronic Reporting Regulation
(CROMERR)]. Under CROMERR, both new and existing electronic reporting systems require EPA
approval. The regulation provides a framework for applying for, and obtaining such approval.
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CHAPTER 9                                                              Standard Conditions


                                        CHAPTER 9.
                                 STANDARD CONDITIONS

The standard conditions in an Industrial User's permit should set forth the administrative and procedural
requirements that are applicable to all Industrial Users and therefore should be repeated verbatim in every
permit. Standard conditions are an essential element of every permit. Unless there are changes to the
Control Authority's legal authority, the standard conditions might be developed only once. Standard
conditions often reiterate many provisions contained in the sewer use ordinance. Such reiteration is the
best way of notifying the Industrial User of its responsibilities and the procedural and administrative
aspects of the permit program.

Standard conditions outline the general duties and responsibilities of each Industrial User. The order,
language, and format of the standard conditions in permits are a matter of the Control Authority's
discretion. Examples are provided in Table 9-1. The permit writer should use clear and specific language.
This will ensure an adequate understanding of the provisions by all parties and avoid ambiguity that could
give rise to alternative interpretations that could hinder enforceability. The Control Authority should have
its attorney review the conditions before they are used in permits to ensure that there is adequate authority
in the sewer use ordinance for each provision and that they are understandable and free of legal loopholes.
                                         TABLE 9-1
 EXAMPLES OF DIFFERENT LANGUAGE USED TO INCORPORATE STANDARD CONDITIONS
                             INTO INDUSTRIAL USER PERMITS
PERMIT MODIFICATION OR REVISION	
Example No. 1: The City reserves the right to amend this permit at any time, in accordance with Chapter
13.16 Code of General Ordinances, to provide for more stringent limitations or requirements.
Example No. 2: The City may modify the terms of the permit to meet the City's NPDES discharge permit
requirements, if substantial changes of the permittee's operations or waste water occur, if applicable
federal Pretreatment Standards are amended, or if the Superintendent of the City's treatment works
determines that there is other good cause. To the extent otherwise permissible by law, changes or new
conditions in the permit must include a reasonable schedule for compliance.
Example No 3: The City may modify the terms and conditions of this permit at any time as identified in
Section 29.03(5) of the City's sewer use ordinance. Any new conditions in the permit must include a
reasonable time schedule for compliance unless the modification incorporates a  new requirement that
includes an alternative  compliance schedule. The City may also modify the permit to incorporate special
conditions resulting from the issuance of a special order.
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CHAPTER 9                                                              Standard Conditions
                                    TABLE 9-1 (Continued)
DILUTION OR EXCESSIVE DISCHARGE	
Example No. 1: An industry may not increase the use of potable or process water in any way or mix
separate wastestreams for the purpose of diluting a discharge as a partial or complete substitute for
adequate treatment to achieve compliance with any applicable federal Pretreatment Standards, limits in
Section 29.02 of the City's Ordinance, or any other limitations set forth in this permit.
Example No. 2: The permittee may not increase the use of process water or, in any way, attempt to dilute
a discharge to achieve compliance with the limitations contained in this permit.
PROPER DISPOSAL OF PRETREATMENT SLUDGES AND HAZARDOUS WASTES
Example No 1: The disposal of sludges generated within wastewater treatment systems must be in
accordance with applicable  state and federal regulations, specifically section 405 of the Clean Water Act
and Subtitle C and D of the  Resource Conservation and  Recovery Act and section 319-333 of the state
code.
Example No 2: Solids, sludges, filter backwash, or other pollutants removed in the course of treatment or
control of wastewater must  be disposed  of in a manner such as to prevent any such materials from
entering the Authority's sewerage system.
Depending on the amount of detail provided in the Control Authority's sewer use ordinance, standard
conditions for Industrial User permits may be taken from the Control Authority's sewer use ordinance and
incorporated verbatim into the control mechanisms. The Control Authority can also condense or expand
provisions from its sewer use ordinance and use them as standard conditions as long as the conditions in
the control mechanism are consistent with the provisions in the sewer use ordinance.

Some of the standard conditions ordinarily contained in an Industrial User's permit are below. Example
language used to specify such conditions are in Appendix F, Sample Standard Conditions for Permits.
    •   Definitions of terms used in the permit. Terms that might need to be defined include composite
       and grab samples; instantaneous measurement; 4-day average, monthly average, or 30-day
       average; slug discharge; and effluent data and upset.
    •   The Industrial User's duty to comply with all provisions of the permit and the local sewer use
       ordinance, including the duty to comply with the general discharge prohibitions. (In some cases,
       the general discharge prohibitions may be included verbatim as a separate standard condition.)
    •   The Industrial User's duty to comply with all applicable federal Pretreatment Standards
       including those that become effective during the term of the permit and that compliance with the
       permit is not a defense for violation of applicable federal Pretreatment Standards.
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CHAPTER 9                                                                 Standard Conditions

    •   The Industrial User's duty to provide information to the Control Authority. Within a reasonable
       time, the Industrial User is required to submit any information that the Control Authority may
       request to determine whether cause exists for modifying, revoking and reissuing, or terminating
       this permit or to determine compliance with this permit.
    •   The Industrial User's duty to mitigate or to take all reasonable measures to lessen the duration and
       severity of any permit violation.
    •   The POTW's authority to modify or revise an Industrial User's permit at any time during the
       permit's effective term if certain conditions (such as new information, new federal standards, or
       evidence of fraud in the permit application) arise.
    •   Notice that the permit does not convey any property rights of any sort, or any exclusive privilege.
    •   Need to halt or reduce activity not a defense. It must not be a defense for an Industrial User in an
       enforcement  action that it would have been necessary to halt or reduce the permitted activity to
       maintain compliance with the conditions of the permit.
    •   Notice that the permit can be revoked if violations of permit conditions or local ordinances are
       identified or the falsification or misrepresentation of information by the Industrial User is determined.
    •   Nontransferability of the permit if there is a change of owner or operator. The permit is issued to
       a specific entity and cannot be transferred by the Industrial User.
    •   Right of appeal provided to the Industrial User within  a limited period after permit issuance after
       which the right to challenge or appeal administratively or in a court of law is deemed waived.
    •   A severability clause that allows the remaining parts of a permit to remain in force if any portion
       of the permit is found invalid and subsequently is suspended or revoked by a court of law.
    •   The Industrial User's responsibility or duty to reapply for a new permit before expiration of the
       current permit.
    •   Provisions requiring the installation  and proper operation and maintenance ofwastewater
       treatment facilities by the Industrial  User, including proper calibration and maintenance  of all
       sampling equipment.
    •   Provisions requiring the proper disposal or treatment of sludges and other wastes (e.g., spent
       chemicals) generated at the Industrial User's facility so as to prevent the discharge of such
       materials to the POTW.
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CHAPTER 9                                                               Standard Conditions

    •   A condition that prohibits the dilution of Industrial User wastewaters as a partial or complete
       substitute for treatment of the wastewaters before discharge to the POTW.
    •   Monitoring requirements (in addition to those specified in other portions of the permit) including
           -  An outline of specific records to be maintained during sampling events (i.e., name of
              individuals who performed the  sampling; date, time, sample method used, and location of
              sampling; name of the individuals who performed the analysis; date and time  of analyses;
              analytical method used; and the results of such analysis)
              The requirement to follow EPA-approved sampling methods in 40 CFR Part 136, or other
              EPA-approved methods
           -  The requirement to implement Quality Assurance/Quality Control (QA/QC) procedures
              such as proper installation and maintenance of flow-monitoring and sampling equipment,
              periodic calibration of sampling and monitoring devices, and laboratory QA/QC procedures
              The requirement to resample within 30 days of an identified effluent violation
    •   Reporting requirements (in addition to those specified in other portions of the permit), such as
              The name and address of Control Authority personnel to whom applicable compliance
              monitoring reports are to be submitted
              The requirement to notify the Control Authority of spills, slug loadings, accidental
              discharges of concern, upsets, or bypasses
              The requirement to notify the Control Authority of any planned changes in industrial
              processes, production rates, or in the volume or characteristics of wastewaters discharged
              to the POTW, including  changes that could affect slug discharge potential
              Requirement that the Control Authority be notified within 24 hours of an identified
              effluent violation
           -  Requirement that the Control Authority be notified of any changes in  flow that would
              change the status of NSCIU or reduce monitoring
              Requirement to submit resampling results within 30 days of an identified effluent
              violation
    •   A condition that requires the Industrial User to maintain or retain records related to industrial
       operations and wastewater discharges for a minimum of three years.
    •   Specific signatory requirements for all reports submitted to the Control Authority. In all cases,
       reports must be signed in accordance with the federal regulations [40 CFR 403.12(1)].

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CHAPTER 9                                                                Standard Conditions

    •  Provisions that address public access to Industrial User records and the maintenance of
       confidential information. It should be made clear that at no time can wastewater effluent data or
       any other information used to develop permit limits (including production data) be claimed or
       held as confidential information.
    •  The right of entry or right of access of Control Authority personnel or its representatives to the
       Industrial User's property where a regulated facility or activity is located or conducted, or where
       records must be kept under the conditions of this permit. The Control Authority personnel or its
       representative must be granted access to perform sampling and inspection activities and to
       examine and copy Industrial User records.
    •  Legal remedies or enforcement measures including penalties available to the Control Authority to
       address violations of permit conditions.

Neither the discussion above nor the list provided in Appendix F exhausts all potential standard
conditions that could be included in an Industrial User's permit. Both lists merely represent some of the
more important types of conditions to be placed in the permit. The Control Authority and permit writer
can establish additional standard conditions as deemed appropriate.
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CHAPTER 9                                                          Standard Conditions
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CHAPTER 10                                                                Special Conditions


                                        CHAPTER 10.
                                   SPECIAL CONDITIONS

Special conditions are tailored to each permittee. They typically address situations that are specific to
certain types of industrial facilities. In addition, they might address known or suspected problems (e.g.,
spills) by requiring the Industrial User to undertake a specific activity to reduce the quantity of pollutants
currently discharged or to prevent the discharge of new or additional pollutants. These special
requirements  are typically described in a separate section of the permit. Examples of a few special
conditions include compliance schedules, developing and implementing Industrial User management
practices, and additional monitoring requirements.

Special conditions are based on the permit writer's professional judgment and specialized knowledge of
the individual Industrial User. Because they are often based on the general authority established in the
local ordinance and involve some exercise of judgment on the part of the permit writer, special conditions
are more likely to be challenged. Therefore, their basis must be well documented and their use should be
based on the fundamental principle of reasonableness.

10.1   COMPLIANCE SCHEDULES
A compliance schedule establishes milestones and deadlines for carrying out specific actions required of
an Industrial User. For example, a compliance schedule may be used to delineate the phases for
constructing or installing wastewater pollution control (treatment) technology or for submitting a spill
plan. Each compliance schedule typically includes a brief outline of the activities required and specific
target dates to meet major steps in the  schedule. Table 10-1 provides an example of a compliance
schedule.

A compliance schedule is often negotiated with the Industrial User to ensure that the adopted schedule is
achievable. The permit writer cannot establish a schedule for compliance with a federal categorical
Pretreatment Standard that extends beyond the compliance date indicated by the applicable federal
categorical pretreatment regulation [40 CFR 403.12(b)(7)]. In addition, a permit compliance schedule
does not relieve an Industrial User of its obligations to comply with applicable Pretreatment Standards
and Requirements including the prohibitions against pass through and interference. Compliance schedules
in permits to address ongoing pass through or interference issues are inappropriate. In such situations, a
more immediate enforcement action, such as a Cease and Desist Order, should be issued. Once any
federally established compliance deadline for a categorical Pretreatment Standard has passed, the proper

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CHAPTER 10                                                               Special Conditions



response for the Control Authority is to initiate an enforcement action that may, in appropriate instances,

involve issuance of an administrative enforcement order with a compliance schedule. Of course, the

permit writer may develop more stringent compliance schedules aimed at achieving compliance with

federal standards before federal deadlines. Compliance schedules should contain milestone dates that

reflect the shortest reasonable time in which compliance can be achieved. Finally, the Industrial User

should be required to submit a progress report to the Control Authority no later than 14 days following

each milestone date in the compliance schedule.


When establishing a compliance schedule for an Industrial User's permit, the permit writer should take

into consideration the complexity of the improvements or actions specified as well as any seasonal factors

or legal requirements that will affect the Industrial User's efforts to comply with the conditions outlined.

For example, a compliance schedule requiring groundbreaking in January in areas where winter

conditions could prevent such actions from taking place is not reasonable.
                                        TABLE 10-1
  EXAMPLE OF INCORPORATING A COMPLIANCE SCHEDULE IN THE SPECIAL CONDITION
                                   SECTION OF A PERMIT

Permit No. 001

Page 3-1

      PART 3- PRETREATMENT AND MONITORING FACILITIES COMPLIANCE SCHEDULE

A. To comply with the effluent limitations identified in Part 1, Section 2 C. and Section 3 A. 2 in a
reasonable period, the permittee must provide necessary wastewater treatment as required by Sections
13.16.170 and 13.16.180, Code of General Ordinances, in accordance with the following schedule:

EVENT                                                              BY NO LATER THAN

1) New wastewater treatment plant design completed, clarifiers ordered,      December 30, 2007
   and building foundation begun.

2) Submit to the City a plant management plan for control of solvents and    April 19, 2008
   toxic organics.

3) Pretreatment  plant building essentially complete,  field-erected tank        June 30, 2008
   external construction in place, and piping installation begun.

4) Complete installation of new sampling devices and Palmer Bowlus        September 15, 2008
   flume.

5) Obtain full treatment plant operational status and  achieve full             February 15, 2009
   compliance.

No later  than 14 days following each date in the above schedule, the permittee must submit to the City a
progress report including, at a minimum, whether it complied with the increment of progress to be met on
such date and, if not, the date on which it expects to comply with the increment of progress, the reasons
for delay, and the steps being taken to return the project to the schedule  established in this permit.
10-2                                                                            September 2012

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CHAPTER 10                                                              Special Conditions

10.2   ADDITIONAL MONITORING REQUIREMENTS
The Control Authority may often incorporate special monitoring requirements into Industrial User
permits. Additional monitoring may be used to confirm the presence of suspected pollutants of concern
(e.g., pollutants not regulated in an Industrial User's permit). For example, the Control Authority could
impose biomonitoring or other toxicity testing to determine the effluent's toxicity. This additional
monitoring could then be used to evaluate whether the permit should be revised to include additional
effluent limits, to require installation of treatment technology, or to reject the wastewater entirely.
Examples of additional monitoring conditions appear in Table 10-2.

As a response to noncompliance, the Control Authority may, as illustrated in Table 10-2, require
Industrial Users to perform monitoring of pollutants in addition to those regulated in the permit. Thus, the
special condition may trigger an  increase in the user's self-monitoring frequency. The increased
monitoring allows the Control Authority to detect patterns of continuing noncompliance and distinguish
isolated violations from chronic noncompliance. Naturally, the increased monitoring also draws the
Industrial User's attention to the  problem through the additional costs incurred. It thereby could act as a
deterrent to future  incidents of noncompliance.
                                        TABLE 10-2
 EXAMPLES OF INCORPORATING ADDITIONAL MONITORING REQUIREMENTS IN PERMITS
 EXAMPLE OF INCREASED MONITORING BECAUSE OF VIOLATIONS
 Increased Sampling in Response to Noncomplying Discharge
 1.   Frequency of sampling and analysis must be increased according to the schedule listed below
     whenever a discharge in violation of City/EPA limits is detected. Only those parameters that are in
     noncompliance need to be analyzed during the resampling period.
 Parameter             Sample type                  Additional no. of samples
 Metals*                One-day 24-hour flow           One per day for 2 days
                        proportional composite
 pH                     Continuous                     Continuous (installation of a recording
                                                      device)
 2.   Resampling of the noncomplying parameter must begin within 48 hours or on the first available
     weekday representative of normal metal finishing/plating operations after a violation  is discovered.
 3.   The results of this sampling and analysis must be reported to the City within 15 days of the
     sampling.
 *The term" Metals" is defined as chromium, copper, lead mercury, nickel, and zinc.
September 2012                                                                           10-3

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CHAPTER 10                                                               Special Conditions
                                   TABLE 10-2 (Continued)
 EXAMPLE OF SPECIAL TOXICITY MONITORING REQUIREMENT
  Self-Monitor Requirements
 A.     Sampling and Analysis for Clarifier Discharge Criteria
          Parameter                Sample location       Sample type      Frequency
          COD                      Clarifier effluent         Composite         Daily
          Electrolytic Respirometer    Clarifier effluent         Composite         Daily
          (six-hour duration)
          pH                        Clarifier effluent         Grab              Daily
 B.     Electrolytic Respirometer Methodology
 The Electrolytic Respirometer (ER) testing procedure as described in Attachment A will be used. Such
 a procedure may be  reasonably modified by mutual agreement if the facility demonstrates that a more
 suitable testing procedure is available.
    1.  Initial ER testing should be set up by midnight with a normal run, including purge, lasting until
        7:00 a.m.
    2.  When obvious ER failure is noticed, the test should be halted and a new one started
        immediately.
    3.  If the second ER meets the accepted standard, Clarifier discharge can begin. The test should
        be run to completion and the City notified of results within 6 hours.
    4.  Although discharge can begin after the initial ERtest, discharge can be stopped by the City.
    5.  If ER failure occurs, contact the City immediately at the following 24-hour emergency number
        [123-345-6789].
10.3   SPECIAL CONDITIONS FOR ZERO-DISCHARGE PERMITS

The federal regulations at 40 CFR 403.3(v)(2) state that the Control Authority, under defined
circumstances, may classify a facility that is subject to categorical Pretreatment Standards and therefore
an SIU as an NSCIU. The conditions for classification as an NSCIU are discussed in Section 7.2.4. The
NSCIU would not be subject to the requirement for control through a permit or other individual control
mechanism.

A Control Authority may choose to regulate zero-discharging NSCIUs with a zero-discharge permit.
Before issuing a zero-discharge permit, the Control Authority should determine the facility's potential for
discharge. Considerations for potential are discussed in detail in Section 2.2 of this manual. At a
minimum the facility's permit should contain the following conditions:

    •   A statement indicating that no discharge of process wastewater is permitted.
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CHAPTER 10                                                                Special Conditions

    •  Requirements to notify the POTW of any changes resulting in a potential for discharge.
    •  Requirements to certify periodically that no discharge has occurred.
    •  Notice that the POTW may inspect the facility as necessary to assess and assure compliance with
       the no-discharge requirement.
    •  Requirement to comply with Resource Conversation and Recovery Act (RCRA) and state
       hazardous waste regulations regarding the proper disposal of hazardous waste.

The permit writer should keep in mind that there are federally regulated industries that must not discharge
any process wastewater pollutants because of the industries' categorical classification.  Appendix G
(Summary of Industrial Sectors with Categorical Pretreatment Standards and Requirements) identifies
specific no-discharge requirements for categorical facilities. The permit should clearly identify the
process wastewater or pollutants or both that are prohibited from being discharged.

Also, specific reporting frequencies are established for SIUs, CIUs, and NSCIUs. Therefore, the permit
writer should review these reporting frequencies and include the appropriate reporting  requirements
specific to each zero-discharging facility.
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CHAPTER 10                                                            Special Conditions
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CHAPTER 11                                                Documentation of Permit Decisions


                                        CHAPTER 11.
                        DOCUMENTATION OF PERMIT DECISIONS

After the permit has been drafted, the permit writer should create a permanent record of the procedures
followed and the basis for the decisions made during the permitting process. Although such
documentation might initially seem an unnecessary and a time-consuming task, it will inevitably play a
critical role in any permit challenge, and, in the long run, it can save the permit writer a great deal of time
and effort. Some of the principal reasons for documenting permit decisions are the following:
    •  To remind the permit writer of the basis of the previous permit
    •  To document that permit conditions were developed in a reasonable, nonarbitrary manner and in
       accordance with proper procedures
          -   Categorical classification rationale (e.g., PSES and PSNS applicability)
          -   Determination of appropriate sampling location(s)
               Production-basis and flow rates for calculating alternative limits
               Rationale for any applicable BMPs
          -   Compliance history
          -   The basis for increased or decreased sampling frequency
          -   The basis of pollutants to be monitored
               Rationale for slug discharge control requirements
    •  To streamline future permitting issuances through the creation of a complete file  containing all
       information used in developing previous permits that need to be revised only if circumstances
       change
    •  To create a permanent record of permit development
               In case personnel changes occur
               For institutional memory
          -   As an explanation of permit conditions to other personnel within the pretreatment staffer
               in the event that the Control Authority and the permittee disagree on the meaning of
               particular permit conditions
    •  To explain permit conditions and their basis to the Industrial User and to the public
    •  To ensure any permit modifications are adequately documented

September 2012                                                                             11-1

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CHAPTER 11                                                 Documentation of Permit Decisions

    •   To identify operating condition changes at the permittee's facility that could result in a permit
        modification
    •   To satisfy possible Approval Authority requirements for documentation of permitting rationale

11.1    PERMIT FACT SHEET

The basis for decisions made during the permitting process are generally summarized in a document
commonly referred to as the permit fact sheet. The fact sheet briefly sets forth the significant factual,
legal, procedural, and policy questions considered in preparing the permit. In addition, the fact sheet
should summarize the findings of review of the application, inspections, and other materials necessary to
describe the rationale for the conditions imposed in the control mechanism. The fact sheet should be kept
attached to a copy of the permit in the Control Authority's files. The components of a fact sheet are
presented in Table 11-1, and an example is in Appendix E.
                                           TABLE 11-1
                          COMPONENTS OF A PERMIT FACT SHEET
 1.   Brief description of Industrial User, including the following:
    • Name, address, and location of the facility
    • Number of connections that the facility has to the sewer system, specifying the one(s) relevant to the fact
      sheet
    • Type of operations in which the facility is engaged (e.g., manufacture of battery terminals)
    • Brief description of the plant processes or other sources of generating wastewater
    • Categorical determination (if applicable).
    • List of raw materials used
    • Description of treatment processes (if applicable), including any O&M requirements
    • Description of sampling location
 2.   Type and quantity of the discharge:
    • Rate or frequency of the discharge; the average and maximum daily flow
    • Daily maximum and monthly average discharge of any pollutants present in significant quantities or subject to
      limitations or prohibition
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CHAPTER 11                                                  Documentation of Permit Decisions
                                     TABLE 11-1 (continued)
 3.  Basis for the permit limits, including the following:
    • Permit application documents
    • Analytical data for pollutants provided in both a complete and summary form so that they can be easily
      reviewed and verified
    • Copies of or citations to federal, state, and local regulations
    • Copies of literature information where used to develop the permit limits (e.g., pages from the development
      documents)
    • Plant layouts and process and wastewater flow diagrams.
 4.  Detailed discussion of any special conditions in the permit and the rationale for pollutant selection
     and limits development, including the following:
    • Rationale for any monitoring waivers (e.g., pollutant not present), if applicable
    • Rationale for reduced monitoring, if applicable
    • Classification of NSCIU, if applicable
    • Equivalent limits, if established
    • Coverage under a general control mechanism, if applicable
 5.  Calculations showing the actual numbers used to derive each limit, including the following:
    • Combined wastestream formula or flow-weighted average calculations
    • Equivalent mass or concentration-based limits calculations
    • Local limits allocation basis
Because permit fact sheets are not a binding part of the permit, any permittee requirements must be
included in the permit for the requirement to be enforceable. The permit fact sheet should specify only the
rationale as to why requirements were incorporated into the permit.

11.2    PERMIT RECORD

The permit writer should document all verbal discussions with the public and permittee and to keep
copies of all correspondence exchanged. For example, an Industrial User might not be able to measure the
flow of wastewater discharged to the POTW at the time of permit application or could be measuring the
flow after it is combined with nonprocess wastestreams. The permit writer and the user might agree upon
mutually acceptable wastewater flows to be used in developing the effluent limits. Such discussions and
decisions should be documented. The Control Authority should establish a file in which all records
pertaining to the development and issuance of the  permit are kept. Relevant documents to include in this
file are the following:

September 2012                                                                                11-3

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CHAPTER 11                                                Documentation of Permit Decisions

    •   The completed permit application
    •   Baseline monitoring report, if applicable
    •   Draft permit and fact sheet
    •   All correspondence and data relating to the development of the permit
    •   Decisions regarding monitoring waivers, equivalent and alternative limits, general control
       mechanism coverage, NSCIU status, and reduced monitoring
    •   Record of any telephone conversations with interested parties concerning the permit
    •   Record of any public hearing or meetings
    •   Copies of all comments received
    •   Copies of all replies or responses to comments received
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               PART
        Overview of Requirements
Regarding POTW Receipt of Hazardous Wastes

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CHAPTER 12          Overview of Requirements Regarding POTW Receipt of Hazardous Wastes


                                      CHAPTER 12.
     OVERVIEW OF REQUIREMENTS REGARDING POTW RECEIPT OF HAZARDOUS
                                         WASTES

The Control Authority should be aware that if its treatment plant accepts hazardous wastes by truck, rail,
or dedicated pipeline within the property boundary of the treatment plant(s), that POTW is a hazardous
waste treatment, storage, or disposal facility (TSDF) and is subject to regulation under the Resource
Conservation and Recovery Act (RCRA), 42 U.S.C. 6901 et seq. RCRA establishes a comprehensive
program regulating the management of nonexempt hazardous wastes from the time they are generated
until ultimate disposal (i.e., a cradle to grave management system). Under the RCRA domestic sewage
exclusion, mixtures of domestic sewage and other wastes (including hazardous wastes) that mingle in the
collection system before reaching the POTW's  property boundary are excluded from RCRA regulation.
However, wastes that are delivered by truck, rail, or dedicated pipeline do not fall within this exclusion.
Hazardous wastes received by these routes may be accepted by POTWs only if the POTWs comply with
RCRApermit-by-mle regulations. State hazardous waste programs may also have laws governing
POTWs that accept hazardous waste for treatment.

Under RCRA permit-by-rule regulations in 40 CFR 270.60(c), the POTW would be deemed to have a
RCRA permit if it meets the following conditions:
    •  Have and comply with the conditions of an NPDES permit [40 CFR 270.60(c)(l) and (2)]
    •  Apply for an EPA identification number [40 CFR 264.11 ]
    •  Use a manifest system [40 CFR 264.71]
    •  Reconcile manifest discrepancies with the hazardous waste generator or transporter [40 CFR
       264.72]
    •  Keep a written operating record of hazardous wastes received and treatment, storage, and disposal
       methods for the hazardous wastes [40 CFR 264.73(a) and (b)(l)]
    •  Submit a biennial report to the Regional administrator [40 CFR 264.75]
    •  Submit a report to the Regional administrator notifying EPA of any unmanifested hazardous
       wastes at the time of receipt [40 CFR 264.76]
    •  Institute corrective action, as necessary, as specified in the POTW's NPDES permit (for permits
       issued after November 8, 1984) [40 CFR 364.101]
September 2012                                                                           12-1

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CHAPTER 12           Overview of Requirements Regarding POTW Receipt of Hazardous Wastes

    •   Require all wastes received to meet all federal, state, and local pretreatment requirements, as if
       the wastes were being conveyed to the POTW by sewer, pipe, or similar conveyance [40 CFR
       270.60(c)(4)]

For a discussion of the requirements, see EPA's Guidance for Implementing RCRA Permit-by-Rule
Requirements atPOTWs.

A POTW can assume that it is receiving hazardous wastes by truck or rail if the wastes are accompanied
by the hazardous waste manifest used in the RCRA program. If the waste hauler does not provide such a
manifest, the POTW might still wish to determine if the hauled wastes are considered hazardous because
RCRA responsibilities apply even if the POTW accepts such wastes unknowingly. To be considered a
hazardous waste, a waste must first be considered a solid waste as defined in 40 CFR 261.2. To determine
if a solid waste is regulated under federal regulations as a hazardous waste, the POTW must determine
whether the waste in question is excluded from regulation under 40 CFR 261.4(b). If it is not excluded,
the POTW must then determine whether the waste in question falls into one of the following categories:
    •   It is listed as a hazardous waste in Subpart D of 40 CFR Part 261 (unless it has been specifically
       delisted)
    •   It has not been listed, but it exhibits any of the characteristics of a hazardous waste described in
       Subpart C of 40 CFR Part 261
    •   It is a mixture of a listed waste and a nonhazardous waste or is derived from the treatment of a
       listed hazardous waste (unless it has been specifically excluded under 40 CFR 261.3). (Note: A
       mixture of a characteristic waste and a nonhazardous solid waste, or the residue from the
       treatment of a characteristic waste, is considered hazardous only if it exhibits one or more of the
       hazardous waste characteristics.)
    •   For more information on identifying and regulating hazardous wastes, see the following EPA
       guidance materials:
              RCRA Information on Hazardous Wastes for Publicly Owned Treatment Works
              RCRA Orientation Manual (prepared by the Office of Solid Waste)
           -  Guidance Manual for the Identification of Hazardous Waste Delivered to Publicly Owned
              Treatment Works by Truck, Rail, or Dedicated Pipeline
           -  Guidance for Implementing RCRA Permit-by-Rule Requirements at POTWs
12-2                                                                             September 2012

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CHAPTER 12          Overview of Requirements Regarding POTW Receipt of Hazardous Wastes

POTWs can choose not to accept the delivery of hazardous wastes by truck rail or dedicated pipeline by
    •  Strictly prohibiting the discharge of any hauled wastes
    •  Prohibiting the discharge of any industrial process wastes (i.e., accepting only domestic waste
       from haulers or dedicated pipelines)
    •  Prohibiting the discharge of hazardous waste (e.g., accept hauled or dedicated pipeline industrial
       process wastes but only if accompanied by sufficient documentation to demonstrate that wastes
       are not hazardous)

Reliable monitoring must be conducted to ensure that such conditions are met. The Control Authority
should evaluate each of these methods before making a decision as to which method is the most
appropriate for its treatment plant. Considerations such as local community practices should be taken into
account (e.g., is contract hauling of household and industrial septage wastes common in the community,
or are most locations serviced by municipal sewer collection systems?).

In addition to the RCRA requirements incorporated by reference into the permit-by-rule requirements for
POTWs, there might be other requirements that apply as a matter of law. For example, sections 3004(d),
(e), and (g) of RCRA prohibit the land disposal of hazardous waste in specified situations. Such
requirements and others could apply to POTWs receiving hazardous waste by truck, rail, or dedicated
pipeline. For other RCRA requirements that might apply to POTWs that receive hazardous wastes by
truck, rail, or dedicated pipeline, see Appendix D of EPA's Guidance for Implementing RCRA
Permit-by-Rule Requirements at POTWs.

In summary, the Control Authority should determine the applicability of RCRA requirements and
responsibilities if its treatment plant accepts hauled wastes, especially if any of the hauled wastes are
known or suspected to have been collected from industrial sites. POTWs not accepting hauled or
dedicated pipeline hazardous  wastes but that  are considering doing so, should be aware of the RCRA
responsibilities and potential  liabilities associated with such practices.
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CHAPTER 12          Overview of Requirements Regarding POTW Receipt of Hazardous Wastes
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Industrial User Permitting
     Guidance Manual
           Appendices
           833-R-12-001B
           September 2012
      United States Environmental Protection Agency
            Office of Water

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                                                                     CONTENTS
CONTENTS
                                                                           Page

APPENDIX A. BIBLIOGRAPHY	A-l

APPENDIX B. GLOSSARY OF TERMS	B-l

APPENDIX C. SAMPLE PERMIT APPLICATION FORM	C-l

APPENDIX D. PERMIT FACT SHEET TEMPLATE	D-l

APPENDIX E. SAMPLE PERMIT FACT SHEET AND INDUSTRIAL USER PERMIT	E-l

APPENDIX F. SAMPLE STANDARD CONDITIONS FOR PERMITS	F-l

APPENDIX G. SUMMARY OF INDUSTRIAL SECTORS WITH CATEGORICAL PRETREATMENT
           STADNARDS AND REQUIREMENTS	G-l

APPENDIX H. PRETREATMENT STREAMLINING RULE FACT SHEET 7.0: BEST MANAGEMENT
           PRACTICES	H-l

APPENDIX I. PRODUCTION-BASED STANDARDS FACT SHEET	1-1

APPENDIX! COMBINED WASTESTREAM FORMULA FACT SHEET	J-l
September 2012

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CONTENTS
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                                                                          September 2012

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APPENDIX A
  Bibliography

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APPENDIX A
Bibliography
Referenced Documents
Title
Guidance for Developing
Control Authority
Enforcement Response
Plans
Guidance for
Implementing RCRA
Permit-by-Rule
Requirements at POTWs
Guidance Manual for
Control of Slug Loadings
to POTWs
Guidance Manual for
Implementing Total Toxic
Organics (TTO)
Pretreatment Standards
Guidance Manual for the
Control of Wastes Hauled
to Publicly Owned
Treatment Works
Guidance Manual for the
Identification of Hazardous
Waste Delivered to
Publicly Owned Treatment
Works by Truck, Rail, or
Dedicated Pipeline
Guidance Manual for Use
of Production-Based
Standards and the
Combined Wastestream
Formula
Industrial User Inspection
and Sampling Manual for
POTWs
Local Limits Development
Guidance
EPA Model Pretreatment
Ordinance
Multijurisdictional
Pretreatment Programs
Guidance Manual
NPDES Best Management
Practices Guidance
Document
Pretreatment Streamlining
Rule Fact Sheet 7.0: Best
Management Practices
Date
September-1989
July-1987
September-1988
September-1985
September-1999
June-1987
September-1985
April-1994
July-2004
January-2007
June-1994
June-1981
January-2007
EPA number


833B88100
440185009t
EPA-833-B-98-003
833B87100
833-B-85-201
831B94001
833-R-04-002A
833-B-06-002
833-B94-005
833B81100
EPA-833-F-06-013
NTIS Number
PB90-185083/AS
PB95-1 57772
PB93-202745
PB93-1 67005
PB2000-1 02387
PB92-1 49251
PB92-232024
PB94-1 70271
PB2004-1 06674
PB2007-107215
PB94-203544


ERIC/REALMS
Number

W827
W111
W339
C281
W202
U095
W305
11070

W607
WB05

September 2012
        A-l

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APPENDIX A
 Bibliography
Referenced Documents
Title
RCRA Information on
Hazardous Wastes for
Publicly Owned Treatment
Works
RCRA Orientation Manual
(prepared by the Office of
Solid Waste)
Date
September-1985
2008
EPA number
833B85202

NTIS Number
PB92-1 14396

ERIC/REALMS
Number
W351

A-2
September 2012

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APPENDIX A
Bibliography
Referenced Regulations
Title
Clean Water Act
Resource Conservation and Recovery
Act (RCRA)
Federal Regulation: Public Information
Federal Regulation: Cross-Media
Electronic Reporting Regulation
(CROMERR)
Federal Regulations: EPA Administered
Permit Programs: The National Pollutant
Discharge Elimination System
Federal Regulations: Guidelines
Establishing Test Procedures for the
Analysis of Pollutants
Federal Regulations: Identification and
Listing of Hazardous Waste
Federal Regulations: Standards for
Owners and Operators of Hazardous
Waste Treatment, Storage, and Disposal
Facilities
Federal Regulations: EPA Administered
Permit Programs: The Hazardous Waste
Permit Program
Federal Regulations: General
Pretreatment Regulations for Existing
and New Source of Pollution
General Pretreatment Regulations for
Existing and New Sources (Proposed
PIRT Revisions)
General Pretreatment Regulations for
Existing and New Sources - PIRT
Revisions
National Pollutant Discharge Elimination
System and General Pretreatment
Regulations - Domestic Sewage Study
Implementation
Production data at facilities subject to
production-based categorical
pretreatment standards.
Streamlining the General Pretreatment
Regulations for Existing and New
Sources of Pollution
Citation / Reference
33U.S.C. §1251 etseq.
42U.S.C.§6901 etseq.
40 CFR Part 2
40 CFR Part 3
40 CFR Part 122
40 CFR Part 136
40 CFR Part 261
40 CFR Part 264
40 CFR Part 270
40 CFR Part 403
51 FR 21454
53 FR 40562
55 FR 30082
RSR Corp. v. Browner,
1997 U.S. Appeals LEXIS
5523 (2nd Cir.)
70 FR 601 34
Date
1972
1976








June 12,1986
October 17, 1988
July 24, 1990
March 26, 1997
October 14,2005
September 2012
        A-3

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APPENDIX A                                                                  Bibliography
                             This page intentionally left blank.
A-4                                                                          September 2012

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APPENDIX B
Glossary of Terms

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APPENDIX B                                                                Glossary of Terms
                                        APPENDIX B.
                                   GLOSSARY OF TERMS

This glossary includes a collection of some of the terms used in this manual and an explanation of each
term. To the extent that explanations provided in this glossary differ from those in EPA regulations or
other official documents, they are intended for use in understanding this manual only.

Approval Authority—The director of a National Pollutant Discharge Elimination System (NPDES) state
with an approved state Pretreatment Program and the appropriate EPA Regional Administrator in a non-
NPDES state or NPDES state without an approved state pretreatment program [40 CFR 403.3(c)].

Baseline Monitoring Report (BMR)—A report submitted by categorical Industrial Users within 180
days after the effective date of an applicable categorical Standard, which indicates the compliance status
of the user with the categorical Standard [40 CFR403.12(b)].

Best Management Practices (BMPs)—Schedules of activities, prohibitions of practices, maintenance
procedures, and other management practices to implement the prohibitions listed in 40 CFR 403.5(a)(l)
and (b). BMPs also include treatment requirements, operating procedures, and practices to control plant
site runoff, spillage or leaks, sludge or  waste disposal, or drainage from raw materials storage [40 CFR
403.3(e)].

Best Professional Judgment (BPJ)—The highest-quality technical opinion of a permit writer, after
consideration of all reasonable available and pertinent data or information, forming the basis for the terms
and conditions of a permit.

Categorical Pretreatment Standards—Any regulation containing pollutant discharge limits
promulgated by EPA in accordance with sections 307(b) and (c) of the Clean Water Act, that apply to
specified process wastewaters of industrial categories [40 CFR 403.6 and Parts 405-471].

Categorical Industrial User (CIU)—An Industrial User subject to categorical Pretreatment Standards or
categorical Standards.

Combined Wastestream Formula (CWF)—Procedure for calculating alternative discharge limits at
industrial facilities in which a regulated wastestream from a categorical Industrial User is combined with
other wastestreams before treatment [40 CFR 403.6(e)].

Concentration Limit—A limit based on the mass of pollutant per unit volume, usually expressed in
milligrams per liter (mg/L).

Control Authority—A POTW with an approved pretreatment program or the Approval Authority in the
absence of an approved POTW pretreatment program [40 CFR 403.3 (f)].

Conventional Pollutants—Pollutants typical of municipal sewage, and for which municipal  secondary
treatment plants are typically designed; defined by federal regulation [40 CFR 401.16] as biochemical
oxygen demand (BOD), total suspended solids (TSS), fecal coliform bacteria, oil and grease, and pH.
September 2012                                                                              B-l

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APPENDIX B                                                                 Glossary of Terms
Daily Maximum Limit — The maximum allowable discharge of a pollutant during a calendar day. Where
daily maximum limitations are expressed in units of mass, the daily discharge is the total mass discharged
over the course of the day. Where daily maximum limits are expressed in terms of a concentration, the
daily discharge is the arithmetic average measurement of the pollutant concentration derived from all
measurements taken that day.

Development Document — Detailed report of studies conducted by EPA for the purpose of developing
categorical Pretreatment  Standards.

Dilute Wastestream — For purposes of the combined wastestream formula, the average daily flow (at
least a 30-day average) from (a) boiler blowdown streams, noncontact cooling streams, stormwater
streams, and demineralizer backwash streams (provided, however, that where such streams contain a
significant amount of a pollutant, and the combination of such streams, before treatment with an
Industrial User's regulated process wastestream(s) will result in a substantial reduction of that pollutant,
the Control Authority upon application of the Industrial User, may exercise its discretion to determine
whether such stream(s) should be classified as dilute or unregulated. In its application to the Control
Authority, the Industrial User must provide engineering, production, sampling and analysis, and such
other information so that the Control Authority can make its determination); or (b) sanitary wastestreams
where such streams are not regulated by a categorical Pretreatment Standard; or (c) from any process
wastestreams that were, or could have been, entirely exempted from categorical Pretreatment Standards
pursuant to paragraph 8 of the NRDC v. Costle Consent Decree (12 ERC 1833)  for one or more of the
following reasons (see Appendix D of 40 CFR 403):
   a.  The pollutants of concern are not detectable in the effluent from the Industrial User [paragraph
    b.  The pollutants of concern are present only in trace amounts and are neither causing nor likely to
       cause toxic effects [paragraph(8)(a)(iii)]
    c.  The pollutants of concern are present in amounts too small to be effectively deduced by
       technologies known to the Administrator [paragraph(8)(a)(iii)]; or
    d.  The wastestream contains only pollutants which are compatible with the POTW [paragraph
       (8)(b)(i)][40CFR403.6(e)].

Director — The chief administrative officer of a state or interstate water pollutant control agency with an
NPDES permit program and state pretreatment  program approved pursuant to section 402(b) of the Clean
Water Act [40 CFR403.3(g)].

Flow Proportional Composite Sample — A sampling method that combines discrete aliquots of a sample
collected overtime, based on the flow of the wastestream being sampled. Two methods are used to collect
such a sample. One method collects a constant sample volume at time intervals that vary by stream flow
(e.g., 200 milliliters (mL) sample collected for every 5,000 gallon discharged). The other method collects
aliquots of varying volume, by stream flow, at constant time intervals.

Flow- Weighted Averaging Formula (FWA) — A procedure used to calculate alternative limits where
wastestreams regulated by a categorical Pretreatment Standard  and nonregulated wastestreams combine
after treatment but before the monitoring point.

Grab Sample — A sample that is taken from a wastestream on a one-time basis with no regard to the flow
of the wastestream and over a period of time not to exceed fifteen (15) minutes.

Indirect Discharge — The introduction of pollutants into a POTW from any nondomestic source
regulated under section 307(b), (c), or (d) of the Clean Water Act [40 CFR 403. 3(i)].
B-2                                                                              September 2012

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APPENDIX B                                                                 Glossary of Terms
Industrial User (IU) or User—A source of nondomestic waste. Any nondomestic source discharging
pollutants to a POTW.

Instantaneous Maximum Limit—The maximum limit allowable concentration of a pollutant determined
from the analysis of any discrete or composited sample collected independent of the industrial flow rate
and the duration of the sampling event.

Interference—A discharge that, alone or in conjunction with a discharge or discharges from other
sources, both:
    a.  Inhibits or disrupts the POTW, its treatment processes or operations, or its sludge processes, use
       or disposal; and
    b.  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 the following statutory provisions and regulations or permits
       issued thereunder (or more stringent state or local regulations): section 405 of the Clean Water
       Act, the Solid Waste Disposal Act (SWDA) (including title II, more commonly referred to as the
       Resource Conservation and Recovery Act (RCRA), and including state regulations contained in
       any state sludge management plan prepared pursuant to subtitle D of the SWDA), the Clean Air
       Act, the Toxic Substances Control Act, and the Marine Protection, Research and Sanctuaries Act
        [40CFR403.3(k)].

Monthly Average Limit—The highest allowable average of daily discharges over a calendar month,
calculated as the sum of all daily discharges measured during a calendar month divided by the number of
daily discharges measured during that month.

National Pretreatment Standard, Pretreatment Standard, or Standard—Any regulation containing
pollutant discharge limits  promulgated by the EPA in accordance with section 307 (b) and (c) of the
Clean Water Act that applies to Industrial Users. Such terms include prohibitive discharge limits
established pursuant to 40 CFR 403.5  [40 CFR 403.3(1)].

National Prohibited Discharges—Prohibitions applicable to all nondomestic dischargers regarding the
introduction of pollutants  into POTWs set forth at 40 CFR 403.5.

Net/Gross Calculations—An adjustment to categorical Pretreatment Standards to reflect the presence of
pollutants in the Industrial User's intake water [40 CFR 403.15].

Ninety (90)-day Compliance Report—A report submitted by a categorical Industrial User, within 90
days following the date for final compliance with applicable categorical Standards, or in the case of a
New Source, following commencement of the introduction of wastewater into the POTW, that documents
and certifies the compliance status of the user [40 CFR 403.12(d)].

Nonconventional Pollutants—All pollutants that are not included in the list of conventional or toxic
pollutants in 40 CFR Part 401.

Nondomestic User—Any person or entity that discharges wastewater from any facility other than a
residential unit.

North American Industry Classification System (NAICS) Code—The standard code used by federal
statistical agencies in classifying business establishments for the purpose of collecting, analyzing, and
publishing statistical data related to the U.S. business economy.
September 2012                                                                               B-3

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APPENDIX B                                                                 Glossary of Terms
Pass Through—A discharge that exits the POTW into waters of the United States in quantities or
concentration 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)].

Periodic Compliance Report—A report on compliance status submitted by categorical Industrial Users
to the Control Authority [40 CFR 403.12(e)].

Pretreatment—Reducing the amount of pollutants, eliminating pollutants, or altering the nature of
pollutant properties in wastewater before or in lieu of discharging or otherwise introducing such
pollutants into a POTW. The reduction or alteration may be obtained by physical, chemical or biological
processes, process changes or by other means, except as prohibited by 40 CFR 403.6(d). Appropriate
pretreatment technology includes control equipment, such as equalization tanks or facilities, for protection
against surges or slug loadings that might interfere with or otherwise be incompatible with the POTW.
However, where wastewater from a regulated process is mixed in an equalization facility with
unregulated wastewater or with wastewater from another regulated process, the effluent from the
equalization facility must meet an adjusted pretreatment limit calculated in accordance with 40 CFR
403.6(e)[40CFR403.3(s)].

Pretreatment Standards for Existing Sources (PSES)—Defined at section 307(b) of the CWA. PSES
are national, uniform, technology-based  standards that apply to dischargers to POTWs from specific
industrial categories (i.e. indirect dischargers). Dischargers subject to PSES are required to comply with
those standards by a specified date, typically no more than 3 years after the effective date of the
categorical standard. EPA promulgates categorical pretreatment standards for existing sources based
principally on Best Available Technology Economically Achievable technology for existing sources.

Pretreatment Standards for New Sources (PSNS)—Defined at section 307(c) of the CWA. PSNS are
national,  uniform, technology-based standards that apply to dischargers to POTWs from specific
industrial categories (i.e. indirect dischargers). The definition of new source is  set out in 40 CFR 403.3(m)
of the General Pretreatment Regulations. New indirect dischargers have the opportunity to incorporate
into their plants the best available demonstrated technologies. Users subject to  PSNS are required to
achieve compliance within the shortest feasible time, not to exceed 90 days after beginning discharge.

Process Wastewater—Any water that, during manufacturing or processing, comes into direct contact
with or results from producing or using any raw material, intermediate  product, finished product, by-
product, or waste product.

Production-based Standards—A discharge limitation expressed in terms of allowable pollutant mass
discharge per unit of production.

Publicly  Owned Treatment Works (POTW)—A treatment works as defined by section 212 of the
Clean Water Act that is owned by a state or municipality (as defined by section 502(4) of the Clean Water
Act). This includes any devices and systems used in the storage, treatment, recycling, and reclamation of
municipal sewage or industrial wastes of a liquid nature. It also includes sewers, pipes and other
conveyances only if they convey wastewater to a POTW treatment plant. The term also means the
municipality, as defined in section 502(4) of the  Clean Water Act, that has jurisdiction over indirect
discharges to and the discharges from such a treatment works [40 CFR 403.3(q)].

Regulated Wastestream—An industrial process wastestream regulated by a national categorical
Pretreatment Standard.
B-4                                                                               September 2012

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APPENDIX B                                                                 Glossary of Terms
Resource Conservation and Recovery Act (RCRA)—A federal statute regulating the management of
hazardous waste from its generation through ultimate disposal. The act contains requirements for waste
generators, transporters, and owners and operators of treatment, storage, and disposal facilities (43 U.S.C.
6901 etseq.).

Self-monitoring—Sampling and analyses performed by the Industrial User to ensure compliance with a
permit or other regulatory requirements.

Significant Industrial User (SIU)—(a) All industrial users subject to Categorical Pretreatment Standards
under 40 CFR 403.6 and 40 CFR chapter I, subchapter N; and (b) any other that (i) discharges an average
of 25,000 gallons per day or more of process wastewater to the POTW (excluding sanitary, noncontact
cooling and boiler blowdown wastewater); or (ii) contributes a process wastestream that makes up 5
percent or more of the average dry-weather hydraulic or organic (BOD, TSS, and such) capacity of the
POTW treatment plant; or (iii) is designated as such by the Control Authority because the industrial user
has a reasonable potential for adversely affecting the POTW's operation or for violating any pretreatment
standard or requirement (in accordance with 40 CFR 403.8(f)(6)) [40 CFR 403.3(v)].

Significant Noncompliance—An Industrial User is in significant noncompliance if its violation meets
one or more of the following criteria:
    a.  Chronic violations of wastewater discharge limits, defined here as those in which 66 percent or
       more of all the measurements taken during a 6-month period exceed (by any magnitude) a
       numeric Pretreatment Standard or Requirement, including instantaneous limits as defined by
       403.3(1)
    b.  Technical Review Criteria (TRC) violations, defined here as those in which 33 percent or more of
       all the measurements for each pollutant parameter taken during a 6-month period equal or exceed
       the product of the numeric Pretreatment Standard or Requirement, including instantaneous limits
       as defined by 403.3(1) multiplied by the applicable TRC (TRC =  1.4 for BOD, TSS, fats, oil, and
       grease,  and 1.2 for all other pollutants except pH
    c.  Any other violation of a pretreatment Standard or Requirement as defined by 40 CFR 403.3(1)
       (daily maximum, long-term average, instantaneous limit, or narrative standard) that the POTW
       determines has caused, alone or in combination with other discharges, interference or pass
       through (including endangering the health of POTW personnel or the general public)
    d.  Any discharge of a pollutant that has caused imminent endangerment to human health, welfare, or
       to the environment or has resulted in the POTW's  exercise of its emergency authority under
       paragraph 40 CFR 403.8(f)(l)(vi)(B) halt or prevent such a discharge
    e.  Failure  to meet, within  90 days after the schedule date, a compliance schedule milestone
       contained in a local control mechanism or enforcement order for starting construction, completing
       construction, or attaining final compliance
    f.  Failure  to provide, within 45 days after the due date, required reports such as baseline monitoring
       reports, 90-day compliance reports, periodic self-monitoring reports, and reports on compliance
       with compliance schedules
    g.  Failure  to accurately report noncompliance
    h.  Any other violation or group of violations, that could include a violation of best management
       practices, that the POTW determines would adversely affect the operation or implementation of
       the local pretreatment program

Slug Discharge—Any discharge of a nonroutine, episodic nature, including an accidental spill or a
noncustomary batch discharge,  which has a reasonable potential to cause interference or pass through, or
in any other way violate the POTW's regulations, local limits, or permit conditions [40  CFR
403.8(f)(2)(vi)].
September 2012                                                                               B-5

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APPENDIX B                                                                  Glossary of Terms
Slug Discharge Control Plan—A plan prepared by an Industrial User that describes the discharge
practices, including nonroutine batch discharges. The plan contains a description of stored chemicals,
procedures for immediately notifying the POTW of slug discharges, and, if necessary, procedures to
prevent adverse effects from accidental spills.

Slug Load—Any pollutant (including BOD) released in a discharge at a flow rate or concentration which
will cause a violation of the specific discharge prohibitions in 40 CFR 403.5(b).

Spill Prevention and Control  Plan—A plan prepared by an Industrial User to minimize the likelihood of
a spill and to expedite control and cleanup activities if a spill occurs.

Split Sample—A portion of a collected sample given to the industry or to  another agency to verify or
compare  laboratory results.

Standard Industrial Classification (SIC) Code—A classification scheme based on the type of
manufacturing or commercial activity at a facility; some facilities have several activities that cause them
to have more than one code.

Time Proportional Composite Sample—A sampling method that combines discrete sample aliquots of
constant volume collected at constant time intervals (e.g.,  200 milliliter samples collected every half hour
for a 24-hour period). This method provides representative sample only where the sampled stream flow is
constant, or where the volume is manually adjusted according to stream flow variation before being added
to the composite sample container.

Total Toxic Organics (TTO)—The sum of the masses or concentrations of the specific toxic organic
compounds regulated by specific categorical pretreatment regulations that  is  found in the discharge at
specific quantifiable concentrations. (To identify which compounds are regulated, what numeric value is
considered quantifiable, and what sampling or certification alternatives might be available, refer to the
specific categorical regulations.)

Toxic Organics Management Plan—A written plan submitted by Industrial Users in accordance with
some categorical Pretreatment Standards as an alternative  to TTO monitoring that specifies the toxic
organic compounds used, the method of disposal used, and procedures for  assuring ensuring that toxic
organics  do not routinely spill or leak into wastewater discharged to the POTW.

Toxic Pollutant—Pollutants or combinations of pollutants, including disease-causing agents, which after
discharge and upon exposure, ingestion, inhalation or assimilation into any organism, either directly from
the environment or indirectly by ingestion through food chains, will, on the basis of information available
to the Administrator of EPA, cause death, disease, behavioral abnormalities,  cancer, genetic mutations,
physiological malfunctions, (including malfunctions in reproduction) or physical deformations, in such
organisms or their offspring. Toxic pollutants also include those pollutants listed by the  Administrator
under CWA Section 307(a)(l) or any pollutant listed under Section 405 (d) which relates to sludge
management.
B-6                                                                                September 2012

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APPENDIX B                                                                 Glossary of Terms
Treatability Manual—Five-set library of EPA guidance manuals that contain information related to the
treatability of many pollutants. The manual provides detailed descriptions of industrial processes,
potential pollutants from each process, appropriate treatment technologies, and cost-estimating
procedures. This manual can be used in developing NPDES permit limitations for facilities and/or
pollutants which, at the time of permit issuance, are not subject to industry-specific effluent guidelines.
The five volumes that comprise this series include: Vol. I - Treatability Data (EPA-600/8-80-042a); Vol.
II -Industrial Descriptions (EPA-600/8-80-042b); Vol. Ill - Technologies (EPA-600/8-80-042c); Vol. IV -
Cost Estimating (EPA-600/8-80-042d); Vol. V - Summary (EPA-600/8-80-042e).

Unregulated Wastestreams—For purposes of the combined wastestream formula, a wastestream that is
not regulated by a national categorical Pretreatment Standard and is not considered a dilute wastestream.

Upset—An exceptional incident in which unintentional and temporary noncompliance with the
categorical Pretreatment Standards occurs because of factors beyond the reasonable control of the
Industrial User. An upset does not include noncompliance to the extent caused by operational error,
improperly designed treatment facilities, inadequate treatment facilities, lack of preventive maintenance,
or careless or improper operation [40 CFR 403.16(a)].
September 2012                                                                               B-7

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APPENDIX B                                                           Glossary of Terms
                            This page intentionally left blank.
B-8                                                                        September 2012

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     APPENDIX C
Sample Permit Application Form

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                                      Disclaimer
The U.S. Environmental Protection Agency (EPA), Office of Wastewater Management, Water
Permits Division has prepared this sample permit application as a guide for Control Authorities
in developing a permit application form. The Control Authority is not required to use this permit
application form  and may develop either its own form or choose to modify the sample form to
reflect specific conditions at the publicly owned treatment works (POTW) and requirements of
state and local law. For the Control Authority choosing to use a modified version of the sample
application, the EPA sample permit application provides, as an aid to the Control Authority,
blank spaces or brackets throughout the application. These identify areas in which additions and
changes to the sample application might be needed to address the circumstances at a POTW. The
sample has additional bracketed notes that further explain issues the Control Authority might
wish to consider when developing its permit application form.

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APPENDIX C
                                                            Sample Permit Application Form
                                          APPENDIX C.
                            SAMPLE PERMIT APPLICATION FORM

Note: Please read all attached instructions prior to completing this application.
SECTION A - GENERAL INFORMATION
a. Operator Name:
b. Is the operator identified in
La., the owner of the facility?
Yes No
      Facility Name:
          If no, provide the name and address of the operator and submit a copy of the contract and/or other
          documents indicating the operator's scope of responsibility for the facility.
      Facility Address:
      Street:
      City:
                                                 State:
  Zip:
 3.
Business Mailing Address:
Street or P.O. Box:
      City:
                                                 State:
  Zip:
      Designated signatory authority of the facility:
      [Attach similar information for each authorized representative]
      Name:
      Title:
      Address:
      City:
                                                 State:
  Zip:
      Phone #
      Designated facility contact:
      Name:
      Title:
      Phone #
 6.
[Note: This question might not be applicable to allpretreatmentprograms.
The following question is only applicable to those programs implementing this
optional streamlining provision.]
Do you wish to be considered for regulation under a general permit, if the
Control Authority considers it to be appropriate? If so, you must file a request
for coverage under a general control mechanism.
    [POTW's should include list of available general control mechanisms]
Yes
No
September 2012
                                                                                         C-l

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APPENDIX C
                                                             Sample Permit Application Form
SECTION B - BUSINESS ACTIVITY
 1.
If your facility employs or will be employing processes in any of the industrial categories or business
activities listed below (regardless of whether they generate wastewater, waste sludge, or hazardous wastes),
place a check beside the category of business activity (check all that apply).	
      Industrial Categories
         Aluminum Forming
         Asbestos Manufacturing
         Battery Manufacturing
         Can Making
         Canned and Preserved Fruit and Vegetable Processing
         Canned and Preserved Seafood
         Carbon Black Manufacturing
         Cement Manufacturing
         Centralized Waste Treatment
         Coal Mining
         Coil Coating
         Concentrated Animal Feeding Operation and Feedlots
         Concentration Aquatic Animal Production
         Copper Forming
         Dairy Product Processing or Manufacturing
         Electric and Electronic Components Manufacturing
         Electroplating
         Explosives Manufacturing
         Fertilizer Manufacturing
         Ferroalloy Manufacturing
         Foundries (Metal Molding and Casting)
         Glass Manufacturing
         Grain Mills
         Gum and Wood Chemicals Manufacturing
         Hospital
         Ink Formulation
         Inorganic Chemicals
         Iron and Steel
         Landfill
         Leather Tanning and Finishing
         Meat and Poultry Products
         Metal Finishing
         Metal Products and Machinery
         Mineral Mining and Processing
         Nonferrous Metals Forming
         Nonferrous Metals Manufacturing
         Oil and Gas Extraction
         Ore Mining
         Organic Chemicals Manufacturing
         Paint and Ink Formulating
C-2
                                                                                 September 2012

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APPENDIX C
                                                             Sample Permit Application Form
         Paving and Roofing Manufacturing
         Pesticides Chemical Manufacturing, Formulating, and/or Packaging
         Petroleum Refining
         Pharmaceutical Manufacturing
         Phosphate Manufacturing
         Photographic Processing
         Plastic and Synthetic Materials Manufacturing
         Porcelain Enameling
         Printed Circuit Board Manufacturing
         Pulp, Paper, and Fiberboard Manufacturing
         Rubber Manufacturing
         Soap and Detergent Manufacturing
         Steam Electric Power Generating
         Sugar Processing
         Textile Mills
         Timber Products
         Transportation Equipment Cleaning
         Waste Combustors
         Other (Describe)
 2.
Give a brief description of all operations at this facility including primary products or services (attach
additional sheets if necessary):	
      Indicate applicable North American Industry Classification System (NAICS) for all processes:
      a.
      b.
      c.
      d.
      e.
      Production Rate
                 Product
                                      Past Calendar Year
                                      Amounts per Day
                                         (Daily Units)
                                         Average
                                                  Maximum
Estimate This Calendar Year
     Amounts Per Day
       (Daily Units)
 Average
Maximum
      For production-based categorical lUs only:
      What is the facility's long-term average categorical production rate for the past 5 years?
September 2012
                                                                                           C-3

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APPENDIX C
Sample Permit Application Form
SECTION C - WATER SUPPLY
1.
2.
3.
4.
Water Sources: (Check as many as are applicable.)




Private Well
Surface Water
Municipal Water Utility (Specify City):
Other (Specify):
Name (as listed on the water bill):
Street:
City: State:
Zip:
Water service account number:
List average water usage on premises: [new facilities may estimate]
Type
a.
b.
c.
d.
e.
f.
g-
h.
i.
j-
k.
Contact cooling water
Non-contact cooling water
Boiler feeding
Process
Sanitary
Air pollution control
Contained in product
Plant and equipment washdown
Irrigation and lawn watering
Other
Total of a through j
Average Water Usage
(GPD)











Indicate Estimated (E) or
Measured (M)











C-4
               September 2012

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APPENDIX C
                                                       Sample Permit Application Form
SECTION D - SEWER INFORMATION
     a.  For an existing business:
     Is the building presently connected to the public sanitary sewer system?
     Yes
     Sanitary sewer account number-
     No
     Have you applied for a sanitary sewer hookup?
Yes
No
     b.  For a new business:
       (i).
Will you be occupying an existing vacant building
(such as in an industrial park)?
Yes
No
      (ii).
Have you applied for a building permit if a new facility will be
constructed?
Yes
No
      (iii).
Will you be connected to the public sanitary sewer system?
Yes
No
     List size, descriptive location, and flow of each discharge pipe or discharge point which connects to the City's
     sewer system. (If more than three, attach additional information on another sheet.)
                    Descriptive Location of Sewer
                    Connection or Discharge Point
                                                                Average Flow
                                                                   (GPD)
September 2012
                                                                                     C-5

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APPENDIX C
Sample Permit Application Form
SECTION E - WASTEWATER DISCHARGE INFORMATION
1.
2.
3.
Does (or will) this facility discharge any wastewater other than from restrooms to the City sewer?
Yes If the answer to this question is "yes," complete the remainder of the application.
No If the answer to this question is "no," skip to Section I.
Provide the following information on wastewater flow rate. [New facilities may estimate.]
a. Hours/day discharged (e.g., 8 hours/day)
M T W TH F SAT SUN
b. Hours of discharge (e.g., 9 a.m. to 5 p.m.)
M T W TH F SAT SUN
c. Peak hourly flow rate
d. Maximum daily flow rate
e. Annual daily average
(GPD)
(GPD)
(GPD)
If batch discharge occurs or will occur, indicate: [New facilities may estimate.]
a. Number of batch discharges
b. Average discharge per batch
c. Time of batch discharges
d. Flow rate
e. Percent of total discharge
(per day)
(GPD)
(days of week) (hours of day)
(gallons per minute)

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              September 2012

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APPENDIX C                                                      Sample Permit Application Form
 4.
Schematic Flow Diagram - For each major activity in which wastewater is or will be generated, draw a
diagram of the flow of materials, products, water, and wastewater from the start of the activity to its
completion, showing all unit processes. Indicate which processes use water and which generate wastestreams.
Include the average daily volume and maximum daily volume of each wastestream [new facilities may
estimate]. If estimates are used for flow data this must be indicated. Number each unit process having
wastewater discharges to the community sewer. Use these numbers when showing this unit processes in the
building layout in Section H.
September 2012                                                                                   C-7

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APPENDIX C
                                                                Sample Permit Application Form
 5.
List average wastewater discharge, maximum discharge, and type of discharge (batch, continuous, or both), for
each plant process. Include the reference number from the process schematic that corresponds to each process.
[New faculties should provide estimates for each discharge].

6.
7.
No.










Process Description










Average Flow
(GPD)










Maximum
Flow (GPD)










Type of Discharge
(batch, continuous, none)










List the average wastewater discharge, maximum discharge, and type of discharge (batch, continuous, or both)
for each of nonprocess wastewater flows (i.e., cooling tower blowdown, boiler blowdown)
No.







Nonprocess Description







Average
Flow (GPD)







Maximum
Flow (GPD)







Type of Discharge
(bath, continuous, none)







Do you have, or plan to have, automatic sampling equipment or continuous wastewater flow equipment at this
facility?



„ Flow Metering
Sampling Equipment
T11 j Flow Metering
Planned
Sampling Equipment
Yes




No N/A




If so, please indicate the present or future location of this equipment on the sewer schematic and describe the
equipment below:







     Are any process changes or expansions planned during the next three years that could alter wastewater
     volumes or characteristics? Consider production processes as well as air or water pollution treatment
     processes that may affect the discharge.



Yes
No, (skip to Question 10)

C-8
                                                                                   September 2012

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APPENDIX C                                                       Sample Permit Application Form
 9.
Briefly describe these changes and their effects on the wastewater volume and characteristics: (attach
additional sheets if needed).
10.
11.
Are any recycling or reclamation system in use or planned?



Yes
No (skip to Question 12)
Briefly describe recovery process, substance recovered, percent recovered, and the concentration in the spent
solution. Submit a flow diagram for each process (attach additional sheets if needed):	
12.
[Note: This question might not be applicable to allpretreatment        \ Yes	| No
programs. The following question is only applicable to those
programs implementing this optional streamlining provision.]
As allowed at 40 CFR 403.6(c)(5) when the limits in a categorical
Pretreatment Standard are expressed only in terms of pollutant
concentration,  an Industrial User may request that the Control Authority
convert the limits to equivalent mass limits. Do you anticipate that you
will make this  request?
13.
[Note: This question might not be applicable to all pretreatment        \ Yes	|  No
programs. The following question is only applicable to those
programs implementing this optional streamlining provision.]
As allowed at 40 CFR 403.6(c)(6), an Industrial User subject to the
mass limits of categorical Pretreatment Standards to 40 CFR Parts 414,
419, and/or 455 may request that the Control Authority convert the
mass limits to equivalent concentration limits.  Do you anticipate that
you will make this request?
September 2012                                                                                     C-9

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APPENDIX C
Sample Permit Application Form
SECTION F - CHARACTERISTICS OF DISCHARGE

All current industrial users are required to submit monitoring data on all pollutants that are regulated
specific to each process. Use the tables provided in this section to report the analytical results. Do not
leave blanks. For all other (nonregulated) pollutants, indicate whether the pollutant is known to be
present (P), suspected to be present (S), or known not to be present (O), by placing the appropriate letter
in the column for average  reported values. Indicate on either the top of each table, or on a separate sheet,
if necessary, the sample location and type of analysis used. Be sure methods conform to 40 CFR Part 136;
if they do not, indicate what method was used.

New dischargers should use the table to indicate what pollutants will be present or are suspected to be
present in proposed wastestreams by placing a P (expected to be present), S (may be present), or O (will
not be present) under the average reported values.
Pollutant
Acenaphthene
Acrolein
Acrylonitrile
Benzene
Benzidine
Carbon Tetrachloride
Chlorobenzene
1 ,2,4-Trichlorobenzene
Hexachlorobenzene
1,2-Dichloroethane
1,1,1 -Trichloroethane
1 , 1 ,2,2,-Tetrachloroethane
Chloroethane
Bis(2-Chloroethyl)ether
17 Bis (chloro methyl) ether
2-Chloroethyl vinyl Ether
2-Chloronaphthalene
2,4,6-Trichlorophenol
Parachlorometa cresol
Chloroform
2-Chlorophenol
1,2-Dichlorobenzene
1 ,3-Dichlorobenzene
1 ,4-Dichlorobenzene
3,3'-Dichlorobenzidine
1,1-Dichloroethylene
1 ,2-Trans-Dichloroethylene
2,4-Dichlorophenol
1,2-Dichloropropane
1 ,2-Dichloropropylene
1,3-Dichloropropylene
2,4-Dimethylphenol
2,4-Dinitrotoluene
2,6-Dinitrotoluene
1 ,2-Diphenylhydrazine
Ethylbenzene
Fluoranthene
Detection
Level Used





































Maximum Daily
Value
Cone.





































Mass





































Average of
Analyses
Cone.





































Mass





































Number
of
Analyses





































Units
Cone.





































Mass





































C-10
                  September 2012

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APPENDIX C
Sample Permit Application Form
Pollutant
4-Chlorophenyl Phenyl Ether
4-Bromophenyl Phenyl Ether
Bis(2-Chloroethyl)ether
Bis(2-chloroethoxy)methane
Methylene Chloride
Methyl Chloride
Bromoform
Dichlorobromomethane
Chlorodibromomethane
Hexachlorobutadiene
Hexachlorocyclopentadiene
Isophorone
Naphthalene
Nitrobenzene
Nitrophenol
2-Nitrophenol
4-Nitrophenol
2,4-Dinitrophenol
4,6-Dinitro-O-Cresol
N-Nitrosodimethylamine
N-Nitrosodiphenylamine
N-Nitrosodi-N-Propylamine
Pentachlorophenol
Phenol
Bis(2-ethylyhexyl)phthalate
Butylbenzyl Phthalate
Di-N-Butyl Phthalate
Di-N-Octyl Phthalate
Diethyl Phthalate
Dimethyl Phthalate
Benzo(a)anthracene
Benzo(a)pyrene
3,4-Benzofluoranthene
Benzo(k)fluoranthene
Chrysene
Acenaphthylene
Anthracene
Benzo(ghi)perylene
Fluorene
Phenanthrene
Dibenzo(a,h)anthracene
lndeno(1 ,2,3-cd)pyrene
Pyrene
Tetrachloroethylene
Toluene
Trichloroethylene
Vinyl Chloride
Aldrin
Dieldrin
Chlordane
4,4'-DDT
4,4'-DDE
Detection
Level Used




















































Maximum Daily
Value
Cone.




















































Mass




















































Average of
Analyses
Cone.




















































Mass




















































Number
of
Analyses




















































Units
Cone.




















































Mass




















































September 2012
                        C-ll

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APPENDIX C
Sample Permit Application Form
Pollutant
4,4'-DDD
Alpha-Endosulfan
Beta-Endosulfan
Endosulfan Sulfate
Endrin
Endrin Aldehyde
Heptachlor
Heptachlor Epoxide
Alpha-BHC
Beta-BHC
Gamma-BHC
Delta-BHC
PCB-1242
PCB-1254
PCB-1221
PCB-1232
PCB-1248
PCB-1260
PCB-1016
Toxaphene
(TCDD)
Asbestos
Acidity
Alkalinity
Bacteria
BOD3
Chloride
Chlorine
Fluoride
Hardness
Magnesium
NH3-N
Oil and Grease
TSS
TOC
Kjeldahl N
Nitrate N
Nitrite N
Organic N
Orthophosphate P
Phosphorous
Sodium
Specific Conductivity
Sulfate (SO4)
Sulfide (S)
Sulfite (SO3)
Antimony
Arsenic
Barium
Beryllium
Cadmium
Chromium
Detection
Level Used




















































Maximum Daily
Value
Cone.




















































Mass




















































Average of
Analyses
Cone.




















































Mass




















































Number
of
Analyses




















































Units
Cone.




















































Mass




















































C-12
                September 2012

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APPENDIX C
Sample Permit Application Form
Pollutant
Copper
Cyanide
Lead
Mercury
Nickel
Selenium
Silver
Thallium
Zinc
Any additional pollutants
regulated by state or local
laws:







Detection
Level Used

















Maximum Daily
Value
Cone.

















Mass

















Average of
Analyses
Cone.

















Mass

















Number
of
Analyses

















Units
Cone.

















Mass

















[Note: This question might not be applicable to all pretreatment programs. The Yes No
following question is only applicable to those programs implementing this optional
streamlining provision.]
Do you anticipate requesting a monitoring waiver for regulated pollutants which you
believe to not be present in your process wastestream(s)?
 [Note: This question might not be applicable to all pretreatment programs. The
following question is only applicable to those programs implementing this optional
 streamlining provision.]
 In order to request a monitoring waiver for pollutants not present, you must provide
 data from at least one sampling of your facility's wastewater prior to any treatment
 present at your facility that is representative of all wastewater from all processes. The
 request of a monitoring waiver must be signed in accordance with 40 CFR 403.12(1),
 and include the certification statement in 40 CFR 403.6(a)(2)(ii). Do you wish to
 make this request?
          Yes
No
September 2012
                             C-13

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APPENDIX C
                                                              Sample Permit Application Form
SECTION G - TREATMENT
      Is any form of wastewater treatment (see list below) practiced at this facility?
          Yes
          No
 2.
Is any form of wastewater treatment (or changes to an existing wastewater treatment) planned for this facility
within the next three years?
          Yes, describe:
          No
      Treatment devices or processes used or proposed for treating wastewater or sludge (check as many as
      appropriate).
          Air flotation
          Centrifuge
          Chemical precipitation
          Chlorination
          Cyclone
          Filtration
          Flow equalization
          Grease or oil separation, type:
          Grease trap
          Grinding filter
          Grit removal
          Ion exchange
          Neutralization, pH correction
          Ozonation
          Reverse osmosis
          Screen
          Sedimentation
          Septic tank
          Solvent separation
          Spill protection
          Sump
          Rainwater diversion or storage
          Biological treatment, type:
          Other chemical treatment, type:
          Other physical treatment, type:
          Other, type:
 4.
Is process wastewater mixed with nonprocess wastewater prior to the sampling point?
          Yes, describe:
          No
C-14
                                                                                  September 2012

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APPENDIX C
                                                              Sample Permit Application Form
 4.
Description
Describe the pollutant loadings, flow rates, design capacity, physical size, and operating procedures of each
treatment facility checked above.
 5.
Attach a process flow diagram for each existing treatment system. Include process equipment, by-products,
by-product disposal method, waste and by-product volumes, and design and operating conditions.
 6.
Describe any changes in treatment or disposal methods planned or under construction for the wastewater
discharge to the sanitary sewer. Please include estimated completion dates.
      Do you have a treatment operator?
                                                                  Yes
                                                                               No
      (If Yes)
              Name:
                     Title:
                     Phone:
                     Full time (specify hours):
                     Part time (specify hours):
      Do you have a manual on the correct operation of your
      treatment equipment?	
                                                                  Yes
                                                                               No
      Do you have written maintenance schedule for your treatment
      equipment?
                                                                  Yes
                                                                               No
September 2012
                                                                                           C-15

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APPENDIX C
                                                            Sample Permit Application Form
SECTION H - FACILITY OPERATIONAL CHARACTERISTICS
     Shift Information
     Work days
                                      Mon
                                          Tues
                  Wed
                  Thur
                    Fri
                      Sat
              Sun
     Shifts per work day
     Employees per shift
                           2nc
     Shift start and end times
                                -,nd
                                3rd
 2.
Indicate whether the business activity is:
          Continuous through the year, or
          Seasonal (circle the months of the year during which the business occurs):
                      M
                          A
M
J
J
A
O
N
D
     Comments:
 3.
Indicate whether the facility discharge is:
          Continuous through the year, or
          Seasonal (circle the months of the year during which the business occurs):
                      M
                                 M
        J
        J
                       O
                       N
                D
     Comments:
 4.
Does operation shut down for vacation, maintenance, or other reasons?
         Yes, indicate reasons and period when shutdown occurs
         No
 5.
List types and amounts (mass or volume per day) of raw materials used or planned for use (attach list if
needed):
C-16
                                                                              September 2012

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APPENDIX C
                                                               Sample Permit Application Form
 6.
List types and quantity of chemicals used or planned for use (attach list if needed). Include copies of Material
Safety Data Sheets (if available) for all chemicals identified.
                         Chemical
                                                                      Quantity
 7.
Building Layout - Draw to scale the location of each building on the premises. Show map orientation and
location of all water meters, storm drains, numbered unit processes (from schematic flow diagram), public
sewers, and each facility sewer line connected to the public sewers. Number each sewer and show existing
and proposed sampling locations.

A blueprint or drawing of the facilities showing the above items may be attached in lieu of submitting a
drawing on this sheet.	
September 2012
                                                                                             C-17

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APPENDIX C
                                                               Sample Permit Application Form
SECTION I - SPILL PREVENTION
1.
Do you have chemical storage containers, bins, or ponds at your facility?
Yes
No
2.
Do you have floor drains in your manufacturing
or chemical storag
e area(s)?
Yes
No
     If yes, please give a description of their location, contents, size, type, and frequency and method of cleaning.
     Also indicate in a diagram or comment on the proximity of these containers to a sewer or storm drain. Indicate
     if buried metal containers have cathodic protection.
     If yes where do they discharge to?
     If you have chemical storage containers, bins, or ponds in manufacturing area, could an accidental spill lead to
     a discharge to (check all that apply):







an onsite disposal system
public sanitary sewer system (e.g.,
through a floor drain)
storm drain
to ground
other, specify:
not applicable, no possible dischar
ge to any of the above routes
     Do you have an accidental spill prevention plan (ASPP) to prevent spills of chemicals or slug discharges from
     entering the Control Authority's collection systems?




Yes - [Please enclose a copy with the application.]
No
N/A, not applicable since there are no floor drains and/or the facility discharge(s) only domestic wastes.
 5.
Please describe below any previous spill events and remedial measures taken to prevent their reoccurrence.
C-18
                                                                                  September 2012

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APPENDIX C
                                                               Sample Permit Application Form
SECTION J - BEST MANAGEMENT PRACTICES
     Describe the types of best management practices (BMPs) you employ to prevent pollutants from entering a
     facility's wastestream or from reaching a discharge point.  BMPs are management and operational procedures
     such as schedules of activities, prohibitions of practices, maintenance procedures, and other management
     practices to implement the general and specific prohibitions listed in 40 CFR 403.5(a)(l) and (b). BMPs also
     include treatment requirements, operating procedures, and practices to control plant site runoff, spillage or
     leaks, sludge or waste disposal, or drainage from raw materials storage.
 2.
Do you have the potential for a slug discharge to the sewer system? A slug discharge
is any discharge of a non-routine episodic nature, including but not limited to an
accidental spill or a non-customary batch discharge, which has a reasonable potential
to cause interference or pass through, or in any other way violate the POTW's
regulations, local limits or permit conditions [40 CFR 403.8(f)(2)(v).
Yes
No
     Please describe the type of the potential slug discharge, including quality and content.
     Please describe current mechanisms for prevention of slug discharges.
     Please describe where and how raw materials are stored.
September 2012
                                                                                            C-19

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APPENDIX C
Sample Permit Application Form
SECTION K - NON-DISCHARGED WASTES
 1.   Are any waste liquids or sludges generated and not disposed of in the sanitary sewer system?

Yes, please describe below
No, skip the remainder of Section J
Waste Generated




Quantity (per year)




Disposal Method




     Indicate which wastes identified above are disposed of at an off-site treatment facility and which are disposed
     of on-site.	

     If any of your wastes are sent to an off-site centralized waste treatment facility, identify the waste and the
     facility.

     If an outside firm removes any of the above checked wastes, state the name(s) and address(es) of all waste
     haulers:

a.



Permit No. (if applicable):
b.



Permit No. (if applicable):
5.   Have you been issued any Federal, State, or local environmental permits?


Yes
No
     If yes, please list the permit(s):
6.   Describe where and how waste liquids and sludges are stored.
C-20
                   September 2012

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APPENDIX C
                                                               Sample Permit Application Form
SECTION L-AUTHORIZED SIGNATURES
Compliance certification:
 1.
Are all applicable Federal, State, or local pretreatment standards and requirements being met on a consistent
basis?
          Yes
          No
          Not yet discharging
2.
If No:
     a.
     What additional operations and maintenance procedures are being considered to bring the facility into
     compliance? Also, list additional treatment technology or practice being considered in order to bring the
     facility into compliance.
     b.
     Provide a schedule for bringing the facility into compliance. Specify major events planned along with
     reasonable completion dates. Note +that if the Control Authority issues a permit to the applicant, it may
     establish a schedule for compliance different from the one submitted by the facility.
                    Milestone Activity
                                                                 Completion Date
September 2012
                                                                                            C-21

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APPENDIX C                                                   Sample Permit Application Form


Authorized Representative Statement
       I certify under penalty of law that this document and all attachments were prepared under my
direction or supervision in accordance with a system designed to assure that qualified personnel properly
gather and evaluate the information submitted. Based on my inquiry of the person or persons who manage
the system, or those persons directly responsible for gathering the information, the information submitted
is, to the best of my knowledge and belief, true, accurate, and complete. I am aware that there are
significant penalties for submitting false information, including the possibility of fine and imprisonment
for knowing violations.
Name(s)                                   Title
Signature                                      Date       Phone
C-22                                                                             September 2012

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APPENDIX C                                                   Sample Permit Application Form
INSTRUCTIONS TO FILL OUT WASTEWATER DISCHARGE PERMIT APPLICATION

The permit application must be completed through question E. 1. If you answer "no" to question E. 1., you
may skip to Section I. Otherwise, if a question is not applicable, indicate so on the form. Instructions to
some questions on the permit application are given below.

SECTION A - INSTRUCTIONS (GENERAL INFORMATION)

1.   Enter the facility's official or legal name. Do not use a colloquial name.

    a.  Operator Name: Give the name, as it is legally referred to, of the person, firm, public
       organization, or any other entity which operates the facility described in this application. This
       may or may not be the same name as the facility.

    b.  Indicate whether the entity which operates the facility also owns it by marking the appropriate
       box:

       (i)  If the response is "No," clearly indicate the operator's name and address and submit a copy of
           the contract and/or other documents indicating the operator's scope of responsibility for the
           facility.

2.   Provide the physical location of the facility that is applying for a discharge permit.

3.   Provide the mailing address where correspondence from the Control Authority may be sent.

4.   Provide all the names of the authorized signatories for this facility for the purposes of signing all
    reports. The designated signatory is defined as:

    a.  A responsible corporate officer, if the Industrial User submitting the reports is a corporation. For
       the purpose of this paragraph, a responsible corporate officer means:

       (i)  a president, secretary, treasurer, or vice-president of the corporation in charge of a principal
           business function, or any other person who performs similar policy- or decision-making
           functions for the corporation, or

       (ii) the manager of one or more manufacturing, production, or operating facilities, provided, the
           manager is authorized to make management decisions which govern the operation of the
           regulated facility including having the explicit or implicit duty of making major capital
           investment recommendations, and initiate and direct other comprehensive measures to assure
           long-term environmental compliance with environmental laws and regulations; can ensure
           that the necessary systems are established or actions taken to gather complete and accurate
           information for control mechanism requirements; and where authority to sign documents has
           been assigned or delegated to the manager in accordance with corporate procedures.

    b.  A general partner or proprietor if the Industrial User submitting the reports is a partnership or sole
       proprietorship respectively.

    c.  The principal executive officer or director having responsibility for the overall operation of the
       discharging facility if the Industrial User submitting the reports is a Federal, State, or local
       governmental entity, or their agents.

September 2012                                                                             C-23

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APPENDIX C                                                    Sample Permit Application Form
    d.  A duly authorized representative of the individual designated in paragraph (a), (b), or (c) of this
       section if:

       (i)  the authorization is made in writing by the individual described in paragraph (a), (b), or (c);

       (ii) the authorization specifies either an individual or 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

       (iii)the written authorization is submitted to the City.

    e.  If an authorization under paragraph (d) of this section 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 paragraph (d) of this section must be submitted to the City prior to or together
       with any reports to be signed by an authorized representative.

5.   Provide the name of a person who is thoroughly familiar with the facts reported on this form and who
    can be contacted by the Control Authority (e.g., the plant manager).

6.   [Note: This question might not be applicable to all pretreatment programs.  The following question
    is only applicable to those programs implementing this optional streamlining provision.]

    Indicate if the facility would like to be considered for regulation under a general permit.

SECTION  B - INSTRUCTIONS (BUSINESS OPERATIONS)

1.   Check off all operations that occur or will occur at your facility. If you have any questions regarding
    how to categorize your business activity, contact the Control Authority for technical guidance.

2.   Provide a brief narrative description of all operations at this  facility.

3.   For all processes found on the premises, indicate the NAICS (North America Industry Classification
    System) code which replaces the Standard Industrial Classification (SIC) system. To determine the
    NAICS code for a facility see North American Industry Classification System—United States, 2002
    which includes definitions for each industry, tables showing correspondence between 2002 NAICS
    and 1997 NAICS for codes  that changed, and a comprehensive index—features also available on this
    web site. To order the 1400-page 2002Manual, in print, call NTIS at (800) 553-6847 or (703) 605-
    6000, or check  the NTIS web  site. The 1250-page 1997Manual, showing correspondence between
    1997 NAICS and 1987 SIC, is also available. The 2002 and  1997 versions of NAICS are available on
    CD-ROMs, which can be ordered at NTIS. See http://www.census.gov/epcd/www/naics.html which
    lists NAICS codes and definitions for each industry.

 4.  List the types of products, giving the common or brand name and the proper or scientific name. Enter
    from your records the average and maximum  amounts produced daily for each operation for the
    previous calendar year, and the estimated total daily production for this calendar year. Be sure to
    specify the daily units of production. Attach additional pages as necessary.

5.   Provide the facility's long-term average production value for the past 5 years.

C-24                                                                             September 2012

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APPENDIX C                                                Sample Permit Application Form
SECTION C - INSTRUCTION (WATER SUPPLY)

4.  Provide daily average water usage within the facility. Contact cooling water is cooling water that
   during the process comes into contact with process materials, thereby becoming contaminated. Non-
   contact cooling water does not come into contact with process materials. Sanitary water includes only
   water used in restrooms. Plant and equipment washdown includes floor washdown. If sanitary flow is
   not metered, provide an estimate based on 15 gallons per day (gpd) for each employee.
September 2012                                                                          C-25

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APPENDIX C
Sample Permit Application Form
SECTION E - INSTRUCTION (WASTEWATER DISCHARGE INFORMATION)

1.  If you answer "no" to this question, skip to Section I, otherwise complete the remainder of the
   application.

4.  A schematic flow diagram is required to be completed and certified for accuracy by a State registered
   professional engineer. Assign a sequential reference number to each process starting with No. 1. An
   example of a drawing is shown below in Figure  1. To determine your average daily volume and
   maximum daily volume of wastewater flow, you may have to read water meters, sewer meters, or
   make estimates of volumes that are not directly measurable.
                           Figure 1. Schematic Flow Diagram
Raw Materials
1 0,000 GPD
i ,
i i
Fermentation



Solid Was e f












Blue Rver
900.000 GPD Mun C|pa| Blue
; Water Supply River
1 I 10 000 GPD

55.000 1,000
„„,, ,,„„ Formula on
GPD, Product Lossv Chemical GPDk and »„••..•
	 k k r ii 	 ^ Administration
r Recovery r byiithews, f Packag ng
5-000 Operatons
GPD
^ 445,000 GPD Spent Broth 6'°°° GP° _ |
>r 29.000 GPD 5.000 GPD c .,
^ r Sanitary
to POTW
10-°°° I Neutraizaon J >' 50,000 GPD
GPD " Tank "
Non-Contact
Cooing 100,000 GPD
836.000 GPD
Equalizaton |Ol f Prmary ^ Aeration f Secondary \ ^ 1 00.000 GPD ^

® SAMPLE POINTS
w 1 INFLUENT
002 * 2 EFFLUENT
Stormwater Max 20,000 GPD
	 k

Blue River Power Boiler Slowdown ^
20,000 GPD House 20.000 GPD *
^^^^^^_ 	 Schematic of Water Flow
I \ Acme Drug, Inc.
'••\ '1""."* ' ' City' County, State
*«n^l«**

C-26
                 September 2012

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APPENDIX C                                                   Sample Permit Application Form
5.  Users should report average daily and daily maximum wastewater flows from each process,
    operation, or activity present at the facility. Categorical users should report average daily and
    maximum daily wastewater flows from every regulated, unregulated, and dilution process. A
    regulated wastestream is defined as wastewater from an industrial process that is regulated for a
    particular pollutant by a categorical pretreatment standard. Unregulated wastestreams are
    wastestreams from an industrial process that are not regulated by a categorical pretreatment standard
    and are not defined as a dilution wastestream. Dilution wastestreams include sanitary wastewater,
    boiler blowdown, noncontact cooling water or blowdown, stormwater streams, demineralized
    backwash streams and process wastestreams from certain industrial subcategories exempted  by EPA
    from categorical pretreatment standards. [For further details see 40 CFR 403.6 (e).]

6.  Users should report the average daily and daily maximum wastewater flows for each nonprocess
    wastewater flows. Nonprocess wastewater flows include, but are not limited to, cooling tower
    blowdown and boiler blowdown.

12. [Note: This question might not be applicable to all pretreatment programs. The following question
    is only applicable to those programs implementing this optional streamlining provision.]

    The facility should indicate whether or not it anticipates requesting for equivalent mass limits.

13. [Note: This question might not be applicable to all pretreatment programs. The following question
    is only applicable to those programs implementing this optional streamlining provision.]

    If the facility is subject to 40 CFR Parts 414, 419, or 455, it should indicate whether or not it
    anticipates requesting for equivalent concentration limits.

SECTION  F -  INSTRUCTION (CHARACTERISTICS OF DISCHARGE)

Provide the results of sampling and analysis identifying the nature and concentration (or mass, if required)
or regulated pollutants in the discharge from each regulated process.  Both daily maximum and average
concentration values (or mass, if required) must be reported. The sample must be representative of daily
operations.

If the User is subject to categorical  effluent limits, the user must take a minimum of one representative
sample to compile the necessary data.  Samples should be taken immediately downstream from
pretreatment facilities if such exists or immediately downstream from the regulated process if no
pretreatment exists. If other wastewaters are mixed with the  regulated wastewater prior to pretreatment,
the user should measure the flows and concentrations. Sampling and analysis must be performed in
accordance with the techniques prescribed in 40 CFR part 136 and amendments thereto. Furthermore, the
date and place, and the methods of analysis must be  submitted with the application.

Historical data may be used if the data provides sufficient information to determine the need for industrial
pretreatment measures.
September 2012                                                                             C-27

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APPENDIX C                                                  Sample Permit Application Form
SECTION H - INSTRUCTION (FACILITY OPERATIONAL CHARACTERISTICS)

2.   Indicate whether the business activity is continuous throughout the year or if it is seasonal. If the
    activity is seasonal, circle the months of the year during which the discharge occurs. Make any
    comments you feel are required to describe the variation in operation of your business activity.

4.   Indicate any shut downs in operation which may occur during the year and indicate the reasons for
    shutdown.

5.   Provide a listing of all primary raw materials used (or planned) in the facility's operations. Indicate
    amount of raw material used in daily units.

6.   Provide a listing of all chemicals used (or planned) in the facility's operations. Indicate the amount
    use of planned in daily units. Avoid the use of trade names of chemicals. If trade names are used, also
    provide chemical compounds. Provide copies of all available material safety data sheets for all
    chemical identified.

7.   A building layout or plant site plan of the premises is required to be completed and certified for
    accuracy by a State registered professional engineer. Approved building plans may be submitted. An
    arrow showing North as well  as the map  scale must be shown. The location of each existing and
    proposed sampling location and facility sewer line must be clearly identified as well as all sanitary
    and wastewater drainage plumbing. Number each unit process discharging wastewater to the public
    sewer. Use the same number system shown in Figure 2, the schematic flow diagram. An example of
    the drawing required is  shown below.
C-28                                                                            September 2012

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APPENDIX C
                                               Sample Permit Application Form
                                    Figure 2. Building Layout
                                        Anybody's Meat Co.
                                          (Scale: 1" = 100')
               PROPERTY LINE-
                                                               SAMPLING
                                                           MANHOLE NO. 1
                                        6" Side Sewer No. 1
                            ©
                   1
                                               ©
                             L
                                                I	
                                                                 3" WATER
                                                                   METER
                                                              OFFICE
                                                                     anitary waste only)
                                                                      Side Sewer No. 2
PARKINC

[



1

1

2" WATER -x '
METER gX
1





              TO STORM
               SEWER
                                                             SEVENTH AVE
               o
PROCESS NUMBER

MAN HOLE

WATER METER
                                          SIDE SEWER
—  PUBLIC SEWER
                                 	WATER LINE
September 2012
                                                                            C-29

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APPENDIX C                                                Sample Permit Application Form
SECTION I - INSTRUCTION (SPILL PREVENTION)

5.  Describe how the spill occurred, what was spilled, when the spill happened, where it occurred, how
   much was spilled, and whether or not the spill reached the sewer. Also explain what measures have
   been taken to prevent a reoccurrence or what measures have been taken to limit damage if another
   spill occurs.

SECTION J - INSTRUCTIONS (NON-DISCHARGED WASTES)

1.  For wastes not discharged to the Control Authority's sewer, indicate types of waste generated,
   amount generated, the way in which the waste is disposed (e.g., incinerated, hauled, etc.), and the
   location of disposal.

2.  Onsite  disposal system could be a septic system, lagoon, holding pond (evaporative-type), etc.

5.  Types of permits could be: air, hazardous waste, underground injection, solid waste, NPDES (for
   discharges to surface water), etc.

SECTION K - INSTRUCTIONS (AUTHORIZED SIGNATURES)

See instructions for question 4 in Section A, for a definition of an authorized representative.
C-30                                                                        September 2012

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   APPENDIX D
Sample Fact Sheet Template

-------
                                      Disclaimer
The U.S. Environmental Protection Agency (EPA), Office of Wastewater Management, Water
Permits Division has prepared this sample fact sheet template for use by the Control Authority as
a guide to developing its own fact sheets for use in the permitting process. The Control Authority
may choose to develop its own fact sheet or use a modified version of the EPA fact sheet. If the
Control Authority chooses to model its fact sheet on the sample, the Control Authority will want
to tailor the sample fact sheet to reflect conditions at its publicly owned treatment works
(POTW) and applicable state and local law requirements. As an aid to the Control Authority, the
template  contains blanks or brackets to identify areas that might need modification to reflect
circumstances at the POTW. The sample fact sheet template has additional bracketed notes that
explain issues the Control Authority should consider when developing fact sheets for use in its
permitting process.

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APPENDIX D
                                                     Sample Fact Sheet Template
                                   APPENDIX D.
                           SAMPLE PERMIT FACT SHEET
                                 PERMIT FACT SHEET

[Enter Issuance Date, Renewal Date, or Amendment Date of permit]: [Today's Date]

[Note: The permit writer must modify the permit fact sheet to each specific industrial user
to best suit its needs.]
A.
INDUSTRIAL USER INFORMATION
[Name of Facility]
[Facility Location Address]
[City, Zip Code]

[Contact Person Name], [Title]
[Telephone Number]

[Permit Number]
B.
DESCRIPTION OF FACILITY OPERATIONS
[Name of Facility] is primarily engaged in the manufacturing of [Products] [SIC Code and/or NAICS
Code].

[Describe the process unit operations conducted at the facility]

[Name of Facility] began operations began at the facility in [Date]. [Name of Facility] employs [Number
of employee] personnel and operates [Number of days] per week.
c.
SAMPLE POINT DESCRIPTION/FACILITY FLOW INFORMATION
INDUSTRIAL
WASTEWATER
PERMIT
[Number]
SAMPLE
POINT
[Number]


TOTAL
FLOW PER
OPERATIONAL
DAY (GPD)
TOTAL
[Flow]


[Total
flow]
PROCESS
[Flow]


[Total
flow]
DESCRIPTION
[Describe sample point
location along with
expected pollutants
discharged]


— -


September 2012
                                                                          D-l

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APPENDIX D
Sample Fact Sheet Template
D.
Proct
wast
Thet
galloi
PROCESS UNIT OPERATION/FLOW INFORMATION
;ss wastewater is generated from [describe the process unit operations that generate industrial
ewater].
otal amount of process wastewater generated from the above operations is [Number of gallons]
is per day, based on [Number of operational days] operational days per week.
PERMIT
NUMBER
[Number]
SAMPLE
POINT
[Number]


PROCESS UNIT
OPERATION CODE
[Code]


PROCESS
DESCRIPTION
[Process description with a
list of expected pollutants
discharged]




E.     DILUTION/AUXILIARY OPERATION/FLOW INFORMATION

[Note: The permit writer should select one of the following applicable conditions]:

[For IDs without dilution wastestreams]

There are no dilution wastestreams that combine with process wastewater.

[For IDs with dilution wastestreams]

The dilution wastestreams are generated from [Sources of dilution]. The dilution wastestreams combine
with the wastewater at Sample Point [Sample point number] prior to discharging to the City sewer. The
total dilution flow is [Total dilution flow in gallons]  gallons per day.

[Note to permit writer: If there are dilution wastestreams combined with categorical wastewater
prior to the sampling point, the combined wastestream formula must be used to calculate
alternative categorical limits. Include sample calculations in Section O of the permit fact sheet.]
D-2
              September 2012

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APPENDIX D                                                    Sample Fact Sheet Template
F.     FLOW MEASURING DEVICE

[Note: Flow measuring devices are required in certain circumstances. Please refer to the
Industrial User Permitting Guidance Manual for more information. The permit writer should select
one of the following applicable conditions]:

[For IDs that do not have and are not required to install an effluent flow meter]

[Name of Facility] does not have an effluent flow meter and is not required to install or maintain an
effluent flow meter.

[For IDs that do not have but are required to install an effluent flow meter]

[Name of Facility] is required to install or maintain an effluent flow meter.

[For IDs with effluent flow meter]

[Name of Facility] has installed a [type and make of flow meter] flow meter to monitor the wastewater
flow discharge to the sewer system.
G.     PRETREATMENT UNIT OPERATIONS

[Describe the pretreatment system operations conducted at the facility]




H.     POLLUTION PREVENTION / BEST MANAGEMENT PRACTICES

[Name of Facility] has implemented the following pollution prevention practice(s) and/or best
management practice(s).
[Insert a description of all pollution prevention practices and /or best management practices]



I.      RATIONALE FOR MONITORING LOCATIONS / SAMPLING POINTS

[Note: The permit writer should document its rational for monitoring locations and sampling
points. The documentation should include information regarding applicability for an end of
process monitoring, end of pipe monitoring locations, or both (i.e., end of process for determining
categorical Pretreatment Standard compliance and end of pipe for determining local Pretreatment
Standard compliance).]

[Documentation of rationale for monitoring locations / sampling points]
September 2012                                                                         D-3

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APPENDIX D                                                    Sample Fact Sheet Template
J.      RATIONALE FOR MONITORING FREQUENCY REQUIREMENTS

[Note: The permit writer should adequately document the rationale used for establishing the
permittee's monitoring requirements.  In addition, the permit writer should review both the
minimum federal monitoring frequency and the minimum monitoring frequency established by its
approved program before establishing monitoring frequency requirements.

Prior to implementing alternative monitoring frequency options less stringent that the federal
requirement, the permit writer must ensure that the Control Authority has established the  legal
authority within its approved program to implement these options. Alternative monitoring
frequency options include, but are not limited to:

   •   Reduced monitoring (40 CFR 403.12(e)(3))
   •   Monitoring waivers (40 CFR 403.12(e)(2))
   •   Classification of NSCIU (40 CFR 403.3(v)(2))
   •   Monitoring waivers in on the basis of specific categorical Standards]

[Documentation of rationale for monitoring frequency requirements]
K.     RATIONALE FOR REPORTING REQUIREMENTS

[Note: The permit writer should adequately document the rationale used for establishing the
permittee's reporting requirements. In addition, the permit writer should review both the minimum
federal and the minimum reporting frequencies and requirements established by its approved
program before establishing reporting frequencies and requirements.

Prior to implementing alternative reporting options less stringent that the federal requirement, the
permit writer must ensure that the Control Authority has established the legal authority within its
approved program to implement these options. Alternative monitoring frequency options include,
but are not limited to:

   •   TTO certification
   •   Reduced monitoring reporting (40 CFR 403.12(e)(3))
   •   Monitoring waiver reporting (40 CFR 403.12(e)(2))
   .   NSCIU reporting (40 CFR 403.3(v)(2) & 40 CFR 403.12(q))
   •   Specific reporting requirements as listed in specific categorical Standards]

[Document monitoring reporting requirements]


Signatory Requirements

According to 40 CFR 403.12(1), periodic compliance reports must be signed by an authorized facility
representative.  [Name of Facility] has designated the following individuals as authorized facility
representative(s).
Name
[Name]


Title
[Title]


D-4                                                                         September 2012

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APPENDIX D                                                   Sample Fact Sheet Template
L.     RATIONALE FOR SPECIAL CONDITIONS

[Note: The permit writer should describe any special conditions imposed in the permit. Special
conditions can include, but is not limited to special definitions, compliance schedules, equivalent
mass limit requirements, equivalent concentration limit requirements, one time monitoring
requirements, biomonitoring or other toxicity requirements, sludge disposal plans, or additional
monitoring of pollutant that are limited in the permit in response to noncompliance.]

[Documentation of rationale for any special permit conditions.]
M.     RATIONALE FOR EFFLUENT LIMITATIONS

[Note: Permit writer should discuss the basis for classifying the ID. Important information should
include: 1) starting date of operation; 2) process operations; 3) process modification (if any); and
4) process wastewater flow rates. The documentation of the rationale for effluent limits should
also include, but not limited to:

    •   The classification of existing versus new source, or the possibility that a CIU is subject to
       both existing and new source requirements (for CIUS)
    •   Cyanide effluent limits (whether compliance with either cyanide (Total) or cyanide
       (amenable) is more appropriate)
    •   Combined wastestream formula
    •   Production-based limits
    •   Total toxic organic monitoring or toxic organic management plan requirements
    •   Calculation of equivalent limits
    •   Site specific local limits
    •   Special local limit considerations

If alternative limits are established, the permit writer should include any applicable calculations in
Section O of the permit fact sheet.]

[Include the list of the actual effluent limitations included in the permit and Document the rationale
for those effluent limitations.]
N.     RATIONALE FOR SAMPLE TYPE

[The permit writer should document its rationale for requiring composite sampling, grab sampling,
or both. If composite sampling is required, the rationale should include whether flow proportional
or time proportional composite sampling is more appropriate. In addition, the permit writer
should include documentation of whether continuous monitoring is required.]

[Documentation of rationale for sample type.]
September 2012                                                                         D-5

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APPENDIX D
                                                         Sample Fact Sheet Template
O.
EXAMPLE CALCULATIONS
[Note: The permit writer should include the following if the CWF applies due to dilution and/or if an
integrated facility]

The federal categorical pretreatment standards for [Name of Facility] were adjusted using the combined
wastestream formula (CWF).  The steps used to compute the alternative daily maximum and monthly
average limits are as follows:

Step 1:   Reference the combined wastestream formula from 40 CFR 403.6 (e):
      CT =
Zi-.c'/*j
   z:,^
                             FT    F p

                                 FT
               Where:
               CT =  Alternative concentration limit for the pollutant;
               Cj =  Categorical pretreatment standard concentration limit for the pollutant in
regulated stream i;
               FJ =  Average (at least 30 day average) daily flow of regulated stream I;
               FD =  Average daily flow (at least 30-day average) of dilute wastestream(s);
               FT =  Average daily flow (at least 30-day average) through the combined treatment
facility, including regulated, unregulated, and dilute wastestreams;
               N =  Total number of regulated streams.


Step 2:   Calculation of the Alternative Daily Maximum and Monthly Average Limits:

[Include a sample  calculation of an alternative daily maximum and monthly average limit using
appropriate variable values. The permit writer should include a list of all variable used.]
D-6
                                                                       September 2012

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APPENDIX D	Sample Fact Sheet Template



O.     EXAMPLE CALCULATIONS (Continued)

[For calculation equivalent mass limits for concentration limits]

Step 1: Calculate the equivalent mass limit for the daily maximum concentration Standard:

          MDEQ = 8.34 * QAVG * CD

       MDEQ  =      Equivalent daily mass limits, Ibs/day
       8.34   =      Conversation factor
       QAVG  =     Actual Average Daily Flow, million gallons per day [Note to permit writer:  The
                     period of when the flow rate value was determined should be documented]
       CD    =      Daily maximum categorical Pretreatment Standard, milligrams per liter

Step 2: Calculation the equivalent mass limit for the monthly average concentration Standard:

          MMEQ = 8.34 * QAVG * CM

       MMEQ  =      Equivalent monthly mass limits, Ibs/day
       8.34   =      Conversation factor
       QAVG  =      Actual Average Daily Flow, million gallons per day
       CM    =      Monthly average categorical Pretreatment Standard, milligrams per liter


[Include sample calculations of production-based limits, including applicable production values
and flow rates.]


P.     SLUG DISCHARGE EVALUATION

The [Name of POTW]  conducted a slug discharge evaluation of [Name of Facility] on [Date].


[Note: The permit writer should select one of the following applicable conditions:]

[For IDs required to develop and implement a slug discharge control plan]

The [Name of POTW\  has determined that [Name of Facility] is  required to develop and implement a
slug discharge control  plan.

[For IDs that have develop and implement a slug discharge control plan]

The [Name of POTW\  has determined that [Name of Facility] is  required to develop and implement a
slug discharge control  plan.  The plan was submitted to the [Name of POTW\ on [Date]. The plan was
reviewed on [Date] to ensure it contained all of the minimum federal requirements as listed 40 CFR
403.8(f)(2)(vi).

[For IDs not required to develop or implement a slug discharge control plan]

The [Name of POTW\  has determined that [Name of Facility] is  not required to develop and implement a
slug discharge control  plan.
September 2012                                                                          D-7

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APPENDIX D
                  Sample Fact Sheet Template
Prepared By: _



Reviewed By:
_ Date:.



 Date:
D-8
                               September 2012

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          APPENDIX E
Sample Permit Fact Sheet and Industrial User
              Permit

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                                      Disclaimer
The U.S. Environmental Protection Agency (EPA), Office of Wastewater Management, Water
Permits Division has prepared this sample fact sheet and industrial user permit for use as guides
for Control Authorities in developing fact sheets and permits. The Control Authority may choose
to develop its own fact sheet and permit or choose to modify the sample fact sheet and permit to
reflect specific conditions at the publicly owned treatment works (POTW). If the Control
Authority chooses to use a modified version of the sample fact sheet and permit, the EPA sample
fact sheet and permit contains, as an aid to the Control Authority, blank spaces or brackets in a
number of places throughout the fact sheet and permit. These identified areas in which additions
and changes to the sample fact sheet and permit might be needed to address the circumstances at
a POTW and industrial user. Additional bracketed notes further explain issues the Control
Authority might wish to consider when developing its fact sheets and permits.

Some provisions in the sample permit are not strictly required by the General Pretreatment
Regulations (40 CFR Part 403); however, they have been included because they might be useful
in ensuring that the Control Authority is effectively implementing its local pretreatment program.

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APPENDIX E                               Sample Permit Fact Sheet and Industrial User Permit
                                      APPENDIX E.
                             SAMPLE PERMIT FACT SHEET

[Enter Issuance Date, Renewal Date, or Amendment Date of permit]: [Today's date]

[Note:  This sample permit fact sheet was developed to accompany the
sample permit]


A.     INDUSTRIAL USER INFORMATION

[Name of facility]
[Facility location address]
[City, State, ZIP Code]

[Contact person's name], [Title]
[Telephone number]

[Permit number]


B.     DESCRIPTION OF FACILITY OPERATIONS

[Name of facility] is engaged primarily in specialty precious metal plating (silver and gold), NAICS Code
332813. The core operation(s) performed at the facility are gold and silver electroplating. Ancillary
operations include cleaning, grinding, polishing, and tumbling.

The facility has two small electroplating lines. It conducts specialty jewelry plating. Before any
electroplating, all jewelry pieces are cleaned using a mild acid bath;  polished; and, if necessary, ground
and tumbled. The basis materials for plating are zinc alloys, nickel alloys, copper, silver, or brass.

The gold electroplating line consists of three different heated (about 140 degrees Fahrenheit), cyanide-free
gold baths—14K, 18K, and 24K. The pieces to be plated are placed in the desired gold bath for 15 to 30
seconds. The plated pieces are then rinsed in a hot water bath. The hot water rinse bath is in continuous
overflow when in use, and the rinse overflow is discharged to the  POTW. The gold baths are never
discharged to the POTW. When the liquid level of the gold baths drops below a designated point (from
evaporation), the facility adds hot water from the gold rinse tanks to the gold baths to bring the volume back
up to the original level.

The silver electroplating line consists on one cyanide-free silver bath, which is not heated. Pieces are
plated in the silver bath at 15-second intervals. The pieces are checked between plating operations to
ensure that the desired result is achieved. Some pieces might require several repetitive dips. Once a piece
is plated, it is rinsed under running hot water. All the rinse water is discharged to the POTW. The silver bath
is never discharged to the POTW.

[Name of facility] began operations at the facility on October 15,  1985. [Name of facility] employs six
personnel and operates 5 days a week (Monday through Friday),  10 a.m. to 6:30  p.m.
September 2012                                                                          E-l

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APPENDIX E
Sample Permit Fact Sheet and Industrial User Permit
c
SAMPLE POINT DESCRIPTION/FACILITY FLOW INFORMATION
INDUSTRIAL
WASTEWATER
PERMIT
[Number]
SAMPLE
POINT
001
002
TOTAL
FLOW PER
OPERATIONAL DAY
(Qpd)
TOTAL
160gpd
450 gpd
450

Pre-prep
wastewater and
plating rinses

PROCESS
160 gpd
160 gpd
160
DESCRIPTION
Sample point 001 is at the Parshall
flume, which is after the facility's
wastewater treatment system. It is in
the southeast corner of Building A. The
wastewaters discharged through the
sampling point include pre-prep
wastewater (from cleaning, polishing,
and grinding) and plating rinse waters.
Sampling point 001 is considered the
end-of-process sampling point.
Pollutants expected to be present
include cadmium, copper, lead, nickel,
silver, zinc, and gold.
Sample point 002 is at the manhole in
the southwest parking lot. The
wastewater discharged through this
sampling point includes all the
wastewater from sampling point 001 ,
sanitary wastewater from the facility's
bathrooms, and waste water from the
facility's break room. Sampling point
002 is downstream from sampling point
001 . Sampling point 002 is considered
the end-of-pipe sampling point.
Pollutants expected to be present
include cadmium, copper, lead, nickel,
silver, zinc, gold, BOD, TSS, and oil
and grease.


Treatment Sample Point 001 Sample Point 002


^•^ i L >*— *^ ^"
Sanitary
Wastewater



E-2
                                 September 2012

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APPENDIX E
                                   Sample Permit Fact Sheet and Industrial User Permit
c
F
T
b
). PROCESS UNIT OPERATION/FLOW INFORMATION
rocess wastewater is generated from the mild acid cleaning, polishing, grinding, and electroplating rinses
he total amount of process wastewater generated from the above operations is 160 gallons per day (gpd)
ased on 5 operational days per week.
PERMIT
NUMBER
[Number]
SAMPLING
POINT
001
001
001
PROCESS UNIT
OPERATION
CODE
Gold rinse bath
Silver rinse
Prep cleaning
PROCESS
DESCRIPTION
Continuous overflow gold rinse bath (about
90 gpd)
Single hot tap rinse (about 60 gpd)
All prep-cleaning wastewaters from the
cleaning, polishing, and grinding are captured
in a 10-gallon container. The container is
discharged to the wastewater system at the
end of each day.

E.     DILUTION/AUXILIARY OPERATION/FLOW INFORMATION

No dilution wastestreams combine with process wastewater before or at sampling point 001.
F.
FLOW-MEASURING DEVICE
[Name of facility] has installed a parshall flume and an ultrasonic flow transmitter to monitor the
wastewater flow discharged to the sewer system.
G.
PRETREATMENT UNIT OPERATIONS
All the silver rinse wastewater is first pretreated using silver recovery canister systems (two canisters in
series). The effluent from the silver canisters is then discharged into a holding tank (#1 tank) along with the
gold rinse wastewater and prep-cleaning wastewaters. All the wastewater in the holding tank is treated in a
batch process. The pH is measured, and then soda ash is added  manually until the pH is around 10
standard units, at which point a flocculent is added to promote settling. The wastewater is allowed to settle,
and then the treated effluent is siphoned into another holding tank (#2 tank). The pH is adjusted by adding
hydrochloric acid until it is about 6.5-7.5 standard units. Once the pH is lowered to the desired level, the
treated effluent is discharged to the POTW. This treatment is a batch process, and the facility typically
discharges two batches per workweek.

The solids from #1 tank are sent to a filter press. The liquid from the filter press is sent back to #1 tank, and
the filter cake is sent off-site for disposal or recycling.
September 2012
                                                                                 E-3

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APPENDIX E                              Sample Permit Fact Sheet and Industrial User Permit
H.     POLLUTION PREVENTION/BEST MANAGEMENT PRACTICES

[Name of facility] has implemented the following pollution prevention practice(s) and/or best management
practice(s):

The facility has installed two silver recovery canisters in series to pretreat silver-laden waste before it is
discharged to the wastewater treatment system. The exhausted or used canisters are sent off-site for
processing.

In addition, the facility has changed its silver rinse procedures from a continuous overflow rinse to a single-
pass rinse that is in operation only when silver plating rinsing is needed.
I.      RATIONALE FOR MONITORING LOCATIONS/SAMPLING POINTS

Two sets of concentration-based limits apply to this facility's discharge to the [name of Control Authority]
sewerage system: categorical Pretreatment Standards and the [name of Control Authority's local limits.
Sampling point 001 is at the end of the regulated process. Therefore, it qualifies as a representative point
to determine compliance with applicable federal Pretreatment Standards.

[Name of facility] also has a second sampling point, sampling point 002, which is at the end of the pipe
before discharge to the POTW sewer (a different location from sampling point 001). Therefore, sampling
point 002 qualifies as a point to determine compliance with the [name of Control Authority's local limits.
J.     RATIONALE FOR MONITORING FREQUENCY REQUIREMENTS

Rationale for Reduced Monitoring

According to 40 CFR 403.12(e)(3) and the [name of Control Authority's sewer use ordinance section
[SUO section number], the [name of Control Authority] may reduce [name of facility's self-monitoring
requirement to once a year (unless required more frequently in the Pretreatment Standard or by the
Approval Authority). Reduced monitoring for cadmium, copper, nickel, and silver is not granted because of
the basis  materials used in the plating process and plating solutions. The POTW has approved the
permittee's request for reduced lead monitoring. Lead is not expected to be present, even though there
were instances of minor lead excursions. Such minor lead excursions did not cause the permittee to be in
significant noncompliance with the categorical Pretreatment Standards for lead.

[Name of facility's categorical wastewater flow does not exceed any of the following:

    5,000 gpd, as measured by a continuous effluent flow monitoring device

    20.85 pounds per day of biochemical oxygen demand (BOD) and 20.85 pounds per day of total
    suspended solids (TSS)

    0.015 pounds per day of lead

Currently, [name of facility's categorical wastewater flow is at 160 gpd, and the organic loading from the
facility's categorical wastewater is 0.024 pound per day of BOD (average BOD concentration at sampling
point 001  is 15 mg/L) and 0.0168 pound per day of TSS (average TSS concentration at sampling point 001
is 30 mg/L). Furthermore (as shown in the table below, comparing the facility's lead loading with the
maximum allowable headworks loading (MAHL) for pollutants with local limits), the facility's loadings is less
than 0.01  percent of the MAHLs for any pollutant regulated by the applicable categorical Pretreatment
E-4                                                                           September 2012

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APPENDIX E                               Sample Permit Fact Sheet and Industrial User Permit
Standard for which approved local limits were developed. Therefore, the facility is granted reduced
monitoring requirements for lead to once per calendar year.
Pollutant name
Lead
Facility loading value
(Ib/day)
0.00053
Maximum allowable
headworks loading
(MAHL)
(Ib/day)
1.5
0.01 Percent of MAHL
(Ib/day)
0.015
In addition, [name of facility] has not been in significant noncompliance, as defined at 40 CFR
403.8(f)(2)(viii), for any time in the past 2 years. Nor does [name of facility] have daily flow rates,
production levels, and pollutant levels that vary so significantly that decreasing the reporting requirement
for the facility would result in data that are not representative of conditions occurring during the report
period.


Rationale for Any Monitoring Waivers

According to 40 CFR 403.12(e)(2) and the [name of Control Authority]'s sewer use ordinance section
[SUO section number], the [name of Control Authority] may authorize [name of facility] to forego
sampling of a pollutant regulated by a categorical Pretreatment Standard if [name of facility] has
demonstrated through sampling and other technical factors that the pollutant is neither present nor
expected to be present in the discharge, or is present only at background levels from intake water and
without increase in the pollutant due to activities at [name of facility].

[Name of facility] has demonstrated that chromium and cyanide is neither present nor expected to be
present by the previous periodic compliance reports (from January 2005 through July 2008), a certification
statement from the facility indicating that there are no chromium- or cyanide-laden plating solutions on-site,
and copies of raw material order invoices (from January 2005 through July 2008).

Therefore, the [name of Control Authority] is granting a monitoring waiver for chromium and cyanide in
permit [permit number] issued on [Issuance Date]. This monitoring waiver is valid only for the term of this
permit. [Name of facility] is required to submit a new request for any monitoring waivers for subsequent
permits.

Rationale for TTO Monitoring Waiver

[Name of facility] has an approved Toxic Organic Management Plan (TOMP). Therefore, TTO monitoring
is not necessary unless the facility fails to submit its certified TTO statement at a frequency of once every 6
months.
K.     RATIONALE FOR REPORTING REQUIREMENTS

TTO Certification Requirements

[Name of facility] has an approved TOMP. Therefore, [name of facility] must submit the TTO certification
statement at 40 CFR 433.12 at a frequency of once every 6 months.
September 2012                                                                             E-5

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APPENDIX E                              Sample Permit Fact Sheet and Industrial User Permit
Signatory Requirements

According to 40 CFR 403.12(1), periodic compliance reports must be signed by an authorized facility
representative. [Name of facility] has designated the following person(s) as authorized facility
representative(s).
Name
[Name]


Title
[Title]


Reduced Monitoring Reporting Requirements

According to 40 CFR 403.12(e)(3) and the [Name of Control Authority's sewer use ordinance section
[SUO section number], the [name of Control Authority] has reduced [name of facility's self-monitoring
requirement for lead to once a year. Therefore, [name of facility] must notify the [name of Control
Authority] if the permittee's categorical wastewater flow exceeds any of the following conditions:

       1.   5,000 gpd, as measured by a continuous effluent flow monitoring device

       2.   20.85 pounds per day of BOD or 20.85 pounds of TSS

       3.   0.015 pound per day of lead


Monitoring Waiver Reporting Requirements

According to 40 CFR 403.12(e)(2) and the [name of Control Authority's sewer use ordinance section
[SUO section number], the [name of Control Authority] has authorized [name of facility] to forego
sampling of chromium and cyanide regulated by a categorical Pretreatment Standard. Therefore, [name of
facility] must submit, once every 6 months, the certification at 40 CFR 403.12(e)(2)(v).

In addition, if a waived pollutant is found to be present or is expected to be present because of changes
that occur in [name of facility's operations, [name of facility] must immediately notify the [name of
Control Authority].
L.     RATIONALE FOR SPECIAL CONDITIONS

Not applicable.



M.     RATIONALE FOR EFFLUENT LIMITATIONS

[Name of facility] is engaged primarily in specialty precious metal plating (silver and gold), NAICS Code
332813. The core operation(s) performed at the facility are gold and silver electroplating. Ancillary
operations include cleaning, grinding, polishing, and tumbling.
E-6                                                                           September 2012

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APPENDIX E                              Sample Permit Fact Sheet and Industrial User Permit
New sources are facilities that started operations after the August 31, 1982, publication date of the
proposed Metal Finishing Point Source Category. Job shops are facilities that own 50 percent or less of the
materials undergoing metal finishing. [Name of facility] started operations October 15, 1985.  [Name of
facility] owns less than 50 percent of the materials that undergo metal finishing. Therefore, [name of
facility] qualifies as a new source job shop metal finisher subject to the federal categorical Pretreatment
Standards set at 40 CFR Part 433, Subpart A (Metal Finishing - Pretreatment Standard for New Sources).


According to 40 CFR 403.6(e), the combined wastestream formula (CWF) is applicable where a regulated
wastestream combines with one or more unregulated or dilute wastestreams. [Name of facility] has no
dilution wastestreams or other regulated wastestreams that combine with the process wastewater.
Therefore, use of the CWF is not required.


According to 40 CFR 433.12(a), facilities subject to the Metal Finishing Regulations must analyze for
reasonably expected toxic organics or submit a TOMP certification in lieu of monitoring. The list of
expected toxic organics is as follows:
       Naphthalene
       Ethyl benzene

This determination of reasonably expected toxic organics is based on the evaluation of POTW and periodic
compliance sampling data reported between October 1985 and January 2008.

[Name of facility] has submitted a TOMP for review which the [name of Control Authority] has approved.
The TOMP satisfies the above requirement and  [name of facility] will be exempt from monitoring total toxic
organics.

According to 40 CFR 433.12(a), facilities subject to the Metal Finishing Regulations must analyze for
reasonably expected toxic organics or submit a TOMP certification in lieu of monitoring. On January 15,
2008,  [name of facility] submitted a TOMP for the [name of Control Authority's approval. Upon review
and evaluation, the TOMP was approved on March  1, 2008. Pursuant to this approval, [name of facility]  is
exempt from toxic organics monitoring. [Name of facility] must submit a TOMP certification statement at
least once every 6 months.
N.     EXAM RLE CALCULATIONS

Not applicable.



O.     SLUG DISCHARGE EVALUATION

[Name of POTW] conducted a slug discharge evaluation of [name of facility] on November 20, 1985;
September 3,  1987; July 27, 1989; December 13, 1990; April 6, 1992; March 30, 1994; January 24, 1996;
August 15, 1997; August 14, 1999; June 1,2001; and May 31, 2003.


The [name of POTW] has determined that [name of facility] is required to develop and implement a slug
discharge control plan.
September 2012                                                                           E-7

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APPENDIX E                             Sample Permit Fact Sheet and Industrial User Permit






Prepared by:	Date:	





Reviewed by:	Date:	
E-8                                                                        September 2012

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APPENDIX E                                  Sample Permit Fact Sheet and Industrial User Permit



                               SAMPLE INDUSTRIAL USER PERMIT

                                      TRANSMIT!AL LETTER

                        (Control Authority Letterhead with Address Should Be Used)

CERTIFIED MAIL
RETURN RECEIPT REQUESTED

[Name of responsible official at industry]
[Title]
[Industrial user's name]
[Facility's mailing address]

RE: Issuance of Industrial User Permit to [name of industrial user] by the [name of Control Authority].
Permit No. [cite permit number].

Dear [name of responsible official at industry]:

Your application for an industrial user pretreatment permit has been reviewed and processed in accordance with
[cite specific section of ordinance].

The enclosed permit number [cite permit number] covers the wastewater discharged from the facility at [facility
address]  into the  [name of Control Authority] sewer system. All discharges from this facility and actions and
reports relating to them must be in accordance with the terms and conditions of this permit.

If you wish to appeal or challenge any conditions imposed in this permit, you must file a petition for modification or
reissuance of this  permit in accordance with the requirements of [cite specific section of ordinance] within 30 days
of your receipt of this correspondence. Pursuant to [cite specific section of ordinance], failure to petition for
reconsideration of the permit within the allotted time is deemed a waiver by the permittee of its right to challenge
the terms of this permit.

[Official  seal of Control Authority]

By:  [Signature of Control Authority representative]
     [Name and title of Control Authority representative]

Issued this [date] day of [month], 20	
September 2012                                                                                   E-9

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APPENDIX E                                  Sample Permit Fact Sheet and Industrial User Permit




                                        PERMIT COVER PAGE

                                                                        Permit No. [cite permit number]

                                     INDUSTRIAL USER PERMIT

In accordance with the provisions of [cite specific section of ordinance]

         [Industrial user's name]
         [Facility address]


         [Mailing address (optional)]


is hereby authorized to discharge industrial wastewater from the above-identified facility and through the outfalls
identified herein into the [name of Control Authority] sewer system in accordance with the conditions set forth in
this permit. Compliance with this permit does not relieve the permittee of its obligation to comply with any or all
applicable pretreatment regulations, standards, or requirements under local, state, and federal laws, including any
such regulations, standards, requirements, or laws that might become effective during the term of this permit. (Note
to the permit writer: For this sample permit, the IV is a Significant Industrial User subject to 40 CFR Part 433.)

Noncompliance with any term or condition of this permit will constitute a violation of the [name of Control
Authority] sewer use ordinance.

(Note to the permit writer: Thetermof the permit must not exceed more than 5 years. For example, ifapermit
becomes effective July 1, 2007, and has a 5-year duration, the permit expires June 30, 2012.)

This permit will become effective [date] and will expire at midnight [date].

If the permittee wishes to continue to discharge after the expiration date of this permit, an application must be filed
for a renewal permit in accordance with the requirements of [cite specific section of ordinance], a minimum of
[insert the number of days as defined by ordinance or legal authority] days before the expiration date.

[Official seal of Control Authority]

By:  [Signature of Control Authority representative]
     [Name and title of Control Authority representative]

Issued this [date] day of [month], 20	
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APPENDIX E                                  Sample Permit Fact Sheet and Industrial User Permit
PART 1 - EFFLUENT LIMITATIONS

A.  During the period of [effective date of permit] to [expiration date of permit], the permittee is authorized to
    discharge process, non-process, and sanitary wastewater to the [name of Control Authority] sewer system
    from the outfalls listed below.

Description of outfalls:

    Outfall                                     Description

    001                    (Note to the permit writer: The permit writer must clearly identify the outfalls
                           using brief, detailed narrative descriptions and diagrams as necessary. For this
                           sample permit, only categorical process wastewater is discharged through outfall
                           001. Outfall 001 is considered an end-of-process sampling location.)

                           Outfall 001 is also considered sampling point 001. Sampling point 001 is at the
                           Parshall flume after the facility's wastewater treatment system in the southeast
                           corner of Building A.


002                        (Note to the permit writer: For this sample permit, categorical and noncategorical
                           process wastewater and sanitary wastewater are discharged through outfall 002.
                           Outfall 002 is considered an end-of-pipe sampling location.)

                           Outfall 002 is also considered sampling point 002. Sampling point 002 is at the
                           manhole in the southwest parking lot.
September 2012                                                                                   E-ll

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APPENDIX E
                                            Sample Permit Fact Sheet and Industrial User Permit
B.
(Note to the permit writer: The permit writer should provide a description of the categorical process
discharges that are combined at this sampling location.)

During the period of [date] to [date], the discharge from outfall 001 must not exceed the following
effluent limitations. Effluent from this outfall consists of plating rinse waters from the facility's gold and silver
plating lines. The facility is considered a new source subject to the pretreatment standards for new sources
(PSNS) at Title 40 of the Code of Federal Regulations (CFR) Part 433, subpart A.
                               CATEGORICAL EFFLUENT LIMITATIONS
    Parameter
    Cadmium (Total)
    Chromium (Total)
    Copper (Total)
    Lead (Total)
    Nickel (Total)
    Silver (Total)
    Zinc (Total)
    Cyanide (Total)
    Total Toxic Organics (TTO)*
                             Daily maximum (mg/L)
                                    0.11
                                    2.77
                                    3.38
                                    0.69
                                    3.98
                                    0.43
                                    2.61
                                    1.20
                                    2.13
Monthly average (mg/L)
         0.07
         1.71
         2.07
         0.43
         2.38
         0.24
         1.48
         0.65
* The abbreviation TTO means total toxic organics, which is the summation of all quantifiable values greater than
  0.01 milligram per liter (mg/L) for the following toxic organics:
    Acenaphthene
    Acrolein
    Acrylonitrile
    Benzene
    Benzidine
    Carbon tetrachloride
    Chlorobenzene
    1,2,4-Trichlorobenzene
    Hexachlorobenzene
    1,2,-Dichloroethane
    1,1,1 -Trichloroethane
    Hexachloroethane
    1,1 -Dichloroethane
    1,1,2-Trichloroethane
    1,1,2,2-Tetrachloroethane
    Chloroethane
    Bis (2-chloroethyl) ether
    2-Chloroethyl vinyl ether
    2-Chloronaphthalene
    2,4,6-Trichlorophenol
    Parachlorometa cresol
    Chloroform
    2-Chlorophenol
    1,2-Dichlorobenzene
    1,3 -Dichlorobenzene
    1,4-Dichlorobenzene
    3,3 -Dichlorobenzidine
    1,1 -Dichloroethylene
    1,2-Trans-dichloroethy lene
    2,4-Dichlorophenol
    1,2 -Dichloropropane
                               Bis (2-chloroethoxy) methane
                               Methylene chloride
                               Methyl chloride
                               Methyl bromide
                               Bromoform
                               Dichlorobromomethane
                               Chlorodibromomethane
                               Hexachlorobutadiene
                               Hexachlorocyclopentadiene
                               Isophorone
                               Naphthalene
                               Nitrobenzene
                               2-Nitrophenol
                               4-Nitrophenol
                               2,4-Dinitrophenol
                               4,6-Dinitro-o-cresol
                               N-nitrosodimethylamine
                               N-nitrosodiphenylamine
                               N-nitrosodi-n-propylamine
                               Pentachlorophenol
                               Phenol
                               Bis (2-ethylhexyl) phthalate
                               Butyl benzyl phthalate
                               Di-n-butyl phthalate
                               Di-n-octyl phthalate
                               Diethyl phthalate
                               Dimethyl phthalate
                               Benzo(a)Anthracene
                               Benzo(a)pyrene
                               Benzo(b)fluoranthene
                               Benzo(k)fluoranthene
    Toluene
    Trichloroethylene
    Vinyl chloride
    Aldrin
    Dieldrin
    Chlordane
    4,4-DDT
    4,4-DDE (p,p-DDX)
    4,4-DDD (p,p-TDE)
    Alpha-endosulfan
    Beta-endosulfan
    Endosulfan sulfate
    Endrin
    Endrin aldehyde
    Heptachlor
    Heptachlor epoxide
    Alpha-BHC
    Beta-BHC
    Gamma-BHC
    Delta-BHC
    PCB-1242 (Arochlor 1242)
    PCB-1254 (Arochlor 1254)
    PCB-1221 (Arochlor 1221)
    PCB-1232 (Arochlor 1232)
    PCB-1248 (Arochlor 1248)
    PCB-1260 (Arochlor 1260)
    PCB-1016 (Arochlor 1016)
    Toxaphene
    2,3,7,8-Tetrachlorodibenzo-p-dioxin
E-12
                                                                                    September 2012

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APPENDIX E                                   Sample Permit Fact Sheet and Industrial User Permit
    1,3-Dichloropropylene           Chrysene
    2,4-Dimethylphenol             Acenaphthylene
    2,4-Dinitrotoluene               Anthracene
    2,6-Dinitrotoluene               Benzo(ghi)perylene
    1,2-Diphenylhydrazine           Fluorene
    Ethylbenzene                   Phenanthrene
    Fluoranthene                   Dibenzo(a,h)anthracene
    4-Chlorophenyl phenyl ether      Indeno( 1,2,3 -cd) pyrene
    4-Bromophenyl phenyl ether      Pyrene
    Bis (2-chloroisopropyl) ether      Tetrachloroethylene
C.  During the period of [date] to [date], the effluent from outfall 002 will be of domestic, categorical, and
    noncategorical wastewaters and must comply with the local limits listed below [cite specific section of
    ordinance containing prohibited discharges and local limits].

                                    LOCAL EFFLUENT LIMITATIONS

    Parameter                    Daily maximum (mg/L)       Monthly average (mg/L)
    BOD                               -                              500
    TSS                                -                              350
    Arsenic (T)                          2.0
    Cadmium (T)                        1.25
    Chromium (T)                       0.9
    Copper (T)                          1.0
    Cyanide (T)                         0.10
    Lead (T)                            2.5
    Mercury (T)                         0.005
    Nickel (T)                           1.1
    Zinc                                2.75
    pH                                 5-[	] s.u.
(Note to the permit writer: The permit writer must include the local limits established by the ordinance even if
the lUis not required to monitor for all the pollutants with local limits. Including all the local limits in the
permit, even if the IV is not required to monitor for all of them ensures that the IV is aware of all the discharge
requirements.  The permit writer may include an additional table outlining which pollutants of concern are
required to be monitored; see Part 2 of the sample permit.)

D.  In addition to the local effluent limits, the permittee is required to implement the following best management
    practices (BMPs) to control its discharge of silver into the publicly owned treatment works (POTW). (Note to
    the permit writer: The use of BMPs in lieu of local limits or in conjunction with local limits is allowable only
    if the POTW's pretreatment program has adequate legal authority to implement this option.)

    1.    The facility has a silver recovery system (two silver recovery canisters). The silver recovery canisters
          must be connected in series to optimize silver removal.

    2.    Maintain the canister system to prevent breakthrough.

    3.    Document when each canister is serviced or changed.

    4.    Document the quantity of silver recovered.

    5.    The permittee is prohibited  from discharging any untreated silver waste chemicals to the POTW.
September 2012                                                                                    E-13

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APPENDIX E                                    Sample Permit Fact Sheet and Industrial User Permit
E.  (Note to the permit writer: The following specific discharge prohibitions may appear in the Effluent Limits
    section or in the Standard Conditions section of the permit). The permittee must not discharge wastewater
    containing any of the following substances from any of the outfalls:

    a.   Fats, oil, or greases of animal or vegetable origin in concentrations greater than [numeric limit established
        by Control Authority] mg/L

    b.   Petroleum oil, nonbiodegradable cutting oil, or products of mineral oil origin, in amounts that will cause
        interference or pass through

    c.   Pollutants that create a fire or explosive hazard in the POTW, including but not limited to wastestreams
        with a closed-cup flashpoint of less than 140 degrees Fahrenheit (60 degrees Centigrade) using the methods
        specified at 40 CFR 261.21

    d.   Wastewater that has a temperature greater than [temperature limit established by Control Authority], or
        will inhibit biological activity in the treatment plant resulting in interference, but in no case wastewater that
        causes the temperature at the introduction into the treatment plant to exceed 104 degrees Fahrenheit (40
        degrees Celsius)

    e.   Solids or viscous substances in amounts that will cause obstruction of flow in the POTW, resulting in
        interference [but in no case solids greater than [	] inch(es) (	") or [	] centimeter(s)
        (	cm) in any dimension]

    f.   Pollutants, including oxygen-demanding pollutants (e.g., BOD), released in a discharge at a flow rate
        and/or concentration that, singly or by interaction with other pollutants, will cause interference with the
        POTW. For the purpose of this section, the term interference has the same definition as that in the [name of
        Control Authority's]  ordinance [cite specific section of ordinance];

    g.   Wastewater having a pH of less than 5.0 or more than [the upper pH limit established by the POTW], or
        otherwise causing corrosive structural damage to the POTW or equipment

    h.   Pollutants that result in the presence of toxic gases, vapors, or fumes within the POTW in a quantity that
        might cause acute worker health and safety problems.

F.  All discharges must comply with all other applicable laws, regulations, standards, and requirements contained
    in [cite specific section of  ordinance] and any applicable state and federal pretreatment laws, regulations,
    standards, and requirements, including any such laws, regulations, standards, or requirements that might
    become effective during the term of this permit.
E-14                                                                                      September 2012

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APPENDIX E                                  Sample Permit Fact Sheet and Industrial User Permit
PART 2 - MONITORING REQUIREMENTS

A.  All samples must be collected, preserved, and analyzed in accordance with the procedures established in 40
    CFR Part 136, and amendments.

B.  (Note to the permit writer: The following parameters are an example of what might be included in this
    section of the permit. The permit writer must include all parameters identified in Part IB unless the Control
    Authority has granted the user the right to waive monitoring of pollutants not present or expected to be
    present.)

    From the period beginning on the effective date of the permit until [date], the permittee must monitor outfalls
    001 and 002 for the following parameters, at the indicated frequency:

   Sample                  Measurement
   Parameter (units')         Location                Frequency               Sample Type

   Flow(gpd)               001,002                 Continuous               Meter3
   TTO(mg/L)             See note b               1/6 months               Grabc
   BOD(mg/L)             002                     I/year                   Grabc
   TSS(mg/L)              002                     I/year                   Grabc
   Arsenic (mg/L)           002                     1/6 months               24-hr composite"1
   Cadmium (mg/L)         001,002                 1/6 months               24-hr composited
   Chromium6 (mg/L)       001.002                 Not Applicable           Not applicable"
   Copper (mg/L)           001,002                 I/week                  24-hr composited
   Cyanide6 (mg/L)         001,002                 Not Applicable           Not applicable"
   Leadf(mg/L)            001,002                 I/year                   24-hr composite"1
   Mercury (mg/L)          002                     1/6 months               24-hr composite"1
   Nickel (mg/L)            001,002                 I/month                 24-hr composite"1
   Silver (mg/L)            001                     1/6 months               24-hr composite"1
   Zinc (mg/L)             001,002                 1/6 months               24-hr composite"1
   pH(s.u.)                002                     Continuous               Meter8

  Notes:

  a Daily flows are to be recorded from the permittee's flow meter.

  b (Note to the permit writer: For this sample permit, the permittee has submitted a toxic organic management
  plant, TOMP, and the permit writer is allowing the permittee to submit the certification statement in lieu of
  monitoring for TTOs.  If the permittee did not have a TOMP, the permittee would be required to monitor for the
  TTO pollutants.)

  The permittee has submitted a toxic organics management plan. Therefore, in lieu of monitoring for TTOs, the
  permittee may submit the certification statement as set forth in Part 3.C of this permit.

  If the permittee fails to certify, sign, and submit the certification statement, the permittee will be required to
  conduct the required TTO monitoring at the frequency specified in the table above and submit the subsequent
  results.

  0 A minimum of four grab samples at equal intervals (but at least 1  hour apart) over a period of daily discharge.

  d (Note to the permit writer: The permit writer must determine the type of composite sample (time-proportional
  or flow-proportioned)  and the sampling duration (8-hour, 12-hour, or 24-hour) that is most appropriate for the
  industrial user and define it here or in the standard conditions.)

  Flow-proportional composite sample over daily duration of discharge.
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APPENDIX E                                  Sample Permit Fact Sheet and Industrial User Permit
  e (Note to the permit writer: For this sample permit, the permit writer has waived monitoring requirements for
  chromium and cyanide. Before implementing this option, the permit writer must ensure that the pollutant is
  neither present nor expected to be present, or is present only at background levels from intake water and
  without any increase in the pollutant due to activities of the permittee.)

  Monitoring for chromium and cyanide is not required because the permittee has demonstrated that chromium and
  cyanide are not present and are not expected to be present in the permittee's discharge.

  f The monitoring frequency for lead has been reduced to once a year because the permittee's discharge complies
  with the conditions set forth at 40 CFR 403.12(e)(3).

  8 pH will be monitored and recorded continuously by the permittee's pH meter.


B.  (Note to the permit writer: The permit writer has the option to waive monitoring requirements for pollutants
    not expected to be present. Before using this  option, the permit writer must ensure that the pretreatment
    program has adequate authority to waive monitoring requirements for pollutant not present or expected to be
    present and that the program has been modified in accordance with 40 CFR Part 403.)

    During the period of [date] to [date] the [name of the POTW] is granting [industry  name] a monitoring
    waiver for chromium and cyanide. If either chromium or cyanide is found to be present or is expected to be
    present because of changes that occur in the permittee's operations, the permittee must immediately begin
    monitoring for the pollutant as outlined below.

     Sample                Measurement
     Parameter (units)	Location	Frequency	Sample Type	

     Chromium (T)          001,002                 I/month                 24-hour composite
     Cyanide (T)             00 la, 002                I/month                 Grab

    a Monitoring for cyanide must be conducted after the cyanide treatment unit, before dilution with other
    wastestreams, and when cyanide is expected to be present at its maximum concentration.

C.  (Note to the permit writer: The permit writer  has the option to reduce the monitoring and reporting
    requirements for a ClUifit complies with the conditions set forth at 40 CFR 403.12(e)(3). Before using this
    option, the permit writer must ensure that the pretreatment program has adequate authority to reduce
    monitoring and reporting requirements and the program has been modified in accordance with 40 CFR Part
    403)

    During the period of [date] to [date], [industry name] has a reduced monitoring and reporting requirement for
    lead. If the permittee no longer meets the conditions listed at 40 CFR 403.12(e)(3)(i) or (ii), the permittee must
    immediately begin monitoring for the pollutant as outlined below.

     Sample                Measurement
     Parameter (units)	Location	Frequency	Sample Type	

     Lead(T)                001,002                 1/6 month               24-hour composite
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APPENDIX E                                   Sample Permit Fact Sheet and Industrial User Permit



PART 3 - REPORTING REQUIREMENTS

A.  Monitoring Reports

    Monitoring results obtained must be summarized and reported on an Industrial User Monitoring Report Form.

    Reports for parameters with a continuous monitoring frequency must be submitted monthly. The reports are due
    within 15 days after the end of each calendar month. The first monthly report is due [date].

    Reports for parameters with a 1/6 months monitoring frequency must be submitted within 15 days after each
    reporting period. The reporting periods are January-June and July-December. The first 1/6 month report is due
    [date].

    Reports for parameters with a I/year monitoring frequency must be submitted within 15 days after each
    reporting period. The reporting period is January-December (calendar year). The first I/year report is due
    [date].

    All monitoring reports must indicate the nature and concentration of all pollutants in the effluent for which
    sampling and analysis were performed during the reporting period preceding the submission of each report,
    including measured maximum and average daily flows.

B.  Silver BMP Reports

    Report once every 6 months (January-June and July-December) the information regarding the frequency of
    maintenance (date of each maintenance service) of the silver recovery canisters and the quantity of silver
    recovered during the previous 6 months. Each report is due within 15 days after the end of the reporting period.
    The first silver BMP report is due [date].

    Each report required by the BMP must be certified and signed by an appropriate, authorized person.

C.  Certification Statements

    The permittee is required to sign and submit the following certification statements with each 1/6 months
    monitoring report:

        (Note to the permit writer: This certification submittal is required only if the permit writer
        has granted a monitoring waiver for a pollutant not present or expected to be present.)
        Based on my inquiry of the person directly responsible for managing compliance with the
        pretreatment standard for 40  CFR Part 433,1 certify that, to the best of my knowledge and
        belief, there has been no increase in the level of chromium and cyanide in the wastewaters due
        to the activities at the facility since filing of the last periodic report under 40 CFR
        403.12(e)(l).

        (Note to the permit writer: This certification submittal is required only if the permit writer
        has granted the use of a TOMP and TTO certification in lieu of monitoring for TTOs.)
        Based on my inquiry of the permit or persons directly responsible for managing compliance
        with the pretreatment standard for total toxic organics (TTO),  I certify that, to the best of my
        knowledge and belief, no dumping of concentrated toxic organics into the wastewaters has
        occurred since filing of the last discharge monitoring report. I further certify that this facility
        is implementing the toxic organic management plan submitted to the Control Authority.

    The permittee is required to sign and submit the following certification statement with all monitoring reports:

        I certify under penalty of law that this document and all attachments were prepared under my
        direction or supervision in accordance with a system designed to ensure that qualified
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APPENDIX E                                   Sample Permit Fact Sheet and Industrial User Permit
        personnel properly gather and evaluate the information submitted. Based on my inquiry of the
        person or persons who manage the system, or those persons directly responsible for gathering
        the information, the information submitted is, to the best of my knowledge and belief, true,
        accurate, and complete. I am aware that there are significant penalties for submitting false
        information, including the possibility of fine and imprisonment for knowing violations.


D.  (Note to the permit writer: This reporting requirement is required only if the permit writer has granted a
    monitoring waiver for pollutant not present or expected to be present.)

    If either the chromium or cyanide is found to be present or is expected to be present because of changes that
    occur in the permittee's operations, the permittee must immediately notify the [name of Control Authority].

E.  (Note to the permit writer: This reporting requirement is required only if the permit writer has granted a
    reduced monitoring and reporting frequency.)

    The permittee is required to notify the [name of Control Authority] immediately if the permittee's categorical
    wastewater flow exceeds the following conditions:

            1.   5,000  gallons per day [0.01 percent of the POTW's design dry weather flow or 5,000 gallons
                per day, whichever is smaller] as measured by a continuous effluent flow monitoring device

            2.   20.85  pounds per day of biochemical oxygen demand (BOD) or 20.85 pounds per day of total
                suspended solids (TSS) [0.01 percent of the design dry weather organic treatment capacity] of
                the POTW

            3.   0.015  pound per day of lead [0.01 percent of the maximum allowable headworks loading for
                any pollutant regulated by the applicable categorical pretreatment standard for which
                approved local limits were developed].

F.  If the permittee monitors any pollutant more frequently than required by this permit, using test procedures
    prescribed in 40 CFR Part 136 or amendments thereto, or otherwise approved by the U.S. Environmental
    Protection Agency (EPA) or as specified in this permit, the results of such monitoring must be included in any
    calculations of actual daily maximum or monthly average pollutant discharge, and results must be reported in
    the monthly report submitted to the [name of Control Authority]. Such an increased monitoring frequency
    must also be indicated in the monthly report. (Note to the permit writer: As an alternative, this requirement
    may be put in the standard conditions section.)

G.  Automatic Resampling

    If the results of the permittee's wastewater analysis indicate that a violation of this permit has occurred, the
    permittee must do the following:

    1.  Inform the [name of Control Authority] of the violation within 24 hours, and

    2.  Repeat the sampling and pollutant analysis and submit, in writing, the results of this second analysis within
        30 days  of becoming aware of the first violation.

H.  Accidental Discharge Report

    1.  The permittee must notify the [name of Control Authority] immediately upon the occurrence of spills,
        including accidental discharges, discharges of a nonroutine, episodic nature, a noncustomary batch
        discharge, slug loads or slug discharges that might cause potential problems for the POTW or spills that
        might enter the public sewer. During normal business hours the [name of Control Authority] should be
        notified by telephone at [telephone number]. At all other times, the [name of Control Authority] should
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APPENDIX E                                    Sample Permit Fact Sheet and Industrial User Permit
        be notified by telephone at [telephone number] or [telephone number]. The notification must include
        location of discharge; date and time of discharge; type of waste, including concentration and volume; and
        corrective actions taken. The permittee's notification of accidental releases in accordance with this section
        does not relieve it of other reporting requirements that arise under local, state, or federal laws.

        Within 5 days following an accidental discharge, the permittee shall submit to the [name of Control
        Authority] a detailed written report. The report must specify the following:

        a.   Description and cause of the upset, slug load, or accidental discharge; the cause thereof; and the impact
            on the permittee's compliance status. The description should also include location of discharge and
            type, concentration, and volume of waste.

        b.   Duration of noncompliance, including exact dates and times of noncompliance and, if the
            noncompliance is continuing, the time by which compliance is reasonably expected to occur.

        c.   All steps taken or to be taken to reduce, eliminate, and/or prevent recurrence of such an upset, slug
            load, accidental discharge, or other conditions of noncompliance.

      (Note to the permit writer: As an alternative, the above requirement may be put in the standard conditions
      section.)

I.   Notification of the Discharge of Hazardous Waste

(Note to the permit writer: The municipality may choose to prohibit the discharge of hazardous wastes.)

        a.   Any permittee who begins discharging hazardous waste must notify, in writing, the POTW, the EPA
            Regional Waste Management Division Director, and state hazardous waste authorities of any discharge
            into the POTW of a substance that, if otherwise disposed of, would be a hazardous waste under 40
            CFR Part 261. Such notification must include the name of the hazardous waste as set forth in 40 CFR
            Part 261, the EPA hazardous waste number, and the type  of discharge (continuous, batch, or other). If
            the permittee discharges more than 100 kilograms of such waste per calendar month to the POTW, the
            notification also must contain the following information to the extent such information is known and
            readily available to the permittee: an identification of the hazardous constituents contained in the
            wastes, an estimation of the mass and concentration of such constituents in the wastestream discharged
            during that calendar month, and an estimation of the mass of constituents in the wastestream expected
            to be discharged during the following 12 months. All notifications must take place no later than 180
            days after the discharge begins. Any notification under this paragraph must be submitted only once for
            each hazardous waste discharged. However, notifications of changed conditions must be submitted
            under [cite specific section of ordinance]. The notification requirement in this section does not apply
            to pollutants already reported by permittee subject to categorical pretreatment standards.

        b.   Dischargers are exempt from the requirements of paragraph a above, during a calendar month in which
            they discharge no more than 15 kilograms of hazardous wastes, unless the wastes are acute hazardous
            wastes as specified in 40 CFR 261.30(d) and 261.33(e). Discharge of more than 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 261.33(e), requires a one-time notification. Subsequent months
            during which the permittee discharges more than such quantities of any  hazardous waste do not require
            additional notification.

        c.   If any new regulations are made under section 3001 of Resource Conservation and Recovery Act
            identifying additional characteristics of hazardous waste or listing any additional substance as a
            hazardous waste, the permittee must notify [the Control Authority representative], the EPA
            Regional Waste Management Waste Division Director, and state hazardous waste authorities of the
            discharge of such substance within 90 days of the effective date of such regulations.
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APPENDIX E                                   Sample Permit Fact Sheet and Industrial User Permit
        d.  If any notification is made under this section, the permittee must 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.

        e.  This provision does not create a right to discharge any substance not otherwise permitted to be
            discharged by this ordinance, a permit issued under the ordinance, or any applicable federal or state
            law.

J.   All reports required by this permit must be submitted to the [name of Control Authority] at the following
    address:

            [Name of Control Authority]
            Attention: [Name of Pretreatment Coordinator]
            Address: [Address]

PART 4 - SLUG DISCHARGE CONTROL REQUIREMENTS

The permittee is required to submit and implement a slug discharge control plan within [time frame established by
the permit writer] days of the effective date of this permit. The slug discharge control plan must include, at a
minimum, the following: (Note to the permit writer: The permit must include requirements to control slug
discharges if the Control Authority has determined it to be necessary. If the permittee has already developed and
is implementing a slug discharge control plan before the issuance of this permit, the permit writer should include
a statement indicating that the permittee is required to comply and implement its existing slug discharge control
plan.)

    a.   Description of discharge practices, including nonroutine batch discharges

    b.   Description of stored chemicals

    c.   Procedures for immediately notifying the [name of Control Authority] of slug discharges, including any
        discharge that would violate a prohibition under 40 CFR 403.5(b), with procedures for follow-up, written
        notification within 5 days

    d.   Procedures to prevent adverse impact from accidental spills, including inspection and maintenance of
        storage areas, handling and transfer of materials, loading and unloading operations, control of plant site
        runoff, worker training, building of containment structures or equipment, measures for containing toxic
        organic pollutants, and measures and equipment for emergency response.


PART 5 - SPECIAL CONDITIONS

SECTION 1 - ADDITIONAL/SPECIAL MONITORING REQUIREMENTS.

(Note: The permit writer must include any additional or special monitoring requirements that are applicable to
the permittee. Examples are provided below.)

Examples:

A.    One-time monitoring for specific pollutants to verify absence (e.g., "The permittee must submit by [date]
      sampling data for pentachlorophenol and trichlorophenol")

B.    Biomonitoring or other toxicity to determine the toxicity of the discharge

C.    Development of sludge disposal plan
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APPENDIX E                                 Sample Permit Fact Sheet and Industrial User Permit



D.    Additional monitoring of pollutants that are limited in the permit in response to noncompliance


SECTION 2 - COMPLIANCE SCHEDULE [Example Compliance Schedule]

    A.  The permittee must accomplish the following tasks in the designated time period:

  Event                                                              No Later Than

1.   Submit new wastewater pretreatment plant design                         [Date]
    submission

2.   Order equipment and materials                                         [Date]

3.   Develop, and submit a copy to the [name of Control                      [Date]
    Authority], a slug discharge control plan to eliminate or
    minimize the accidental spill or slug discharge of
    pollutants into the sewer system

4.   Implement the slug loading control plan                                 [Date]

5.   Complete installation of wastewater pretreatment plant                     [Date]

6.   Obtain full pretreatment plant operational status and                       [Date]
    achieve full  compliance


    B.  Compliance Schedule Reporting

      No later than  14 days following each date in the above schedule, the permittee must submit to the [name of
      Control Authority] a report including, at a minimum, whether it complied with the increment of progress to
      be met on such date and, if not, the date on which it expects to comply with the increment of progress, the
      reasons for delay, and the steps being taken to return the project to the schedule established.

PART 6 - STANDARD CONDITIONS

[Note: For a list of standard conditions that may be placed in industrial user permits, see Appendix F.]
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APPENDIX E                              Sample Permit Fact Sheet and Industrial User Permit
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        APPENDIX F
Sample Standard Conditions for Permits

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                                      Disclaimer
The U.S. Environmental Protection Agency (EPA), Office of Wastewater Management, Water
Permits Division has prepared these sample standard conditions for permits as a guide for
Control Authorities in developing their own standard conditions for use in the permitting
process. The Control Authority may choose to develop its own standard conditions or use a
modified version of the EPA standard conditions. If the Control Authority chooses to model its
standard conditions on the sample, the Control Authority will want to tailor its standard
conditions to reflect conditions at a publicly owned treatment works (POTW) and applicable
state and local law requirements. As an aid to the Control Authority, the sample contains blanks
or brackets to identify areas that might need modification to reflect circumstances at the POTW.
The sample has additional bracketed notes that explain issues the Control Authority should
consider when developing standard conditions for use in its permitting process.

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APPENDIX F                                           Sample Standard Conditions for Permits
                                        APPENDIX F.
                       SAMPLE STANDARD CONDITIONS FOR PERMITS

[This Appendix is to be used in conjunction with the sample permit in Appendix E. The Control
Authority should select (and modify if necessary) the standard conditions listed here that best suit
its needs.]

SECTION A.  GENERAL CONDITIONS AND DEFINITIONS

1.     Severability

The provisions of this permit are severable, and if any provision of this permit, or the application of any
provision of this permit to any circumstance, is held invalid, the application of such provision to other
circumstances, and the remainder of this permit, will not be affected thereby and will continue in full
force and effect.

2.     Duty to Comply

The permittee must comply with all conditions of this permit. Failure to comply with the requirements of
this permit may be grounds for administrative action, or enforcement proceedings including civil or
criminal penalties, injunctive relief, and summary abatements.

3.     Duty to Mitigate

The permittee must take all reasonable steps to maintain or correct any adverse impact to the public
treatment plant or the environment resulting from noncompliance with this permit, including such
accelerated or additional monitoring as necessary to determine the nature and impact of the noncomplying
discharge.

4.     Permit Modification

[The POTW Superintendent] may modify the permit for good cause, including but not limited to, the
following reasons:

       a.   To incorporate any new or revised federal, state, or local pretreatment standards or
           requirements;

       b.   To address significant alterations or additions to the permittee's operation, processes, or
           wastewater volume or character since the time of the individual wastewater discharge permit
           issuance;

       c.   A change in any process or discharge condition in either the Industrial User or the POTW that
           requires either a temporary or permanent reduction or elimination of the authorized
           discharge;

       d.   Information indicating that the permitted discharge poses a threat to the Control Authority's
           collection and treatment systems, POTW personnel or the receiving waters;

       e.   Violation of any terms or conditions  of the permit;
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APPENDIX F                                             Sample Standard Conditions for Permits
        f.  Misrepresentation or failure to disclose fully all relevant facts in the permit application or in
           any required reporting;

        g.  Revision of or a grant of variance from such categorical standards pursuant to 40 CFR
           403.13;

        h.  To correct typographical or other errors in the permit;

        i.  To reflect transfer of the facility ownership and/or operation to a new owner or operator; or

        j.  Upon request of the permittee, provided such request does not create a violation of any
           applicable requirements, standards, laws, or rules and regulations.

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.

5.      Permit Termination

This permit may be terminated for the  following reasons:

        a.  Failure to notify the [the POTW Superintendent] of significant changes to the wastewater
           before the changed discharge;

        b.  Failure to provide prior notification to [the POTW Superintendent] of changed conditions;

        c.  Misrepresentation or failure to fully disclose all relevant facts in the wastewater discharge
           permit application;

        d.  Falsifying self-monitoring reports or certification statements;

        e.  Tampering with monitoring equipment;

        f.  Refusing to allow timely access to the facility premises and records;

        g.  Failure to meet effluent limitations;

        h.  Failure to pay fines;

        i.  Failure to pay sewer charges;

        j.  Failure to meet compliance schedules;

        k.  Failure to complete a wastewater survey or the wastewater discharge permit application;

        1.  Failure to provide advance notice of the transfer of business  ownership of a permitted facility;
           or
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APPENDIX F                                            Sample Standard Conditions for Permits
       m.  Violation of any Pretreatment Standard or Requirement including required best management
           practices, or any terms of the wastewater discharge permit or the sewer use ordinance.

6.     Permit Appeals

The permittee may petition to appeal the terms of this permit within 30 days of the notice.

This petition must be in writing; failure to submit a timely petition for review will be deemed to be a
waiver of the administrative appeal. In its petition, the permittee must indicate the permit provisions
objected to, the reasons for this objection, and the alternative condition, if any, it seeks to be placed in the
permit.

The effectiveness of this permit will not be stayed pending the appeal. If [the POTW Superintendent]
fails to act within [	] days, a request for reconsideration will be deemed to be denied. Decisions not
to reconsider a permit, not to issue a permit, or not to modify a permit will be considered final
administrative actions for purposes of judicial review.

The permittee seeking judicial review of the final administrative permit decision must do so by filing a
complaint with the [name of court] for [name of County] within [insert appropriate State Statute of
Limitations].

7.     Property Rights

The issuance of this permit does not convey any property rights of any sort, or any exclusive privileges,
nor does it authorize any injury to private property or any invasion of personal rights, nor any violation of
federal, state, or local laws or regulations.

8.     Limitation on Permit Transfer

Permits may be reassigned or transferred to a new owner or operator with prior approval of the
Superintendent and the following items occur:

       a.  The permittee must give at least [	] days advance notice to  [the POTW
           Superintendent].

       b.  The notice to [the POTW Superintendent] must include a written certification by the new
           owner or operator that does the following:

           (i)    States that the new owner or operator has no immediate intent to change the facility's
                operations and processes;
           (ii)   Identifies the specific date on which the transfer is to occur; and
           (iii)  Acknowledges full responsibility for complying with the existing permit.

       c.  [The POTW Superintendent] approves the permit transfer.

9.     Duty to Reapply

The permittee must apply for permit reissuance by submitting a complete permit application, in
accordance with  [cite the appropriate section of the sewer use ordinance], a minimum of [	] days
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APPENDIX F                                            Sample Standard Conditions for Permits
before the expiration of the existing permit. [Alternatively, this requirement may appear on the Cover
Page.]

10.    Continuation of Expired Permits

An expired permit will continue to be effective and enforceable until the permit is reissued if

       a)  The permittee has submitted a complete permit application at least [	] days prior to the
           expiration date of the  user's existing permit.

       b)  The failure to reissue the permit, prior to expiration of the previous permit, is not due to any
           act or failure to act on the part of the permittee.

11.    Dilution

A permittee must not ever increase the use of potable or process water or, in any way, attempt to dilute a
discharge as a partial or complete  substitute for adequate treatment to achieve compliance with a
discharge limitation unless expressly authorized by an applicable Pretreatment Standard or Requirement.
[The POTW Superintendent] may impose mass limitations on permittees who are using dilution to meet
applicable Pretreatment Standards or Requirements, or in other cases when the imposition of mass
limitations is appropriate.

12.    Definitions

       a)  Composite Sample—A sample that is collected over time, formed either by continuous
           sampling or by mixing discrete samples. The sample may be composited either as a time
           composite sample composed of discrete sample aliquots collected in one container at
           constant time intervals providing representative samples irrespective of stream flow; or as a
           flow proportional composite sample collected either as a constant sample volume at time
           intervals proportional to stream flow, or collected by increasing the volume of each aliquot as
           the flow increases while maintaining a constant time interval between the aliquots. [The
           permit writer should determine  the most appropriate composite sampling method to be
           used by the permittee.]

       b)  Daily Maximum—The arithmetic average of all effluent samples for a pollutant collected
           during a calendar day.

       c)  Daily Maximum Limit—The maximum allowable discharge limit of a pollutant during a
           calendar day. Where daily maximum limits are expressed in units of mass, the daily discharge
           is the total mass discharged over the course of the day. Where daily maximum limits are
           expressed in terms of a concentration, the daily discharge is the arithmetic average
           measurement of the pollutant concentration derived from all measurements taken that day.

       d)  Grab Sample—An individual sample collected in less than 15 minutes, without regard for
           flow or time.

       e)  Instantaneous Maximum Concentration— The maximum limit allowable concentration of a
           pollutant determined from the analysis of any discrete or composited sample collected
           independent of the industrial flow rate and the duration of the sampling event.
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APPENDIX F                                            Sample Standard Conditions for Permits
       f)  Cooling Water

          i.      Uncontaminated—Water used for cooling purposes only that has no direct contact with
                 any raw material, intermediate, or final product and that does not contain a level of
                 contaminants detectably higher than that of the intake water.
         ii.      Contaminated—Water used for cooling purposes only that might become contaminated
                 either through the use of water treatment chemicals used for corrosion inhibitors or
                 biocides, or by direct contact with process materials or wastewater.

       g)  Monthly Average—The arithmetic mean of the values for effluent samples collected during a
           calendar month or specified 30-day period (as opposed to a rolling 30-day window).

       h)  Weekly Average—The arithmetic mean of the values for effluent samples collected over a
           period of 7  consecutive days.

       i)  Bi-Weekly—Once every other week.

       j)  Bi-Monthly—Once every other month.

       k)  Upset—An exceptional incident in which there is unintentional and temporary
           noncompliance with technology-based permit effluent limitations  because of factors beyond
           the reasonable control of the permittee, excluding such factors as operational error,
           improperly designed or inadequate treatment facilities, or improper operation and
           maintenance or lack thereof.

       1)  Bypass—The intentional diversion of wastes from any portion of a treatment facility.

13.    General Prohibitive Standards

The permittee must comply with all the general prohibitive discharge standards in [reference specific
section of ordinance]. Namely, the industrial user must not discharge:

       a)  Wastewater having a temperature greater than [	degrees F (	degrees C)], or
           that will inhibit biological activity in the treatment plant resulting  in Interference, but in no
           case wastewater that causes the temperature at the introduction into the treatment plant to
           exceed 104 degrees F (40 degrees C);

       b)  Fats, oils, or greases of animal or vegetable origin in concentrations greater than [	]
           mg/L;

       c)  Pollutants that create a fire or explosion hazard in the POTW, including wastestreams with a
           closed-cup flashpoint of less than 140 degrees Fahrenheit (60 degrees C) using the test
           methods specified in 40 CFR 261.21;

       d)  Wastewater causing two reading on an explosion hazard meter at the point of discharge into
           the POTW, or at any point in the POTW, of more than [	percent (	)%] or any
           single reading over [	percent (	)%] of the Lower Explosive Limit of the meter.
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APPENDIX F                                            Sample Standard Conditions for Permits
       e)  Solid or viscous substances in amounts that will cause obstruction of the flow in the POTW
           resulting in Interference [but in no case solids greater than	inch(es) (	") or
           	centimeter(s) (	cm) in any dimension];

       f)  Petroleum oil, nonbiodegradable cutting oil, or products of mineral oil origin, in amounts that
           will cause Interference or Pass Through;

       g)  Wastewater having a pH lower than 5.0 or higher than [	], or otherwise causing corrosive
           structural damage to the POTW or equipment;

       h)  Pollutants that result in the presence of toxic gases, vapors, or fumes within the POTW in a
           quantity that could cause acute worker health  and safety problems;

       i)  Noxious  or malodorous liquids, gases, solids,  or other wastewater that, either singly or by
           interaction with other wastes, are sufficient to create a public nuisance or hazard to life, or to
           prevent entry into the sewers for maintenance or repair;

       j)  Sludges,  screenings, or other residues from the pretreatment of industrial wastes;

       k)  Any substance that could affect the treatment  plant's effluent and cause violation of the
           National  Pollutant Discharge Elimination System permit requirements;

       1)  Any substance that would cause the treatment plant to be in noncompliance with sludge use,
           recycle or disposal criteria pursuant to guidelines or regulations developed under section 405
           of the Clean Water Act, the Solid Waste Disposal Act, the Clean Air Act, the Toxic
           Substances Control Act, or other regulations or criteria for sludge management and disposal
           as required by the state;

       m) Wastewater that imparts color that cannot be removed by the treatment process, such as dye
           wastes and vegetable tanning solutions that consequently imparts color to the treatment
           plant's effluent, thereby violating [the name of the POTW's] National Pollutant Discharge
           Elimination System permit;

       n)  Medical wastes, except as specifically authorized by the [the POTW Superintendent] in a
           permit;

       o)  Stormwater, surface water, ground water, artesian well water, roof runoff, subsurface
           drainage, swimming pool drainage, condensate, deionized water, Noncontact Cooling Water,
           and unpolluted wastewater, unless specifically authorized by [the POTW Superintendent];

       p)  Wastewater causing, alone or in conjunction with other sources, the treatment plant's  effluent
           to fail toxicity test;

       q)  Detergents, surface-active agents, or other substances that that might cause excessive  foaming
           in the POTW;

       r)  Wastewater containing any radioactive wastes or isotopes except in compliance with
           applicable state or federal regulations; or
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APPENDIX F                                            Sample Standard Conditions for Permits
       s)  Pollutants, including oxygen-demanding pollutants (BOD, and the like) released in a
           discharge at a flow rate or pollutant concentration that, either singly or by interaction with
           other pollutants, will cause Interference with the POTW.

14.    Compliance with Applicable Pretreatment Standards and Requirements

Compliance with this permit does not relieve the permittee from its obligations regarding compliance with
any and all applicable local, state and federal Pretreatment Standards and requirements including any such
standards or requirements that might become effective during the term of this permit.

SECTION B.   OPERATION AND MAINTENANCE OF POLLUTION CONTROLS

1.     Proper Operation and Maintenance

The permittee must 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 includes the following: effective
performance, adequate funding, adequate operator staffing and training, and adequate laboratory and
process controls, including appropriate quality assurance procedures. This provision requires the
operation of back-up or auxiliary facilities or similar systems only when necessary to achieve compliance
with the conditions of the permit.

2.     Duty to Halt or Reduce Activity

Upon reduction of efficiency of operation, or loss or failure of all or part of the treatment facility, the
permittee must, to the extent necessary to maintain compliance with its permit, control its production or
discharges (or both) until operation of the treatment facility if restored or an alternative method of
treatment is provided. Such a requirement applies, for example, when the primary source of power of the
treatment facility fails or is reduced. It will not be a defense for a permittee in an enforcement action that
it would have been necessary to halt or reduce the permitted activity to maintain compliance with this
permit.

3.     Bypass of Treatment Facilities

Bypass is prohibited

       a)  Unless the bypass is unavoidable to prevent loss of life, personal injury, or severe property
           damage.

       b)  Unless there were no feasible alternatives, such as the use of auxiliary treatment facilities,
           retention of untreated wastes, or maintenance during normal periods of equipment downtime.
           This condition is not satisfied if adequate back-up equipment should have been installed in
           the exercise of reasonable engineering judgment to prevent a bypass that occurred during
           normal periods of equipment downtime or preventive maintenance.

       c)  The permittee may allow bypass to occur if it does not cause effluent limitations to be
           exceeded but only if it is also for essential maintenance to assure efficient operation.
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APPENDIX F                                           Sample Standard Conditions for Permits
       d)  Notification of bypass

           (1)   Anticipated bypass. If the permittee knows in advance of the need for a bypass, it must
                submit prior written notice, at least 10 days before the date of the bypass, to the [name
                of Control Authority].

           (2)   Unanticipated bypass. The permittee must notify the [name of Control Authority]
                within 24 hours from the time it becomes aware of an unanticipated bypass and submit
                a written notice to the POTW within 5 days. This report must specify:

                (i)   A description of the bypass, and its cause, including its duration with exact dates
                     and times;

                (ii)  Whether the bypass has been corrected and if the bypass has not been corrected,
                     the anticipated time it is expected to continue; and

                (iii)  The steps being taken or to be taken to reduce, eliminate, and prevent a
                     reoccurrence of the bypass.

4.     Removed Substances

Solids, sludges, filter backwash, or other pollutants removed in the course of treatment or control of
wastewaters must be disposed of in accordance with section 405 of the Clean Water Act and Subtitles C
and D of the Resource Conservation and Recovery Act. [The Control Authority should add citations to
local or state regulations that may apply]

SECTION C.   MONITORING AND RECORDS

1.     Representative Sampling

Samples and measurements taken as required herein must be representative of the volume and nature of
the monitored discharge. All samples must be taken at the monitoring points specified in this permit and,
unless otherwise specified, before the effluent joins or is diluted by any other wastestream, body of water
or substance. All equipment used for sampling and analysis must be routinely calibrated, inspected and
maintained to ensure their accuracy. Monitoring points must not be changed without notification to and
the approval of the [name of Control Authority].

2.     Flow Measurements

If flow measurement is required by this permit, the appropriate flow measurement devices and methods
consistent with approved scientific practices must be selected and used to ensure the accuracy and
reliability of measurement of the volume of monitored discharges. The devices must be installed,
calibrated, and maintained to ensure that the accuracy of the measurements are consistent with the
accepted capability of that type of device. The devices selected must be capable of measuring flows with
a maximum deviation of less than 10 percent from true discharge rates throughout the range of expected
discharge volumes.
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APPENDIX F                                            Sample Standard Conditions for Permits
3.     Analytical Methods to Demonstrate Continued Compliance

All sampling and analysis required by this permit must be performed in accordance with the techniques
prescribed in 40 CFR Part 136 and amendments thereto, otherwise approved by EPA, or as specified in
this permit.

4.     Additional Monitoring by the Permittee

If the permittee monitors any pollutant more frequently than required by this permit, using test procedures
identified in Section C.3, the results of this monitoring must be included in the permittee's self-
monitoring reports.

5.     Inspection and Entry

The permittee must allow the [name of Control Authority], or an authorized representative or federal
and state personnel, upon the presentation of proper identification, to do the following:

       a)  Enter 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;

       b)  Have  access to and copy, at reasonable times, any records that must be kept under the
           conditions of this permit;

       c)  Inspect at reasonable times any facilities, equipment (including monitoring and control
           equipment), practices, or operations regulated or required under this permit;

       d)  Sample or monitor, for the purposes of assuring permit compliance, any substances or
           parameters at any location; and

       e)  Inspect any production, manufacturing, fabricating, or storage area where pollutants,
           regulated under the permit, could originate, be stored, or be discharged to the sewer system.

6.     Retention of Records

       a)  The permittee must retain records of all monitoring information including all calibration and
           maintenance records and all original strip chart recordings for continuous monitoring
           instrumentation, 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 3 years from the date of the
           sample, measurement, report, or application.

           This period may be extended by request of the [name of Control Authority] at any time.

       b)  The permittee must retain and preserve all records that pertain to matters that are the subject
           of special orders or any other enforcement or litigation activities brought by the [name of
           Control Authority] until all enforcement activities have concluded and all periods of
           limitation with respect to any and all appeals have expired.
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APPENDIX F                                           Sample Standard Conditions for Permits
7.     Record Contents

Records of sampling and analyses must include the following:

       a)  The date, exact place, time, and methods of sampling or measurements, and sample
           preservation techniques or procedures;

       b)  Who performed the sampling or measurement;

       c)  The date(s) analyses were performed;

       d)  Who performed the analyses;

       e)  The analytical techniques or methods used; and

       f)  The results of such analyses.

8.     Falsifying Information

Knowingly making any false statement on any report or other document required by this permit or
knowingly rendering any monitoring device or method inaccurate, is a crime and may result in the
imposition of criminal sanction or civil penalties or both.

SECTION D. ADDITIONAL REPORTING REQUREMENTS

1.     Planned Changes

The permittee must give notice to the [name of Control Authority] 90 days before any facility
expansion, production increase, or process modifications that results in new or substantially increased
discharges or a change in the nature of the discharge. [Alternatively, this requirement may appear in
Part 3, Reporting Requirements, of the permit.]

2.     Anticipated Noncompliance

The permittee must give advance notice to the  [name of Control Authority] of any planned changes in
the permitted facility or activity that could result in noncompliance with permit requirements.

3.     Automatic Resampling

If the results of the permittee's wastewater analysis indicates a violation has occurred, the permittee must
notify the [name of Control Authority], within 24 hours of becoming aware of the violation and repeat
the sampling and pollutant analysis and submit, in writing, the results of that repeat analysis within 30
days after becoming aware of the violation.

4.     Duty to Provide Information

The permittee must furnish to the [name of Control Authority], within [specify time] any information
that the [name of Control Authority]  may request to determine whether cause exists for modifying,
revoking and reissuing, or terminating this permit or to determine compliance with this permit. The
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APPENDIX F                                             Sample Standard Conditions for Permits
permittee must also, upon request, furnish to the [name of Control Authority] with [specify time] copies
of any records required to be kept by this permit.

5.       Signatory Requirements  [use whichever alternative best applies]

All applications, reports, or information submitted to the [name of Control Authority] must contain the
following certification statement and be signed as required in Sections (a), (b), (c), or (d) below.

        "I certify under penalty of law that this document and all attachments were prepared under my
        direction or supervision in accordance with a system designed to assure that qualified personnel
        properly gather and evaluate the information submitted. Based on my inquiry of the person or
        persons who manage the  system, or those persons directly responsible for gathering the
        information, the information submitted is, to the best of my knowledge and belief, true, accurate,
        and complete. I am aware that there are significant penalties for submitting false information,
        including the possibility of fine and imprisonment for knowing violations."

        a)  By a responsible corporate officer, if the Industrial User submitting the reports is a
           corporation. For the purpose of this paragraph, a responsible corporate officer means either of
           the following:

           (i)    A president, secretary, treasurer, or vice-president of the corporation in charge of a
                 principal business function, or any other person who performs similar policy- or
                 decision-making functions for the corporation, or

           (ii)   The manager of one or more manufacturing, production, or operating facilities,
                 provided the manager is authorized to 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 initiate and direct other
                 comprehensive measures to assure long-term environmental compliance with
                 environmental  laws and regulations; can ensure that the necessary systems are
                 established or actions taken to gather complete and  accurate information for permit
                 requirements; and where authority to sign documents  has been assigned or delegated to
                 the manager in accordance with corporate procedures.

        b)  By a general partner or proprietor if the  Industrial User submitting the reports is a partnership
           or sole proprietorship, respectively.

        c)  The  principal executive officer or director having responsibility for the overall operation of
           the discharging facility if the Industrial User submitting the  reports is a federal, state, or local
           governmental entity,  or their agents.

        d)  By a duly authorized representative of the individual designated in paragraph (a), (b),  or (c)
           of this section if:

           (i)    the authorization is made in writing by the individual  described in paragraph (a), (b), or
                 (c);

           (ii)   the authorization 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 a well field superintendent,
September 2012                                                                               F-ll

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APPENDIX F                                            Sample Standard Conditions for Permits
                or a position of equivalent responsibility, or having overall responsibility of
                environmental matters for the company; and

           (iii)   the written authorization is submitted to the [name of Control Authority].

       e)  If an authorization under paragraph (d) of this section is no longer accurate because a
           different individual or position has  responsibility for the overall operation of the facility, or
           overall responsibility for the environmental matters for the company, a new authorization
           satisfying the requirements of paragraph (d) of this section must be submitted to the [name of
           Control Authority] before or together with any reports to be signed by an authorized
           representative.

6.     Operating Upsets

Any permittee that experiences an upset in operations that places the permittee in a temporary state of
noncompliance with the provisions of either this permit or with [reference specified section of
ordinance] must inform the [name of Control  Authority] within 24 hours of becoming aware of the
upset at [daytime telephone number] or [night time and weekend telephone number] after 5 p.m.
Monday-Friday or weekends and holidays.

A written follow-up report of the upset must be filed by the permittee with the [name of Control
Authority] within 5 days. The report must specify the following:

       a)  Description of the upset, the cause(s) thereof and the upset's impact on the permittee's
           compliance status;

       b)  Duration of noncompliance, including exact dates and times of noncompliance, and if not
           corrected, the anticipated time the noncompliance is expected to continue; and

       c)  All steps taken or to be taken to reduce, eliminate, and prevent recurrence of such an upset.

The report must also demonstrate that the treatment facility was being operated in a prudent and
workmanlike manner.

A documented and verified operating upset must be an affirmative defense to any enforcement action
brought against the permittee for violations attributable to the upset event.

7.     Annual Publication

A list of all industrial users that were in significant noncompliance during the 12 previous months must be
annually  published by the [name of Control Authority] in a newspaper of general circulation that
provides  meaningful public notice within the jurisdiction served  by [the POTW]. Accordingly, the
permittee is apprised that noncompliance with this permit may lead to an enforcement action and may
result in publication of its name in an appropriate newspaper in accordance with this section.

8.     Civil and Criminal Liability

Nothing in this permit may be construed to relieve the permittee  from civil and/or criminal penalties for
noncompliance.
F-12                                                                             September 2012

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APPENDIX F                                            Sample Standard Conditions for Permits
A permittee who has violated, or continues to violate, any provision of the [name of the POTW's] sewer
use ordinance, a permit or order, or any other Pretreatment Standard or Requirement will be liable to [the
name of the POTW] for a maximum civil penalty of [insert maximum allowed under state law but
not less than $1,000] per violation, per day. If a monthly or other long-term average discharge limit is in
effect, penalties will accrue for each day during the period of the violation.

[The POTW Superintendent] may recover reasonable attorneys' fees, court costs, and other expenses
associated with enforcement activities, including sampling and monitoring expenses, and the cost of any
actual damages incurred by [the name of the POTW].

In determining the amount of civil liability, the Court will take into account all relevant circumstances,
including the extent of harm caused by the violation, the magnitude and duration of the violation, any
economic benefit gained through the  permittee's violation, corrective actions by the permittee, the
compliance history of the permittee, and any other factor as justice requires.

Filing a suit for civil penalties will not be a bar against, or a prerequisite for, taking any other action
against the permittee.

A permittee that willfully or negligently violates any provision of [the name of the POTW's] ordinance,
permit, or any other Pretreatment Standard or Requirement will, upon conviction, be guilty of a
misdemeanor, punishable by a fine of not more than [insert maximum fine allowed under state law] per
violation, per day, or imprisonment for not more than [	(	)] years, or both.

A permittee that willfully or negligently introduces any substance into the POTW that causes personal
injury or property damage will, upon conviction, be guilty of a [misdemeanor] and be subject to a
penalty of at least [insert maximum  fine allowable under state law], or be subject to imprisonment for
not more than [	(	)] years, or both. This penalty will be in  addition to any other cause of action
for personal injury or property damage available under state law.

A permittee that knowingly makes any false statements, representations, or certifications in any
application, record, report, plan, or other documentation filed, or required to be maintained, pursuant to
[the name of the POTW's] ordinance, permit, order, or who falsifies, tampers with, or knowingly
renders inaccurate any monitoring device or method required by the permit will, upon conviction, be
punished by a fine of not more than [insert maximum fine allowable under state law] per violation, per
day, or imprisonment for not more than [	(	)] years, or both.

If a second conviction occurs, a permittee will be punished by a fine of not more than  [insert maximum
fine allowable under state law] per violation, per day, or imprisonment for not more  than [	
(	)] years, or both.

9.     Penalties for Violations of Permit Conditions

The [cite specific section of ordinance] provides that any person who violates a permit condition is
subject to a civil penalty of at least [cite dollar amount] per day of such violation. Any person who
willfully or negligently violates permit conditions is subject to criminal  penalties of a fine of up to [cite
dollar amount] per day of violation, or by imprisonment for [number]  of year(s), or both. The permittee
may also be subject to sanctions under state or federal law or both.
September 2012                                                                              F-13

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APPENDIX F                                            Sample Standard Conditions for Permits
10.    Recovery of Costs Incurred

In addition to civil and criminal liability, the permittee violating any of the provisions of this permit or
[reference specific section of ordinance] or causing damage to or otherwise inhibiting the [name of
Control Authority] wastewater disposal system will be liable to the [name of Control Authority] for
any expense, loss, or damage caused by such violation or discharge. The [name of Control Authority]
may also recover the costs for any cleaning, repair, or replacement work caused by the violation or
discharge. Refusal to pay the assessed costs will constitute a separate violation of [reference specific
section of ordinance].
F-14                                                                              September 2012

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   *•

   4ft
%
\
             National Pretreatment
                        Program

                        (40 CFR 403)

           Pretreatment Streamlining Rule
Fact Sheet 5.0: New Classifications  for Categorical
                     Industrial Users
 Summary
 Who might be
 affected by these
 provisions?
 What is a CIU and
 what are its
 requirements?
              EPA finalized several revisions to the General
              Pretreatment Regulations as part of the Streamlining
              Rule. One provision allows Control Authorities to
              reduce certain oversight responsibilities, including
              permitting, sampling, and inspection requirements for
              a newly established class of indirect dischargers, the
              "non-significant categorical Industrial User" (NSCIU).
              The Rule  also allows Control Authorities to reduce the
              reporting requirements for another new class of
              indirect dischargers, the "Middle Tier" Categorical
              Industrial User (CIU). Both provisions are optional
              (See Fact Sheet 2.0), so neither the state nor the
              Control Authority is required to incorporate these
              changes into its pretreatment  program.

              These provisions may affect local pretreatment
              programs that accept wastes from indirect dischargers
              eligible for the NSCIU and/or the Middle Tier CIU
              categories. Local programs that choose not to
              implement these provisions would not be affected.

              These provisions also potentially affect qualifying CIUs
              as well as states that plan to amend state law to allow
              local pretreatment programs discretion to authorize
              this type  of CIU oversight. CIUs that are located  in
              States or in publicly owned treatment works (POTW)
              service areas that choose not to implement these
              provisions will not be affected.

              CIUs are  Industrial Users that  are subject to
              categorical Pretreatment Standards  under 40 CFR
              403.6 and 40 CFR chapter I, subchapter N. If an
              Industrial User qualifies as a CIU, it is then, under the
              General Pretreatment Regulations, a Significant
Office of Water
EPA 833-F-06-011
July 2006

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 What is an
 NSCIU?
 What is a Middle
 Tier CIU?
Industrial User (SIU). Each CIU, because it is an SIU,
must file a baseline monitoring report, must  report to
the Control Authority sampling data a minimum of two
times a year, must be issued a permit or similar
control mechanism, and must be inspected and
sampled annually by the Control Authority. These
requirements maybe modified if a CIU is reclassified
by the Control Authority as an NSCIU or Middle Tier
CIU.

An NSCIU  is  a CIU designated by the Control Authority
as "non-significant." To qualify as an NSCIU, the CIU
must never discharge more than 100 gallons per day
(gpd) of total categorical wastewater (excluding
sanitary, non-contact cooling, and boiler blowdown
wastewater,  unless specifically included in the
categorical Pretreatment Standard). The CIU must
also:
»  Have consistently complied with all applicable
   Pretreatment Standards;
*  Annually submit a certification statement (40 CFR
   403.12(q)); and
*  Never discharge any untreated concentrated
   wastewater.

A CIU may be designated by the Control Authority as
a Middle Tier CIU if its discharge of categorical
wastewater does not exceed the following:
»  0.01 percent of the design dry weather hydraulic
   capacity of the POTW, or 5,000 gpd, whichever  is
   smaller;
»  0.01 percent of the design dry weather organic
   treatment capacity of the POTW;  and
»  0.01 percent of the maximum allowable headworks
   loading  for any pollutant for which approved local
   limits were developed  by a  POTW.

In order to classify a CIU as a Middle Tier CIU,  the
Control Authority must also demonstrate that the
CIU has not been in significant noncompliance for
any time in the past 2 years and that the reduced
reporting requirements would still result in data
that is representative of conditions occurring at the
facility and in the discharge during the reporting
period.
Office of Water
EPA833-F-06-011
July 2006

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 Are control
 mechanisms
 required for
 NSCIUs and
 "Middle Tier"
 CIUs?
 What are the
 reporting,
 inspection, and
 sampling
 requirements for
 NSCIUs and
 Middle Tier CIUs?
An indirect discharger that has been designated a
NSCIU by its Control Authority is no longer an SIU, so
there is no requirement to control it through a permit
or other control mechanism. But, if the Control
Authority determines that an existing NSCIU no longer
meets a required criterion for being categorized as
non-significant (see section above), the User becomes
an SIU and must be  issued a control mechanism. Of
course, the Control Authority always has the option of
issuing a control mechanism to a non-SIU.

A Middle Tier CIU is still an SIU. Control Authorities
must issue control mechanisms to CIUs in the Middle
Tier category.

NSCIUs
* The Control Authority may reduce sampling and
  reporting requirements for an NSCIU as it deems
  appropriate, but the facility must annually report
  and certify that it  still meets the definition of an
  NSCIU, including that it complied with the
  applicable categorical Pretreatment Standards
  during the reporting period.
» The Control Authority must evaluate, at least once
  per year, whether each NSCIU still meets the non-
  significant criteria in 40 CFR 403.312(i).
* NSCIUs are still categorical dischargers and, as
  such, are still required to comply with applicable
  categorical Pretreatment Standards.

Middle Tier CIUs
* The Control Authority may reduce the submission
  frequency of the required  periodic monitoring report
  for Middle Tier CIUs from a minimum of twice per
  year to a minimum of once per year.
» Reports submitted at this  reduced frequency must
  still be based upon data that are representative of
  the conditions occurring during the entire reporting
  period, consistent with  40 CFR 403.12(g)(3).
» The Control Authority may also reduce its own
  obligation to inspect and sample Middle Tier CIUs
  from once per year to once every two years.
Office of Water
EPA833-F-06-011
July 2006

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 What does the
 Control Authority
 need to do to
 implement these
 provisions?
 Where can I get
 more information?
The Control Authority is not required to adopt these
provisions. If the Control Authority chooses not to
implement these new CIU categories, it does not need
to do anything. However, if the Control Authority
wants to implement these provisions, it must submit a
program modification to the Approval Authority before
it can  implement the new classifications for CIUs.

The regulations covering CIU oversight are found
in 40 CFR403.3(v)(2), 403.8(f)(2)(v), 403.12(6),
(9), (O/ and  (q), which was published in the
Federal Register on October 15, 2005 (70 FR
60134). You can get a copy of the rule at EPA's
Pretreatment web site,
http://cfpub.epa.gov/npdes/home.cfm7proqram  id=3
Information  is also available from your state
environmental agency or from  EPA.  See EPA's web
site at,
httD://cfDub.eDa.QOv/nDdes/contacts.cfm?Droqram id=3&tv
pe=ALL.
Office of Water
EPA833-F-06-011
July 2006

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 f
 \
National Pretreatment
           Program

           (40CFR403)
                 Pretreatment Streamlining Rule
          Fact Sheet 7.0: Best Management Practices
 Summary
 What are BMPs?
 When are BMPs
 appropriately
 used?
   Provisions of the Pretreatment Streamlining Rule clarify
   that publicly owned treatment works (POTWs) may use
   best management practices (BMPs) as an alternative to
   numeric limits that are developed to protect the POTW,
   water quality, and sewage sludge. In addition, the rule
   requires that any applicable BMPs be included in the
   user's control mechanism, that self-monitoring reports
   include  BMP compliance information where applicable,
   and that documentation of compliance information for
   BMPs be maintained by the POTW and the user.

   BMPs are management and operational procedures that
   are intended to prevent pollutants from entering a
   facility's wastestream or from reaching a discharge point.
   BMPs are defined at Title 40 of the Code of Federal
   Regulations (CFR) 403.3(e) as schedules of activities,
   prohibitions of practices, maintenance procedures, and
   other management practices to implement the general
   and specific prohibitions listed in sections 403.5(a)(l)
   and (b). BMPs also include treatment requirements,
   operating procedures, and practices to control plant site
   runoff, spillage or leaks, sludge or waste disposal, or
   drainage from raw materials storage.

   BMPs may be Pretreatment Standards in two different
   circumstances.  The first is when the BMPs are categorical
   Pretreatment Standards established by EPA.  These are
   discussed in more detail below.
   The second is when a POTW establishes BMPs as local
   limits to implement the general and specific prohibitions.

   EPA anticipates that POTWs will choose to use BMPs
   instead of numeric limits where determination of
   compliance with numeric limits is infeasible or as  a
   supplement to numeric limits, as appropriate, to meet the
   requirements of the Clean Water Act. BMPs may be
   appropriate for  regulating releases when the types of
Office of Water
EPA-833-F-06-013
January 2007

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 What elements
 should be
 included in an
 enforceable BMP?
 POTWs may
 develop and
 implement the
 use of BMPs in
 lieu of numerical
 local  limits for Ills
pollutants vary greatly over time, when chemical
analyses are impracticable, where discharges are episodic
in nature, and when other discharge control options are
inappropriate (e.g., requirements for photoprocessors to
use silver recovery systems or for dental facilities to
follow BMPs to control  mercury). Additional examples of
BMPs used for the control of commercial sources of
wastewater can  be found in "Appendix W - Best
Management Practices Mini-Case Studies" of "Local Limits
Development Guidance Appendices," EPA 833-R-04-
002B, July 2004.
(http://www.epa.gov/npdes/pubs/final local  limits appendices.pdH

Enforceable BMPs may include the following elements:
(1)  specific notice to IDs of requirements and
enforceability; (2) installation of treatment;
(3)  requirements for or prohibitions on certain practices,
activities or discharges; (4) requirements for operation
and maintenance of treatment units; (5) timeframes
associated with  key activities;  (6) compliance
certification, reporting  and  records retention;
(7)  provision for re-opening or revoking the BMP
conditions; and  (8) other requirements as determined by
the  POTW.  Depending on the industry being controlled,
not  all elements may be necessary or appropriate.

Description of change: The final rule clarifies that
POTWs may develop BMPs for  industrial users (IDs) in
order to implement the specific limits requirements listed
at 40 CFR 403.5(c)(l-2). Such BMPs are considered local
limits and Pretreatment Standards. POTWs have the
option to use BMPs to regulate IDs at their discretion
(e.g., to regulate noncategorical IDs).

When developing and implementing  BMPs, what
actions are required?  POTWs must evaluate BMPs
during the technical evaluation of their local limits,
structuring applicable BMPs to allow for compliance
verification.  For BMPs to be considered local limits under
40 CFR403.5(c), the practices must protect against Pass
Through and/or Interference.

When implementing BMP requirements for ILJs, the
control authority (CA)  must include those requirements,
as necessary, in the ILJ's control mechanism.
Office of Water
EPA-833-F-06-013
January 2007

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 POTWs must
 include BMPs
 required by a
 categorical
 Pretreatment
 Standard in the
 CIU's control
 mechanism
 IU reports must
 include BMP
 compliance
 information
Description of required change: The final rule clarifies
at section 403.8(f)(l)(iii)(B)(3) that BMPs required by a
categorical Pretreatment Standard must  be included
amongst any necessary effluent limits in the CIU's control
mechanism.

What follow-up actions are required? POTWs must
revise, as necessary, CIU control mechanisms to include
applicable BMPs required by categorical Pretreatment
Standards.  Appropriate reporting and recordkeeping
requirements must also be specified in the control
mechanism and compliance information maintained.  For
example, facilities may develop toxic organic
management plans in lieu of sampling to  demonstrate
compliance with the total toxic organic limit in 40 CFR
Part 433 (Metal Finishing category). The Pesticides
Formulating, Packaging, and
Repackaging (PFPR) regulation provides a pollution
prevention alternative as an option that may be chosen
rather than complying with  the "zero discharge"
limitations.

Description of required change: The final rule requires
at sections 403.12(b), (e), and (h) that lUs subject to
BMP requirements as part of their Pretreatment
Standards submit documentation of compliance with  such
requirements.

What follow-up actions are required? POTWs must
revise, as necessary, IU control mechanisms to require
lUs to report on compliance with Pretreatment Standards
that include BMP  requirements. States and POTWs must
revise their programs to ensure that they have the legal
authority and procedures to enforce this requirement.

The CA must enforce those  requirements where lUs fail
to submit the required information. The CA must also
ensure that the BMPs are enforceable, and that its
enforcement response plan  addresses violations of BMP
requirements.
Office of Water
EPA-833-F-06-013
January 2007

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  Documentation
 of compliance
 with BMP
 requirements
 must be
 maintained as
 part of the Ill's
 and POTW's
 record-keeping
 requirements

 What steps are
 required  to
 implement these
 Streamlining
 provisions?
Description of required change: The final rule clarifies
at section 403.12(o) that the POTW and the IU must
maintain records of BMP compliance in the same way that
other records are maintained as part of section
403.12(0).

What follow-up actions are required? POTWs must
notify Ills of this change and revise IU control
mechanisms to require maintaining BMP compliance
records. The POTW must also maintain documentation
associated with BMPs.

Once the POTW has determined what program revisions
it will make in response to the Streamlining Rule, it must
submit the modifications to the Approval Authority (either
the state, if it has Pretreatment Program authority, or the
EPA Regional Administrator) for approval. The program
modifications must include a statement of basis for the
changes, a description of the modifications, and other
information the Approval Authority may request, as
appropriate.
Office of Water
EPA-833-F-06-013
January 2007

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