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Industrial NPDES Permit Application Review Process

The following pages detail the steps necessary to review a NPDES permit application in order to determine if the application is consistent with Section 22a-430-3 and 4 of the Regulations of Connecticut State Agencies (RCSA) and to ensure that the discharge will not cause pollution to the waters of the state.

The Spring 2009 Lean event helped the NPDES Permitting Team refine DEP’s Industrial NPDES permit application review process. Inefficiencies in the application process were identified and reduced, effectively leaning the process from 114 to 59 steps. The Lean process also has helped with the coordination of the application process between the Bureaus of Water Protection and Land Reuse (WPLR), Planning and Standards Division (PSD), and the Bureau of Materials Management Compliance Assurance (MMCA), Water Permitting and Enforcement Division (WPED). Ultimately, this new NPDES permit application review process will decrease the time to notice of tentative determination from 925 days to, at most, 284 days.

The industrial NPDES permitting flowchart, displayed below, pictorially depicts the steps of the industrial NPDES permit application review process. Selecting a box in the flowchart will link you to the relevant standard operating procedures (SOPs) and forms for that step. (A printable, pdf version of the industrial NPDES flowchart also is available.) In addition, you may select a specific form or access the SOPs from the list of industrial NPDES documents.

330 days prior to a NPDES permit expiring, the Supervising Sanitary Engineer (SSE) will assign the renewal of the permit to a Sanitary Engineer (SE). The SSE will review the quarterly compliance report, as well as other enforcement pending actions from other DEP Programs/Divisions, forwarded to the permit section from the Water Permitting & Enforcement Division (WPED) Enforcement Supervisor. The SSE will then inform the SE whether a follow-up is necessary with the WPED enforcement program on any wastewater compliance issues. If any, the SE reviews compliance steps in the existing permit to determine whether the Permittee is in compliance with them or not. The SE also obtains the Permittee’s violations report by e-mailing the WPED Discharge Monitoring Report (DMR) Unit Supervisor with the request. In addition, the SE e-mails the Supervising Environmental Analyst (SEA) requesting the following information:

  • A report that summarizes the results of aquatic toxicity tests results for discharges from the Permittee’s facility during the previous permit term
  • Any new developments with the TMDL
  • Changes in anti-degradation policy for the receiving stream
  • Water quality issues related to the receiving stream
  • Watershed data
  • Impairment of the receiving waterbody

The SE also e-mails other DEP programs contact persons as a courtesy to let them know that a given Permittee will be submitting a permit application. For example, contact DEP Fisheries Division staff if dealing with facilities that have intake structures.

The SE completes the ‘NPDES Permit Pre-Application Meeting Quality Review Checklist’, emails the completed form to the SSE, AD and Director, and if necessary, meets with them to get feedback on any issue(s) that need to be addressed prior to drafting the notice of tentative determination package.

Notes: It is the SE’s responsibility to keep track of goals/timeframes; the transmittal slip for NPDES permit can be used as a record. The SE copies the SSE on e-mails sent to the DMR Unit Supervisor, the SEA and any other DEP program contact person. Refer to WPED Enforcement Program SOP if violations issues fall outside of WPED.

Goal: 330 days prior to permit expiration.

Timeframe: 1 day. It may take up to 15 days for the SEA to e-mail the aquatic toxicity test results to the SE.


Forms and Documents:

  • SE Request for Information from SEA [Enable "Request a Read Receipt"]
  • Appendix B: Acronyms/Definitions Used in the Standard Operating Procedures for NPDES Permit Application Review Process
  • Appendix D: State and Federal Contact List for Process Coordination
  • Procedure to Determine Compliance for the Purpose of NPDES Permit Application Review
  • NPDES Permits: Information Requirements relevant to federal Water Pollution Control Act Section 316(b)
  • Procedure to Address Stormwater Discharge(s) from Industrial Facilities with Discharges Subject to NPDES Permitting Requirements
  • NPDES Permit Pre-Application Meeting Quality Review Checklist
  • Transmittal Slip for NPDES Permit

The WPED DMR Section will mail (certified return receipt requested) a pre-application meeting letter, along with the SIMS generated letter, to the Permittee(s) 320 days prior to permit expiration to contact the assigned SE to schedule a pre-application meeting. A copy of the pre-application meeting letter will also be forwarded to the assigned SE and SSE.

Goal: 320 days prior to permit expiration.

Forms and Documents: Pre-application Meeting Letter

Step 3 Pre-application Meeting Scheduled

The Permittee(s) is to contact the assigned SE within 5 days after receiving the pre-application meeting letter and is to schedule a meeting at the facility. During this initial contact, the SE should give the Permittee a brief overview of what will be discussed at the meeting. Such things might include but are not limited to compliance issues, new water quality criteria, TMDL, etc. The SE should also inform the Permittee to have all the appropriate environmental staff present at the meeting. This pre-application meeting is to take place 310 days prior to permit expiration. If the Permittee does not contact the SE within 5 days of the mailing of the pre-application meeting letter, the SE shall follow up with a courtesy call to the Permittee.

Goal: 315 days

Step 4 Pre-application Meeting

The SE conducts the scheduled pre-application meeting at the facility. At the meeting, the SE discusses with the Permittee any compliance issues, toxicity, possible new discharges, Permittee’s proposals, stormwater issues, etc. In addition, the SE reviews the application requirements using the Wastewater Permit Application Checklist.

Note: The SE will also discuss the LEAN review process, compliance issues, stormwater, water quality, anti-degradation, and TMDL issues, etc, with the Permittee at the pre-application meeting.

Goal: 310 days prior to permit expiration.

Timeframe: 1 day to complete this step

Forms and Documents: Wastewater Discharge Permit Application Checklist (DEP-WD-APP-001)

Step 5(a) Application Submittal

The Permittee submits the completed Permit Application for Wastewater Discharges, the Wastewater Discharge Permit Application Checklist, and the Permit Application Transmittal Form along with a check for the initial application fee to the DEP 180 days prior to permit expiration. The Permittee will also email a copy of the Application Checklist and Transmittal form to the SE. Once the SE receives the e-mail from the Permittee that an application is on its way, the SE will e-mail the SEA letting the SEA know that the NPDES permit application has been sent to the Department.

Goal: 180 days prior to permit expiration.

Forms and Documents:

  • Permit Application for Wastewater Discharges (DEP-PED-APP-100)
  • Instructions for Completing the Permit Application for Wastewater Discharges (DEP-PED-INST-100)
  • Permit Application Transmittal Form (DEP-APP-001)
  • Environmental Permit Application Package (DEP-INST-001)

Step 5(b) Initial Application Processing

DEEP's Central Permit Processing Unit (CPPU) receives the application and conducts all the necessary SIMS data entry and fee processing. The Permit Application, Transmittal form and Application Checklist are retrieved by WPED’s administrative assistant and hand delivered to the WPED’s DMR Section where more SIMS data entry is conducted. The WPED DMR Section hand carries the application (two copies), transmittal form and Application Meeting Checklist to the assigned SE. If the application is for a new permit issuance, the WPED DMR Section hand carries the application to the SSE. The SSE routes it to the appropriate SE.

Note: If the Permittee did not submit an initial application fee along with the application, the SE will proceed to Step 8b of this SOP. Submitting an application without the initial application fee causes the application to be insufficient. This is grounds for rejecting the application by issuing a Notice of Rejection.

Goal: 177 days prior to permit expiration.

Timeframe: 3 days to complete this step.

Step 5(c) Fees

The SE will prepare the fee work sheet in accordance with Sections 22a-430-6 and 7 of the Regulations of Connecticut State Agencies (RCSA) to determine the category of discharge. Once the SE completes the fee work sheet, the SE forwards it to the WPED DMR Section for processing. The WPED DMR staff generates a fee invoice and sends it to the Permittee/Applicant. The DMR staff also hand delivers a copy of the fee invoice to the SE.

Notes: The Permittee has 45 days to pay the fee invoice that is generated as a result of Step 5c. The SE does not continue processing the application until he/she verifies, in SIMS, that all fees are paid. If the fees are not paid in a timely manner, the SE proceeds to Step 8b and generates a Notice of Insufficiency. If a company requests to have the fees reduced pursuant to Section 22a-430-6 and 7 of the RCSA, the SE fills out the Discharge Permit Fee Adjustment Request Worksheet and gives it to the SSE for review and sign off, SSE forwards it AD for review and sign off. If new discharges are discovered (which would require an individual permit) when conducting the technical review of the application and/or from the site visit, the SE should prepare another Fee Calculation Worksheet for Submittal to DMR Staff worksheet and forward it to the WPED DMR staff for processing.

Goal: 174 days prior to permit expiration.

Timeframe: 3 days to complete this step.

Forms and Documents:

  • Fee Calculation Worksheet for Submittal to DMR Staff
  • Discharge Permit Fee Adjustment Request
  • Fee Regulations 22a-430-6 & 7

The Permittee is required to post a public notice, notifying the public of the submittal of a permit application to the DEP. This public notice is required pursuant to Section 22a-6g of the Connecticut General Statutes (CGS) after the Permittee/Applicant had submitted the application to the DEP. The Permittee may concurrently post and submit the public notice with the application submittal 180 days before the permit expiration date. The Permittee sends the Certification of Notice Form (DEP-APP-005A) to the WPED’s DMR Section. The WPED DMR Section hand delivers this certification to the assigned SE. The assigned SE waits to receive the Certification of Notice Form (DEP-APP-005A) from the Permittee prior to moving on to the next step.

Note: Failure to submit the Certification of Notice Form will result in an incomplete application. Application is not completely sufficient until the Department receives a completed Certification of Notice Form (DEP-APP-005A).

Goal: 130 days prior to permit expiration.

Timeframe: 47 days to complete this step.

Forms and Documents:

  • Certification of Notice Form- Notice of Application (DEP-APP-005A)
  • Public Notice Requirements for Permit Applications

Step 7(a) Planning and Standards

The SE e-mails to the Bureau of Water Protection and Land Reuse, Planning and Standard Division/Aquatic Toxicity Program (ATP), Supervising Environmental Analyst (SEA) a request that Environmental Analyst (EA) be assigned to work with the SE on any water quality related issues in the application. The SE copies the SSE on this e-mail. The assigned SE will complete the ATP transmittal form, attach it along with a copy of the existing NPDES permit (for permit renewal) and email everything to the SEA. The SE will hand carry a copy of the permit application received from the WPED DMR Section from Step 5b to the SEA. SE may also hand carry, a copy of the existing NPDES permit, a copy of an Attachment E, chemical inventory list, and Attachment O analytical data from the application to the SEA, only if a copy of the application is not available. The SE will also forward any other materials and documents requested by the SEA. SEA will then e-mail the SE of the assigned EA. The SSE gets copied on this e-mail.

Goal: 120 days prior to permit expiration.

Timeframe: 5 days to complete this step.

Forms and Documents:

  • Permit Attachment E: Renewal of an Existing Permit or Other Discharges Previously Licensed by DEP
  • Permit Attachment O: Discharge Information
  • ATP Transmittal Form

Step 7(b) Program Coordination

The SE also coordinates with other programs if it is necessary, such as: Remediation, Fisheries, Diversion, and Endangered Species. (See Appendix D: State and Federal Contact List for Process Coordination). The SE should receive a memo, via e-mail, to file and for the Factsheet from other DEP programs on the given program’s recommendations concerning the NPDES application the SE is working on. If the SE does not receive any memos from other programs the SE follows up with email/phone call and requests the written documentation again.

Goal: 109 days prior to permit expiration.

Timeframe: 11 days to complete this step.

Forms and Documents: Appendix D: State and Federal Contact List for Process Coordination

Preliminary Review

Using the Water Discharge Permit Application Checklist that was completed by the Permittee/Applicant as a reference, the SE conducts a preliminary review of the application to verify that the application is adequately complete.

Notes: If there are parameters in the effluent for which WQC are not included in the most recent version of the CT Water Quality Standards (WQS), the SE should identify these compounds to the SEA so that WQC could be derived. The SE must make timely updates in SIMS AT THE COMPLETION OF EACH STEP.

Goal: 105 days prior to permit expiration.

Timeframe: 4 days to complete this step.

Forms and Documents:

  • Water Discharge Permit Application Checklist (DEP-WD-APP-001)
  • CT Water Quality Standards (WQS)

8(a) Sufficient Application:

If the application is sufficiently complete, the SE drafts the Notice of Sufficiency (NOS). The SE then puts the NOS and the violation report in a folder, prints a copy of the company’s registration from the Secretary of the State CONCORD website and incorporates it in the folder. The SE attaches the NPDES transmittal slip and forwards the folder to the SSE for review. The SSE will forward it to the AD for the AD’s review and sign off. The signed NOS is mailed to the applicant by the administrative assistant via certified mail. The administrative assistant also hand delivers a copy of this letter to the SE.

Goal: 100 days prior to permit expiration.

Timeframe: 5 days to complete this step.

Forms and Documents: Notice of Sufficiency

8(b) Insufficient Application

If the application is incomplete, the SE generates a Notice of Insufficiency (NOI). The SE then encloses the NOI and violation report in a folder, prints a copy of the company’s registration from the Secretary of the State CONCORD website and also incorporates it in the folder. The SE attaches NPDES transmittal slip and forwards the folder to the SSE for review. The SSE will forward it to the AD for the AD’s review and sign off. The signed NOI is mailed to the applicant by the administrative assistant via certified mail. The administrative assistant also hand delivers a copy of this letter to the SE. The Permittee has 30 days to respond to the deficiencies.

If the Permittee does not submit the missing information within 30 days, the SE should issue a Notice of Rejection to the Permittee. Once the permit application is rejected the Permittee must file a new application to the Department and the process for the SE starts from step 5.

Note: It is important to keep in mind that once an application is rejected, the Permittee no longer owes an annual fee, but is subject to a possible enforcement action if the Permittee continues to discharge without a permit.

Goal: 100 days prior to permit expiration.

Timeframe: 30 days to complete this step.

Forms and Documents:

  • Notice of Insufficiency
  • Notice of Rejection

8(c) Section 22a-430-4(d) of the RCSA:

If the application is untimely but sufficient or timely but insufficient the assigned SE should follow the appropriate procedure as specified in Section 22a-430-4(d) of the RCSA, Section 4-182 and Section 22a-6j of the Connecticut General Statutes (CGS).

Forms and Documents: Section 22a-430-4(d) of the RCSA

Step 9(a) Technical Review

The SE conducts a detailed technical review of the application.

Goal: 95 days prior to permit expiration.

Timeframe: 5 days to complete this step.

Forms and Documents:

  • Permit Application for Wastewater Discharges (DEP-PED-APP-100)
  • Instructions for Completing the Permit Application for Wastewater Discharges (DEP-PED-INST-100)

Step 9(b) Site Visit

After the application is complete and a NOS has been issued, the SE will schedule a site visit with the Permittee. The SE will coordinate with the assigned EA to set a mutually beneficial date for the site visit. The SE will conduct a site visit with the assigned EA and other DEP staff, if necessary. SE will complete the NPDES Site Visit Inspection Checklist, either during the site visit or shortly thereafter.

Goal: 84 days prior to permit expiration.

Timeframe: 11 days to complete this step.

Forms and Documents: NPDES Site Visit Inspection Checklist

Technical Review Letter

If necessary, the SE will use the technical review letter template to draft a technical review letter. The letter will address any technical deficiencies discovered in the application review and issues discovered from the site visit, including any deficiencies that were observed by other DEP staff. The SE should make sure to include any comments/concerns observed by other DEP staff. The SE gives this technical review letter to the administrative assistant to mail via certified mail. Once the letter is mailed, the administrative assistant gives the SE a copy of it. The SE may also ask the administrative assistant to scan the letter or convert the letter to PDF and email it to the Permittee in PDF form in order to expedite the process.

Note: The SE should convert the technical review letter from Microsoft word to PDF document prior to emailing it to the Permittee/Applicant.

  • Step 1: Click on the “Microsoft word logo” on the top left hand side corner on your monitor.
  • Step 2: Click on “Save As”, then click on “PDF or XPS publish a copy of the document as a PDF or XPS file” option (Save as Type: PDF).

Goal: 81 days prior to permit expiration.

Timeframe: 3 days to complete this step.

Forms and Documents: Technical Review Letter/ Request for Additional Information

The Permittee will send the technical review letter responses directly to the SE within 30 days.

Note: If the Permittee/Applicant did not adequately address all the technical deficiencies in the technical letter in their response, or did not respond in a timely manner, the assigned SE should discuss it with the SSE to determine what will be the appropriate action to take. The AD and Director should be consulted on how to resolve the technical deficiencies in order to move the application review process forward.

Goal: 48 days prior to permit expiration.

Timeframe: 33 days to receive the Permittee’s responses.

Note:

  • Notice of Tentative Determination Intent to Issue/Renew a NPDES Permit

    • The SE proceeds through steps 12 a-d, 13 , 14 a-d, 15, 16 a-b, 17, 18 a-b, 19 a-b, and 20(a), 20(b), or 20(c) of this SOP. The TD Package will have the following forms, as described in Step 14 a: draft permit, fact sheet, memos from support programs, NPDES Permit Quality Review Checklist, transmittal slip, and Notice of Tentative Determination.

  • Notice of Tentative Determination Intent to Revoke/Deny a NPDES Permit

    • The SE proceeds through steps 12 a, c, d, 14 a-d, 15, 17, 18 a-b, 19 a-b, and 20 c of this SOP. The TD Package will have the following forms: fact sheet, memos from support programs, NPDES Permit Quality Review Checklist, transmittal slip, and Notice of Tentative Determination.

  • Timeframe

    • 20 days to complete all parts of Step 12.

Step 12(a) Planning and Standard

The assigned EA will draft and e-mail the assigned SE a memorandum based on the EA’s review to determine whether water quality based effluent limitations are necessary. If necessary, NPDES Permit Quality Review Checklist-Industrial, Water Quality-Based Effluent Limits #32 through #43 section, toxicity language and limitations should also be addressed in this memorandum. The Water Quality Based Permitting Worksheets calculations must also be provided.

Note: The SE will conduct these evaluations in accordance with the WQ Permitting SOPs once these SOPs become available and the functions are transferred to WPED.

Goal: 43 days prior to permit expiration.

Timeframe: 5 days to complete this step.

Forms and Documents:

  • Water Quality Based Permitting Worksheets (WQ Spreadsheet and Reasonable Potential Analysis)
  • CT Water Quality Standards

Step 12(b) Developing Permit Limits/Conditions

The SE reviews the technical review letter responses sent by the Permittee. The SE will also share responses from the Permittee/Applicant with the assigned EA and other DEP programs if there were question raised by them in the technical review letter. The SE also reviews the DMRs, the existing permit and historical files, if necessary, to develop and incorporate effluent limits and permit conditions in accordance with the WQ Permitting SOPs. If necessary, the SE also obtains a memorandum electronically from other DEP programs when appropriate, e.g. DEP Fisheries, Endangered Species, Remediation, Inland Water Resources, Diversion, etc.

Note: The SE will conduct and document anti-degradation implementation review in accordance with protocols in Water Quality Based NPDES Permitting once this SOP becomes available.

Goal: 38 days prior to permit expiration.

Timeframe: 5 days to complete this step.

Forms and Documents:

  • Appendix D: State and Federal Contact List for Process Coordination
  • CT Water Quality Standards (WQS)

Step 12(c) Draft of TD Package

The SE drafts the permit, fact sheet and public notice using the appropriate format and applicable state and federal regulations and statutes. The NPDES permit, fact sheet and public notice formats and instructions on drafting these documents (Procedure to Draft a NPDES Permit and Procedure to Draft a Data Tracking and Technical Fact Sheet) can be found below. For a new application, the SE shall conduct the NPDES permit rating using the NPDES Permit Rating Work Sheet, provided below, to determine whether the discharge should be rated a major or minor. The SE should see the SSE if he or she is not sure on how to conduct this rating.

Goal: 29 days prior to permit expiration.

Timeframe: 9 days to complete this step.

Forms and Documents:

  • Fee Codes for Wastewater Discharges
  • EPA 40 CFR: Chapter 1, Subchapter N- Effluent Guidelines and Standards (Part 400-471)
  • EPA Clean Water Act (CWA)
  • DEP Regulations 22a-430-3 and 4 (General Conditions Applicable to Water Discharge Permits and Procedures and Criteria for Issuing Water Discharge Permits)
  • NPDES Permit Quality Review Checklist- Industrial
  • NPDES Permit- New, Renewal, Modification
  • Wastewater Discharge Permit: Data Tracking and Technical Fact Sheet
  • NPDES Permit Modification (Minor, NPDES, State)
  • Public Notice of Tentative Determination
  • Procedure to Draft a NPDES Permit
  • Procedure to Draft a Data Tracking and Technical Fact Sheet
  • NPDES Permit Rating Work Sheet (EPA Source Document)
  • Transmittal Slip for NPDES Permit
  • Instructions for Completing the Permit Application for Wastewater Discharges (DEP-PED-INST-100)

Step 12(d) NPDES Permit Quality Review Checklist

The SE completes the NPDES Permit Quality Review Checklist, except for the Water Quality-Based Effluent Limits section, to verify that all appropriate requirements have been covered in the draft permit and fact sheet.

Goal: 28 days prior to permit expiration.

Timeframe: 1 day to complete this step.

Forms and Documents: NPDES Permit Quality Review Checklist- Industrial

Step 13 DMR Staff Review

The SE e-mails the draft permit to the WPED DMR Unit Supervisor for the DMR section review to verify that appropriate codes are used on the monitoring tables. The SE will make the necessary edits to the draft permit if any.

Goal: 27 days prior to permit expiration.

Timeframe: 1 day to complete this step.

Step 14(a) Planning and Standard Review of TD Package

The SE receives the draft permit from WPED DMR Staff and e-mails the draft permit, fact sheet, NPDES Permit Quality Review Checklist, copy of the company’s registration from the Secretary of the State C.O.N.C.O.R.D. website, transmittal slip and public notice (permit package) to the SSE, assigned EA and the SEA for the EA and SEA review and comments using the Procedure for the Electronic Transmittal of a Draft NPDES Permit to Supervisors for Review. The EA and SEA complete the review and e-mail the permit package to the SE for the SE’s editing. The EA and SEA should complete the transmittal slip and NPDES Permit Quality Review Checklist and e-mail them back to the assigned SE with the draft permit package.

Notes:

  • Once the SE takes over the function of calculating WQ limits, the EA and SEA will only review these proposed limits at Step 15a. Therefore, a hard copy of the draft permit and the supporting information (such as limits derivations, reasonable potential analysis, NPDES Permit Quality Review Checklist, WET evaluation, Anti-degradation evaluation, and transmittal slip, etc.) should be given to the assigned EA and SEA for review and sign off. The SE should document in the fact sheet how the permit limits and conditions are derived and indicate if any decisions were made to deviate from the WQ Permitting SOPs.
  • The SE should also e-mail the permit package (specific section of the permit) to other DEP programs such as the DEP Inland and Marine Fisheries Divisions for review and comment. This is only necessary if the draft permit contains any requirements that the SE had coordinated with other programs. (Timeframe: 5 days to complete this step for other DEP programs to review and comment if it is necessary.)

Goal: 17 days prior to permit expiration.

Timeframe: 10 days to complete this step for EA and SEA review.

Forms and Documents:

  • Procedure for the Electronic Transmittal of a Draft NPDES Permit
  • C.O.N.C.O.R.D.

Step 14(b) Editing of the TD Package

The SE will review and edit the draft permit to incorporate the EA and SEA edits. If the SE does not agree with all the edits from the EA and SEA, the SE should write a memo to file and forward it to the SEA to let the SEA know that all edits will not be incorporated into the draft permit. In this case the SE should meet with the EA and SEA to resolve the issue(s) of concern. The SE should keep the SSE informed by either copying the SSE on the email sent to the SEA or have the SSE attend the meeting with the EA and SEA.

Goal: 12 days prior to permit expiration.

Timeframe: 5 day to complete this step.

Step 14(c) SSE Review of TD Package

The SE edits the TD package based on comments received from the EA and SEA and emails the TD package to the SSE for review and comments. The SE should copy the SEA on this email as a verification that all the agreed edits have be incorporated into the draft permit. If the SEA has any additional issues, the SEA should email the SE and SSE to meet and resolve them.

Goal: 11 days prior to permit expiration.

Timeframe: 1 day to complete this step.

Step 14(d)

The SSE completes the transmittal slip and e-mails it along with the reviewed TD package to the SE for editing.

Goal: 6 days prior to permit expiration.

Timeframe: 5 days to complete this step.

If the SE does not agree with all the edits from the SSE, the SE should meet and discuss the edits with the SSE prior to emailing the draft permit in (PDF) format to the Permittee/Applicant. The SE should also meet with the SSE if there are questions which need to be addressed beyond simple wording changes delineated by the SSE. The SE shall meet with the SSE to resolve these issues prior to emailing the draft permit to the Permittee/Applicant. In difficult cases, the SE and SSE should consult managers for guidance. The SE converts the draft permit into a PDF file and e-mails the draft permit to the Permittee/Applicant with the transmittal cover letter. The SE should copy the SSE on the e-mail to verify to the SSE that his/her edits were incorporated into the draft permit.

Note: The SE should convert the draft permit from Microsoft word to PDF document prior to emailing it to the Permittee/Applicant. See the process on how to convert Microsoft word document to PDF below.

  • Step 1: Click on the “Microsoft word logo” on the top left hand side corner on your monitor.
  • Step 2: Click on “Save As”, then click on “PDF or XPS publish a copy of the document as a PDF or XPS file” option (Save as Type: PDF).

Goal: 5 days prior to permit expiration.

Timeframe: 1 day to complete this step.

Forms and Documents: Transmittal Cover Letter

Step 16 Permittee’s Review of Draft Permit

The Permittee reviews the draft permit and e-mails the comments to the SE for review within 30 days.

Timeframe: 30 days to complete this step.

Step 16(a) SE’s Review of Permittee’s Comments

SE reviews the Permittee’s comments. If no substantive comments, such as changing effluent limits and monitoring frequencies, compliance date, and/or wording change etc, but just typos are present, SE edits the permit package accordingly and forwards the package to the AD for the AD’s review and sign-off (Step 18(a) of this SOP).

Note: The SE should check with the SSE if the SE is not sure whether certain comments from the Permittee/Applicant can be categorized as substantive or not. The SE and SSE may be able to resolve the Permittee/Applicant comments without a meeting and continue with Step 17.

Timeframe: 2 days to complete this step.

Step 16(b) Substantive Comments

If the Permittee has substantive comments on the draft permit, the SE will coordinate and schedule a meeting with the Permittee and DEP staff. At the meeting, the Permittee, SE and other DEP staff discuss the issues that the Permittee has with the proposed draft permit.

Once the meeting is complete and all issues are resolved, the SE edits the draft permit, incorporating the comments that were discussed at the meeting. The SE then e-mails the revised draft permit (PDF) format to the Permittee as a courtesy. The SE does not wait for the Permittee’s comments prior to processing the permit package for public notice.

Note: REPEAT steps 15 and 16 only if there are changes made to the draft permit as a result of step 16b. Certain controversial projects might require further discussions before all the issues are resolved. Any changes made to the draft permit that impacted the permit tables should be discussed with the DMR Staff.

Timeframe: 45 days to complete this step.

STEP 17 TD Package

The SE prints the TD package (draft permit, fact sheet and public notice), company’s registration form from the Secretary of the State CONCORD website, encloses the package in a folder, attaches the NPDES transmittal slip and forwards the TD package to the AD for the AD’s review and sign off.

Note: In the event that substantive issues arise after the AD’s and/or Director’s review, the SE shall immediately inform the SSE about these issues.

Timeframe: 1 day to complete this step.

Step 18(a) AD’s Review

The AD reviews the TD package and gives the TD package back to the SE for editing.

Timeframe: 5 days to complete this step.

Step 18(b) Editing

The SE edits the TD package and gives it to the Director for the Director’s review and sign off.

Timeframe: 1 day to complete this step.

Step 19(a) Director’s Review

The Director reviews the TD package and gives the TD package back to the SE for editing.

Timeframe: 5 days to complete this step.

Step 19(b) Editing

The SE edits the TD package and gives it back to the Director for the Director’s sign off.

Timeframe: 2 days to complete this step.

Note: The Lean process is focused on getting the NPDES permits to public notice. Thus this SOP stops at the stage when the Notice of Tentative Determination gets signed by the Director. However, the following steps give a brief overview of what additional steps need to be followed to get the final permit issued.

Step 20

After the comment period, the SE will do one of the following

  • 20(a): If there were no written or verbal comments received by the SE, the SE will prepare the proposed permit for issuance by drafting the final determination memos from the Bureau Chief to the Commissioner and if necessary, from the Commissioner to the Bureau Chief. In this case, the memo from the Commissioner to the Bureau Chief is only necessary when treatment unit(s) approval is required. The SE will also recommend in this memo whether the permit should be issued or not.
  • 20(b): If there were written and/or verbal comments received on the draft permit, the SE will address these comments in the final determination memos from the Bureau Chief to the Commissioner and if necessary, from the Commissioner to the Bureau Chief. The SE will also recommend in this memo whether the permit should be issued or not. The SE should route the proposed permit package to the SSE for review and sign off on the transmittal slip, the SSE should route the package to the AD for review and sign off, the AD should route it to the Director for review and sign off, and to the Bureau Chief for review and sign off, then to the Commissioner for review and issuance. The SE should get a copy of the permit from the WPED Central Processing Unit for the SE file after the permit has been issued.
  • 20(c): If there is a request for a hearing, the SE should notify the SSE, AD and Director about this request. The SE should print the “Request for a Hearing Officer” form from the DEP Intranet (also found in Appendix C of this SOP). The SE shall complete this form and attach a copy of the written request for a hearing. The SE should enclose the completed form and a copy of the written request for a hearing into a folder attach a transmittal slip and walk it to the SSE for review and sign off, SSE shall route it to the AD for review and sign off and the AD shall give it to the Director for review and sign off prior to the SE routing it to the Office of Adjudications.

Note: The WPED DMR staff will conduct all necessary data entering and mailing of the permits after it has been signed by the Commissioner. The DMR staff will also mail the DMR forms to the Permittee. DMR staff will also mail the ATMR forms to the Permittee once the WPED staff takes over the function of conducting water quality analyses.

Forms and Documents

  • Final Determination
  • Recommended Final Determination
  • Request for Hearing Officer