An Overview of the WPDES Wastewater Permit Process

The basic steps involved in issuing a non-controversial Wastewater permit take DNR staff anywhere from seven months to one year to complete. Listed below are the major steps taken by the Department. They are described in detail in the rest of this document.

1. Send the Wastewater Permit Application/Reapplication to the facility
   Link to Wastewater Permit Applications
   
   
2. Prepare draft Wastewater Permit Documents
   Link to draft Wastewater Permits
   
   
3. Public Notice the Wastewater Permit
   Link to Wastewater Permits on Public Notice
   
   
4. Hold a Wastewater Permit Public Informational Hearing (if necessary)
   
   
5. Issue the final Wastewater Permit
   Link to Current Wastewater Permit Holders
   

In addition to the steps listed above, the following procedures may be necessary:

• Wastewater Permit Variance
• Adjudicatory Hearings for Wastewater Permits
• Wastewater Permit Revocations and Reissuances
• Converting a specific Wastewater Permit to a general Wastewater Permit
• Closure of Wastewater Permits No Longer Required

Wastewater Permit Application/Reapplication

The DNR has separate Wastewater permit applications for each type of Wastewater Permit. More information is available on specific types of Wastewater permit applications.

In order to receive a Wastewater Permit to discharge wastewater in Wisconsin, a Wastewater permit application must be completed and returned to the DNR. The due date for submission of the completed application is at least 180 days in advance of the planned start of discharge.

For most Wastewater permit reissuances, the Wastewater Permit Application is sent anywhere from seven to two years prior to expiration of the current Wastewater permit, depending on how much data is required to be submitted with the application and how long it might take for a facility to gather that information and data. The application typically includes a cover letter requesting that toxic sampling, biomonitoring, and phosphorus monitoring results be submitted with the completed application. In some cases these biomonitoring results are required at the end of the current permit rather than with the next application. The due date for submission of the completed application and results is at least 180 days in advance of the expiration date of the existing permit.

Prepare draft Wastewater Permit Documents

The following steps taken by DNR staff in preparing draft Wastewater permit documents. They are not necessarily listed in order; they can be done in different sequences.

• Items to be considered for surface water discharges may include:
  • An DNR internal review of the Water Quality Based Effluent Limits (WQBELs) and monitoring requirements.
  • NR 103 Concerns?
  • Biomonitoring Concerns?
  • Priority Watershed Needs?
  • Do categorical or water quality based effluent limits still apply?
  • Are any new or more stringent limits needed (based on change in stream classification or effluent characteristics)?
  • What is the disinfection determination?
  • What toxics monitoring should be requested either as part of the permit or with this application?
  • Are there any antidegradation concerns?
  • Will the facility be required to provide phosphorus removal?
• For new issuances or where there is a significant discharge increase proposed, determine if an environmental review is needed and who is responsible for preparing it.
• For reissuances, determine if the facility is in substantial compliance with its current Wastewater permit. This determination should include a review of the following:
• Record of DMR submittals, i.e. timeliness, completeness.
• Effluent and groundwater quality compared against limitations for all permit parameters.
• Sampling and testing procedures.
• Record of other permit required submittals for completeness, timeliness, and compliance (sludge reports, schedule of compliance items, groundwater monitoring reports, CMARs, etc.).
• Compliance with construction schedule dates and other schedule of compliance requirements.
• Presence of a certified operator at the appropriate grade for the municipal WWTPs and industrial facilities with treatment works.
• Sludge management practices and reporting.
• Case file (prepare a written synopsis of documents and identify unresolved issues).
• Occurrence of Category 1 or Category 2 bypasses or overflows (municipals only).
• Sewer extension eligibility under NR 110.05 (municipals only).
• Groundwater monitoring, reporting and compliance with PAL's and Enf. Stds.
• CMAR scores over the past issuance period (municipals only).
• Meet with the facility to discuss proposed Wastewater permit. A meeting with the facility is generally helpful either before developing a draft permit, or with a completed draft permit. The meeting is usually held after an existing facility is determined to be in substantial compliance. All of the changes needed to bring the existing permit up-to-date with present laws and the projected 5-year program direction are explained in detail.

For new municipal facilities, a meeting could be held when plans and specifications are approved or under review. For new industries, the meeting would be in the planning stages for the enterprise. During the meeting, the terms and conditions of the proposed new permit are brought to the attention of the operating staff and the corporate or municipal officials. This meeting is an opportunity for DNR staff to answer questions from the facility staff, update the facility flow diagram, gather data on facility and effluent changes, discuss operating strategies, and inform the facility staff of the steps a permit has to go through before it becomes final. The general conditions that are in every permit should be explained at the meeting as well. The facility representatives should be alerted to watch for the public notice and to review this document in detail. This is their opportunity to make comments if they find anything in the permit that they don't feel fits their particular situation.

• Prepare a draft Wastewater permit, public notice, and permit drafting fact sheet; calculate categorical limits; document an antidegradation review; calculate groundwater Preventative Action Limits (PALs), ACLs, and where needed Enforcement Standards (ESs).
• Route draft Wastewater permit to appropriate DNR staff and send a draft to permittee for comment (optional).
• Public notice the proposed Wastewater permit.
• Document public participation (hearings, responses to letters) and for major Wastewater permits, EPA comments and concurrence.
• Issue the final Wastewater permit.
• If necessary, process variance requests, amendments, etc.

Wastewater Permit Public Notices

Public notices are required by law to alert interested members of the public of the DNR's intention to authorize a discharge to a water of the state. The notices are put in the legal notices section of the local newspaper read by most people living in the vicinity of the facility. Under ideal conditions, it should appear 60 days prior to expiration for Wastewater permit reissuances and 60 days prior to the proposed start of a wastewater discharge for new facilities. The notice appears in the newspaper once to alert the public of DNR's intentions and explains how to get more information or comment on the proposed permit action. These responses can include verbal or written comments, or requests for informational meetings or public hearings. The public has at least 30 days from the date of public notice to submit comments or request a hearing on a proposed permit.

Notices are written so that they are understandable by the general public. The notice clearly identifies the facility, where the discharge is located, the type and volume of waste generated, and the type of treatment provided. It should also explain all new or unique requirements being imposed.

A listing of current Wastewater Permit Public Notices is available.

Wastewater Permit Public Informational Hearings

Pursuant to s. 283.49, Wis. Stats, the DNR may hold a public informational hearing on a Wastewater permit application or permit issuance. Any person or unit of government may request a public informational hearing. Requests for public hearings should contain at least five signatures. A hearing need not be held at the permittee's request without the necessary five signatures. In some cases, DNR staff hold a hearing without waiting for a request, because of known local controversy or opposition to a Wastewater permit action.

If an appropriate hearing request is received during the public notice period for a Wastewater permit, the parties requesting the hearing will be contacted in writing to inform them that DNR has received the request and will be scheduling a hearing time and place for the purpose of giving all interested persons an opportunity to make a statement with respect to a permit application or issuance and to have such statements considered in the final decision.

Persons wishing to comment on or object to a Wastewater permit and its limitations and conditions are invited to do so by attending a public hearing or by submitting any comments or objections in writing to the Wisconsin Department of Natural Resources, Wastewater Permit Section, Box 7921, Madison, Wisconsin 53707. Comments as received will be made part of the hearing file.

What happens at a Wastewater Permit Public Hearing?

DNR legal counsel conduct inforamational hearings. DNR representatives usually give a short informational presentation on the entity involved, the permit requirements, and the issues raised by the public. Department responses to the issues are also explained. Members of the public are then allowed to make statements; written statements can also be submitted for a short-time frame after the hearings (usually 7 days).

The hearing is conducted in an orderly and speedy way and uses procedures necessary to insure broad public participation in a hearing. The hearing officer opens the hearing and makes a concise statement of the scope and purpose of the hearing and states what procedures will be used during the course of the hearing. The hearing officer explains the method of notification of the final decision to grant or deny the permit issuance and the methods by which the decision may be reviewed in a public adjudicatory hearing.

The hearing officer may put limits on individual oral statements to insure an opportunity for all persons present to make statements in a reasonable period of time and to prevent undue repetition. Informational and clarifying questions and oral statements are directed through the hearing officer. Cross-examination is not allowed. The hearing officer may also limit the number of representatives making oral statements on behalf of any person or group.

What happens after a Wastewater Permit Public Hearing?

At the close of the hearing comment period, DNR staff will address the issues and develop a final permit. Comments received at the hearing are summarized, and concerns responded to, usually as a letter to the people expressing concerns, or in the final determination. All comments or suggestions received from members of the public no later than 7 days following the date of this public hearing are used, along with other information on file and testimony presented at the hearing, in making a decision.

If substantial changes need to be made after comments are received, or if a major change in circumstances occurs between the public notice date and preparation of the final Wastewater permit, the Wastewater permit may need to be renoticed. Renoticing involves revising affected permit pages, and preparing a new public notice. The revised package goes back through publishing, circulation, and the normal 30 day comment period before a final permit action can be taken.

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Issue the final Wastewater Permit

All comments received from the public, the permitted facility staff, and DNR staff must be taken into account in preparing the final Wastewater permit. After reviewing all of the comments received, DNR prepares a summary of public participation. This is a simple check off form which summarizes what action DNR took in response to public comments. Comments received should be summarized, and resolution of the issues raised should be explained. Copies of the letters from the public can be attached to this summary.

The final Wastewater permit and cover letter are signed by the appropriate DNR designee. Once signed, a photocopy of the official permit must be sent by certified mail to the entity (the signed original is kept in the official DNR Wastewater permit file). Other parties that should receive copies of all mailings include:

• US EPA
• US Fish & Wildlife (surface water discharges only)
• The wastewater treatment plant operating staff
• Regional Planning Staff (optional)
• Anyone else who has requested an original of a permit or group of permits

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Wastewater Permit Variance Process

Authority for variances to Wastewater permits may be found in s. 283.15, Wis. Stats, "Variances to a water quality standard".

When the DNR issues, reissues, or modifies a permit to include a water quality based effluent limitation, the permittee may apply to the Department for a variance from the water quality standard used to derive the limitation. This application must be made within 30 days after permit issuance. The permittee must demonstrate that attaining a water quality standard is not feasible because of:

• Naturally occurring pollutant concentrations;
• Natural, ephemeral, intermittent or low flow conditions or water levels;
• Human caused conditions or sources of pollution which prevent attainment and cannot be remedied or would cause more environmental damage to correct than to leave in place;
• Dams, diversions or other types of hydrologic modifications;
• Physical conditions related to the natural features of the water body; or
• Substantial and widespread adverse social and economic impact.

The DNR Secretary may approve, deny, or partially approve a requested variance. There are specific time frames the DNR and permittee must adhere to in processing a variance request. For more information on the Wastewater permit variance process, contact Tom Mugan.

Adjudicatory Hearings for Wastewater Permits

Petitions and Requests

An adjudicatory hearing can be requested for any final Department action on a Wastewater permit:

1. Issuance
2. Reissuance
3. Denial
4. Modification
5. Revocation
6. The establishment of any terms or conditions of any issued or modified permit
7. The establishment of proposed water quality based effluent limitations

In order for an adjudicatory hearing to be held, a verified petition must be submitted to the Secretary of the DNR by the permit applicant, the permittee, any state affected or to be affected by the discharge or by five or more persons. The petition must be submitted within 60 days after notice that the action has been issued by the DNR. The form of the verified petition is specific and must contain all the information detailed in Section NR 203.17, Wis. Adm. Code.

After the matter has been set for hearing, an examiner from the Wisconsin Department of Justice, Division of Hearings and Appeals discusses with the opposing parties the possibility of holding a pre-hearing conference. The purpose of such a conference is to determine what, if any, points of agreement exist between the parties and attempt to specify points of conflict or discussion. Holding a pre-hearing conference may lead to a modification, withdrawal or confirmation of the petition. In the event a pre-hearing conference is held, the proceedings are recorded on tape.

Adjudicatory Public Notices

The public notice for an adjudicatory hearing is written by the Wisconsin Department of Justice, Division of Hearings and Appeals. The public notice should be circulated at least 30 days prior to the hearing. An adjudicatory hearing notice is published in a newspaper, and distributed to a permittee's mailing list, and petitioners.

Hearing Procedure and Conduct

At the hearing an examiner from the Wisconsin Department of Justice, Division of Hearings and Appeals presides. The party requesting the hearing presents testimony first. The opposing party then has an opportunity to defend its position. Only those issues specified prior to the hearing may be discussed. Essentially, this is a trial situation with the examiner acting as judge. Witnesses are sworn in and cross examination is allowed. Witnesses may also be questioned regarding the answers provided for any written questions addressed prior to the hearing. Witnesses may be called, where necessary, by subpoena. After all testimony has been presented, the hearing is closed. The examiner then has 90 days in which to make a decision on the issues raised.

Final Determination

The final determination, also called "Findings of Fact, Conclusions of Law and Order" for an Adjudicatory Hearing, is distributed by the DNR to the people on the permit mailing list and persons submitting appearance slips. The permit action that was adjudicated is finalized and sent to all appropriate parties.

Petitions for Rehearing in Contested Cases

Any person adversely affected by a hearing examiner's decision may petition for a rehearing under s. 227.49, Wis. Stats., within 20 days after service of the final order. Grounds for granting a rehearing are:

• Some material error in law.
• Some material error in fact.
• The discovery of new evidence sufficiently strong to reverse or modify the order, and which could not have been previously discovered by due diligence.

The filing of a petition for rehearing does not affect the effective date of the order. However, the effective date is suspended if the petition is granted. A petition for rehearing is not a prerequisite for judicial review. However, if the petition for rehearing is filed, the 30 day period for filing a petition for judicial review does not begin until the petition for rehearing has been disposed of pursuant to s. 227.49, Wis. Stats.

Judicial Review

If a party wishes to appeal a decision issued after an adjudicatory hearing, a request may be made for a judicial review under ss. 227.52 and 227.53, Wis. Stats. This requires, within 30 days of service of the adjudicatory decision, filing a petition with the Department and with the clerk of the circuit court in the county where the petitioner resides. The petition shall state the nature of the petitioners interest and the grounds upon which the adjudicatory decision should be reversed or modified.

During the review, the scope of discussion shall be confined to evidence or testimony on record, unless the court has granted the petitioner the opportunity to introduce additional information in writing prior to the date of the review. The presiding judge reviews the evidence presented and affirms, reverses or modifies the decision of the hearing examiner. If the court determines that a modification or reversal is in order, it may take such action or remand the matter to the hearing examiner who then must modify or reverse the decision accordingly.

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Wastewater Permit Revocations and Reissuances

The DNR or a permittee may request that a Wastewater permit be revoked if the discharge is to cease, if a wastewater treatment facility is to be abandoned, or because of secondary enforcement, with agreement of the Department of Justice and district enforcement specialist. A Wastewater permit revocation is needed if the term of the permit has not expired. If the permit is expired, and reapplication for a permit was made, but the facility is no longer discharging, a determination of need letter is sent out.

After review and resolution of any issues, the intent to revoke is public noticed. After the 30-day public notice period, if no public informational hearing is requested, a final letter is signed by the DNR and mailed certified to the permittee. The letter contains instructions for appeal, as well as how to reapply if the discharge is ever to resume again. Copies of the letter are sent to appropriate DNR staff and any other interested or affected individuals. If a hearing is requested, the procedures described in the hearing section above should be followed.

Revoke and Reissue

In special cases a Wastewater permit may be public noticed as a "revoke and reissue." Situations resulting in major revisions in permit terms and conditions (such as changing from groundwater to surface water discharge), may be processed as revoke and reissue. A new permit application for reissuance is required. The public notice of intent to reissue is amended to include 'REVOKE AND' in all places "REISSUE" or a form of this word appears. The reason for the revocation is stated following the description of activities or operations resulting in discharge. This essentially terminates the existing permit, so a new 5 year permit is issued.

Converting a specific Wastewater Permit to a general Wastewater Permit

When an application for reissuance is received and reviewed, sometimes the facility operation has changed or a new general permit has been issued,allowing the discharge to be covered under a general permit. In these cases, DNR staff must agree that the conversion can occur. Then, the existing, specific permit can be terminated by letting it expire, issuing a "No Permit Required" letter saying the permit will expire, or revoking it to terminate it earlier than the expiration date. After the end of the permit term or finalization of the revocation, the facility can be placed on the appropriate general permit.

Closure of Wastewater Permits No Longer Required

In cases where a Wastewater permit has expired or is about to expire, and no application has been received for reissuance or an application was received, but was later withdrawn by the applicant, and information indicates there is no longer a wastewater discharge at the facility, and there are no violations of the permit to be resolved, action is taken to close the permit file. A public notice is not required in these cases, because there is no discharge or unresolved issues.

The DNR sends the "No Permit Required" letter to the facility by CERTIFIED MAIL to provide notice of the DNR's decision and the facility's obligation to notify the DNR of any changes which would require the facility to obtain a permit in the future.

Industrial General Wastewater Permit Closure

If a facility on an industrial general Wastewater permit closes, or is no longer discharging, a letter can be sent withdrawing industrial general Wastewater permit coverage. In other cases, a facility may change operations or treatment methods such that the industrial general Wastewater permit no longer is appropriate, and a specific Wastewater permit should be issued. A Wastewater permit application should be sent to the facility to document the new way of operating, and the process for issuing the specific Wastewater permit should begin.

For more information, contact Bureau of Watershed Management, Permits Section.