PRETREATMENT PERMIT MODIFICATION
Prepared By
Sherry Bagwell
Utility Plant Supervisor
City of Winston-Salem, NC
1.0
INTRODUCTION
This section is designed to assist the new pretreatment coordinator with information that is
required to modify a permit.
1.1
REQUEST MODIFICATION
The first step in any permit modification has to do with the submittal of a permit modification
request either by the Control Authority (CA) or the Significant Industrial User (SIU). This
section will be based on a request from the SIU (non- categorical) to increase permit limits and
remove monitoring. Require this request to be in writing with an explanation for the
increase/removal of the permit limits. Does their explanation support the need to increase limits
or remove a permit limit? Poor housekeeping and sloppy production practices do not justify a
permit limit increase. Verify data to justify change in permit limits. A copy of this letter may be
sent to the State as an explanation for the modification. See Example A.
1.2
ALLOCATION TABLE
Check the Allocation Table to determine if capacity for that pollutant(s) is available at your
POTW. Deny permit modification if not available or contact the State for assistance. If capacity
is available and your intent is to modify the permit, go ahead and make the change to your
allocation table. Don’t forget to change the modification dates beside the name of the SIU and at
the top of the Allocation Table. Also make a copy of the Allocation Table for the State. If you
agree to remove a permit limit, this change must be reflected in the allocation table as well.
Make sure that you still have capacity available after any permit modification.
1.3
PERMIT LIMIT CHANGES
Modify or remove the permit limit or monitoring requirement from the limits page. Change the
effective date at the top of the page. The effective date is the date which these limits will go into
effect and will be used for compliance. Think ahead and estimate how long the modification
process will take. The signature date of the modification must be prior to the effective date.
Permit limits cannot be retroactive to an earlier date. Most municipalities use either the 1st or the
15th as the effective date just for convenience. See Example B.
The maximum duration of a permit is 5 years, but permits may be issued for any length of time
less than 5 years. If the permit was originally issued for 5 years, the expiration date CANNOT
be changed. Any change within the effective period of a permit is considered a modification.
An SIU permit issuance or renewal must contain a new application and starts a new compliance
period for the SIU permit.
A permit limit is not required if the annual pollutant average (lbs/day) is less than 5% of the
Maximum Allowable Pollutant Loading (MAHL) unless it is a categorical standard. The MAHL
can be found on your Allocation Table. See Example C. The last row on the bottom of the
Allocation Table is the 5 Percent MAHL. If the wastewater discharge (lbs/day) is less than this
value, a limit can be removed from the permit. Make sure you provide the justification in the
cover letter to the State.
Example:
Zinc
The 2002 average concentration for Zinc was 0.0055 lbs. This number was
derived from 12 data points. The 5% MAHL for the Northside POTW is 1.234
lbs. Therefore the zinc limit can be removed from the permit.
If you provide the data, this will make the permit modification process go
much faster.
1/23/02
2/08/02
3/18/02
4/09/02
5/02/02
6/22/02
7/30/02
8/18/02
9/14/02
10/02/02
11/21/02
12/10/02
Zinc
(mg/l)
Flow
(MGD)
0.182
0.200
0.327
0.229
0.139
0.117
0.097
0.189
0.256
0.333
0.114
0.175
0.0045
0.0037
0.0022
0.0038
0.0041
0.0029
0.0036
0.0024
0.0034
0.0022
0.0031
0.0038
Average
0.200
0.0033
Lbs. (8.34)(0.200 mg/l)(0.0033 MGD)
= 0.0055 lbs/day
0.0055/bs/day is less than the 5% MAHL of 1.234 lbs/day
1.4
PERMIT HISTORY PAGE
The permit history page is an on-going list of modifications and renewals. The history page is
not a regulatory requirement but assists the SIU, you and the State in tracking the changes made
to a permit. A permit issuance is related to a submission of a permit application, inspection, etc.
A permit modification is a change to certain pages or parameters. Every time the permit is
issued or modified, this information should be included on the history page. The effective date
as stated above and the exact changes you made to the permit should be listed with a justification
for the change. Example: “Increase copper limit due to change in chemical formulation.”
(What you did and why) “Remove zinc limit because the average zinc concentration is less than
5% of the MAHL,” “ Reduce lead self-monitoring requirement from once per week to once per
month.” It’s also a good idea to put the modified date at the top of the page for changes in special
conditions. This is very helpful when the permittee does not understand the permit and which
date applies to what pages. See Example D.
1.5
COVER PAGE
The most overlooked portion of a permit modification is the cover page. Every permit
modification must have a new cover page. The effective date on this page must be identical to
the date in the history page and any modified page. The cover page should be signed and dated
only by an authorized individual. The cover page must be signed and dated on or before the
effective date of the modification. In addition, to avoid any possible interpretation that the
permit modification is some form of contract, the SIU should not sign the cover page. See
Example E & F.
1.6
APPEAL
The permittee still has the right to appeal the permit modification even if they requested the
modification. Most likely if the modification is granted, this is very unlikely.
1.7
LETTER TO SIU
A transmittal letter to the SIU must accompany the permit modification. This letter should
address the appeal process as well as how to manage the changes to the permit. Identify what
permit modification pages are enclosed. See Example #1. Make a copy of this letter to send to
the State Pretreatment Section as an explanation to the modification.
1.8
REVIEW MODIFICATION DOCUMENTS
What to send to the Industry:
Letter – See Section 1.7
Cover Page (Check to make sure signature date is on or before the effective date)
Permit History Page (Check to make sure the history section has been updated and
includes the new effective date)
Limit Page, if applicable (Check to make sure the limit page has the same effective
date as the cover page)
Special Conditions, if applicable (Add effective date to the top of the page)
What to send to the State for Approval (Timely Manner)
All of the above AND
Transmittal Letter to State
Allocation Table
Original letter from SIU concerning request to modify permit
Data to justify change, if needed
1.9
CONTROL AUTHORITY INITIATES PERMIT MODIFICATION
Can the Control Authority modify a permit without the request of the SIU? Yes, but understand
the limitations. If you adopted the State SUO Model you MUST give at least a 60-day notice to
the permittee for a modification. See Model Section 4.2(g)(2)(ii). Even if you didn’t adopt the
model SUO, it’s a good idea to give the SIU 60-days notice if the limit was reduced or more
stringent. This would give the SIU time to comply with the permit modification.
You may want to consider adding the following statement in your SUO during your next SUO
revision: “A permit may be modified at the request of the user or by action of the POTW
Director. When a permit modification is initiated by the POTW Director, the POTW Director
shall give a user sixty (60) days written notice if the limitation is more stringent than the existing
permit limit.”
However, under Section 4.2(i)(3) model ordinance, a request for a modification by the SIU
shall constitute a waiver of the 60-day notice. You may want to suggest to the industry that they
need to submit the request to speed up the process because you will need to provide a 60-day
notice for the modification. If compliance is an issue, they will request the modification.
1.10 CHANGE OF NAME OR SALE OF COMPANY
Industrial User permits are issued to a specific user for a specific operation. A permit can not be
reassigned, transferred or sold to a new owner, new user, different premises, or a new or changed
operation. This implies that you can not transfer a permit, but this is not so. If the only change is
a company name or sale of the company, a transfer may be allowed as a permit modification.
Most SIUs or the attorney handling the sale of the property will call and ask how to transfer the
permit. You need to ask enough questions to determine if any changes will take place. If so,
send them an application. If no changes are to occur, request a letter of transfer. The letter
should include a written certification by the new owner which:
 States that the new owner and/or operator has no immediate intent to change the
facility’s operations, processes, or staff.
 Identify the specific date on which the transfer is to occur.
 Acknowledge full responsibility for complying with all terms and conditions of
the existing permit.
See Example #2.
1.11 PERMIT MODIFICATION FOR SALE OF COMPANY
What is required for a permit modification for the sale of a company or name change where there
will be no change in process? The only thing that is required is a cover page and history page.
However, the transfer letter with the permit modification will provide additional documentation
if the company fails to notify the CA of any future changes in operation. See Example #3. If a
company fails to notify you of the sale of the company, a Notice of Violation should be issued.
A permit transfer/modification still needs to be addressed.
What to send to the Industry:
Letter – See Example #3.
Cover Page (Check to make sure signature date is prior to effective date)
Permit History Page (Check to make sure the history section has the same effective date)
What to send to the State for Approval (Timely Manner)
All of the above AND
Transmittal Letter to State
Original letter from SIU concerning request to transfer permit due to sale
An Allocation Table is not required if a permit limit was not changed. However, you
should update your allocation table with new company name and effective date.
1.12
WHEN IS THE PERMIT EFFECTIVE
The permit is modified upon the effective date. However, the SIU has 30 days to comment and
so does the State. If no written comments are received within this time period, the modification
is effective. The State will send you a letter with the approval of the modification and/or what
areas need additional modification. See Example # 4. If the State’s comments are received after
the 30 days, the comments may be viewed as recommendations rather than requirements.
However, be extremely thorough in evaluating these “recommendations”; usually, the comments
from the State staff serve to correct an error or strengthen a permit. Do not casually ignore these
comments simply because the 30 day comment period has passed.
If the State or the SIU comments on the modification within the 30-days, the existing permit
remains in effect until all issues are resolved.
May 26, 2003
Ms. Sherry Bagwell
Utility Plant Supervisor
Manson Meads Complex
2799 Griffith Road
Winston-Salem, NC 27103-6499
Dear Ms. Bagwell:
The purpose of this letter is to request an increase in our TSS discharge limit from 500 mg/l to
1,000 mg/l.
A review of TSS data collected during recent years indicate that inherent process variability due
to uncontrollable changes in raw materials and stringent process cleaning requirements directly
affects TSS contained within our plant effluent. This has resulted in exceedances of the current
limit of 500 mg/l. Other exceedences have occurred on shut down days when process cleaning is
most likely but hydraulic discharge flows are low, or when the mill is operating but the refinery
is not. These operating conditions are not typical, but are necessary at times.
Raising our permitted discharge limit will not increase the SS discharges from the facility, but
will instead recognize the expected discharge concentration from the facility under certain
operating conditions.
If you need any additional information please contact me at 555-5555.
Thank you for your help and consideration given to our request.
Sincerely,
Environmental Director
PART I. B. 1. 1 EFFLUENT LIMITS AND MONITORING REQUIREMENTS
Receiving POTW Name: North WWTP
Receiving POTW NPDES#: NC0055555
Effective Date for These Limits: July 1, 2002
Expiration Date for These Limits: June 30, 2007
Pipe #: 01
Change Effective
Date Of Permit
Permit Limits Can
NOT Be Retroactive
This discharge shall be limited and monitored as specified below. Pollutants and
prohibitions not regulated or enumerated below shall be discharged in accordance with
the City of Winston-Salem's Sewer Use Ordinance. (limits are determined on a case by
case basis)
Limited
Parameter
Effluent Limitation
in mg/L
Daily
Monthly
Maximum
Average
Flow
0.027 MGD
Sample
Type
Composite (C)
or Grab (G)
^^
Monitoring
Frequency (**)
by
by
ABC
City
Company
Metered (*)
1/Month
TSS
1000
C
1/Month
1/6 Mos.
1/6 Mos.
Cadmium
0.03
C
1/Month
1/6 Mos.
Chromium
1.00
C
1/Month
1/6 Mos.
Copper
0.75
C
1/Month
1/6 Mos.
pH
5 - 10
G
1/Month
1/6 Mos.
*
Flow measurement: See Part III. Special Condition A for additional requirements.
**
1/ month is defined one sample collected in each calendar month
1/ 6 mos. is defined as one sample collected from January 1st through June 30th and
one sample from July 1st through December 31st
^^
Composite sample is herein defined as a maximum of 24 hours
Part I
Permit #2003
Page –2Modified 8/1/02
Part I. Specific Conditions
A.
Good Idea to Add
Modification Date
Here
Basic Information
Receiving POTW Name
POTW NPDES #:
Industry:
Permit Number:
Pipe Number:
Original Permit Effective Date:
Permit Expiration Date:
Categorical Information:
B.
North WWTP
NC0055555
ABC Company
2003
01
July 1, 2002
June 30, 2007
N/A
Permit Modification History:
July 1, 1997
Permit # 2003 Issued
Expires June 30, 2002
May 1, 1998
Remove zinc limit and self-monitoring
requirement. Zinc levels below detection
limit for 2 years. Zinc is less than 5 % of
the MAHL
August 15, 2001
Increase Copper Limit to 0.75 mg/l due to
Change in Chemicals
July 1, 2002
Permit # 2003 Issued
Expires June 30, 2007
August 1, 2002
Increase flow limit to 0.027 MGD due to
Increase in Production
Modification
On-Going List
Of Modifications &
Renewals
INDUSTRIAL USER PRETREATMENT PERMIT (SIUP)
To Discharge Wastewater Under the
Industrial Pretreatment Program
PERMIT # 2003
is issued in compliance with the provisions of City of Winston-Salem Sewer Use Resolution, North
Carolina General Statute 143-215.1, any applicable federal categorical pretreatment regulations, all
other lawful standards and regulations promulgated and adopted by the North Carolina Environmental
Management Commission, and the City of Winston-Salem. The following industry, hereafter referred
to by name or as the permittee:
ABC Company
500 Main Street
Winston-Salem, North Carolina
is hereby authorized to discharge wastewater from the facility located at the above listed address into
the sanitary sewer collection system and the wastewater treatment facility of the City of WinstonSalem listed below:
North WWTP
2801 Griffith Road
Winston-Salem, North Carolina 27103
NPDES # NC0055555
in accordance with effluent limitations, monitoring requirements, and all other conditions set forth in
Modification
Parts I, II, and III of this Industrial User Pretreatment Permit.
Date
This permit and the authorization to discharge shall become effective on AUGUST 1, 2002.
This permit and the authorization to discharge shall expire at midnight on JUNE 30, 2007.
Signed:
Director
Date:
If Permit Is A
5 Year
Permit You
Can NOT
Change the
Expiration
Date
SIGNIFICANT INDUSTRIAL USER PERMIT (SIUP)
To Discharge Wastewater Under the
Industrial Pretreatment Program
PERMIT # 2003
is issued in compliance with the provisions of City of Winston-Salem Sewer Use Resolution, North
Carolina General Statute 143-215.1, any applicable federal categorical pretreatment regulations, all
other lawful standards and regulations promulgated and adopted by the North Carolina Environmental
Management Commission, and the City of Winston-Salem. The following industry, hereafter referred
to by name or as the permittee:
ABC Company
500 Main Street
Winston-Salem, North Carolina
is hereby authorized to discharge wastewater from the facility located at the above listed address into
the sanitary sewer collection system and the wastewater treatment facility of the City of WinstonSalem listed below:
North WWTP
2801 Griffith Road
Winston-Salem, North Carolina 27103
NPDES # NC0055555
in accordance with effluent limitations, monitoring requirements, and all other conditions set forth in
Parts I, II, and III of this Industrial User Pretreatment Permit.
This permit and the authorization to discharge shall become effective on AUGUST 1, 2002.
This permit and the authorization to discharge shall expire at midnight on JUNE 30, 2007.
Signed:
Director
Date:
Make Sure
This Date Is
Before This
Date
October 2, 2002
Mr. XXXX
Vice President
My Company
P.O. Box 555
Winston-Salem, NC 27117
RE: Permit Modification
Dear Mr. XXXX:
This letter will serve as official notification that the Industrial Waste Control Section hereby
modifies Industrial User Pretreatment Permit #1190. This modification is per your request and
based on your letter dated August 31, 2002.
Please attach the enclosed “Cover Sheet”, “Modification Information”, “Schematic and
Monitoring Location” and “Effluent Limits and Monitoring Requirements” to the corresponding
existing permit. All other conditions and limitations shall remain in effect until the permit
expiration date of June 30, 2004.
If any parts in the permit modification are unacceptable to you, you have the right to an
adjudicatory hearing upon written request within thirty (30) days following receipt of this letter.
Unless such demand is made, this modification shall be final and binding.
If you have any questions, please do not hesitate to contact me at 765-0134. Thank you for your
continued cooperation and assistance in the implementation of the City of Winston-Salem’s
Pretreatment Program.
Sincerely,
Sherry Bagwell
Utility Plant Supervisor / IWC
cc: NC Pretreatment Group
August 12, 2002
Jane Doe
Pretreatment Coordinator
City of Winston-Salem
2799 Griffith Road
Winston-Salem, NC 27103
Re:
ABC Company
Permit #1190
Dear Ms. Doe:
The purpose of this letter is to notify you of the ownership change that will be occurring on or
about November 1, 2002, concerning ABC Company located at 500 Main Street, WinstonSalem, NC.
The new owner will be XYZ Company. The new corporate address will be 260 Wendover
Avenue, Greensboro, NC 27402. The telephone number is 336-555-2314.
There will be no immediate change in the day-to-day operation of this facility. XYZ Company
accepts full responsibility for Permit # 1190 and will comply with all the terms and conditions
of the existing permit. XYZ Company is aware that a change in process must be approved by the
City of Winston-Salem prior to any operational change.
If you have any questions or require additional information, please do not hesitate to call me at
(336) 555-04567.
Very truly yours,
Vice President, Law and Environmental Affairs
September 27, 2001
Mr. Industry
Environmental Manager
Company XYZ
500 Main Street
Winston-Salem, NC 27105
SUBJECT: Permit Modification
Dear Mr. Industry:
This letter will serve as official notification that the City of Winston-Salem, Industrial Waste
Control Section hereby modifies Industrial User Pretreatment Permit #1109 issued to ABC
Company on July 1, 2001.
It is my understanding that the change in name is an administrative change only and XYZ
Company has no immediate plans to change the operation and/or process in the Winston-Salem
facility. If operations are modified, XYZ Company shall notify the Industrial Waste Control
Section thirty (30) days in advance of any such modification. Failure to provide advance
notification for operational changes will render Permit # 1109 void.
With this modification XYZ Company accepts responsibility with all limits, conditions and
monitoring requirements of permit #1109. Please attach the enclosed “Cover Sheet” and
“Modification Information” to your existing permit. This modification becomes effective
October 1, 2001 and is issued pursuant to the requirements of North Carolina General Statues
143.215.1 and adopted by the North Carolina Environmental Management Commission and the
City of Winston-Salem Sewer Use Resolution.
If you have any questions, please do not hesitate to contact me at (336) 765-0134.
Sincerely,
Sherry E. Bagwell
Utility Plant Supervisor / IWC
Cc: NC Pretreatment Group