Members of the public are sometimes puzzled about the procedures NYSDEC uses to review and act on requests for permits. The process, however, is straightforward. In acting on permit requests, State officials attempt to balance the economic requirements of industry with stewardship of the State's natural resources.

With regard to permits for direct discharges of treated metal finishing wastewater to waters of New York State, NYSDEC follows specific procedures. Once the Department receives an application for a discharge permit, it reviews the application, assesses feasible treatment technologies, and assesses the water quality of the receiving stream or water body. The Department also solicits public input by publicizing the request for the permit. The permit application, review, and issuance process is comprehensive. It is designed to consider the interests of the public for environmental protection with the interests of the applicant.

Anoplate Corp. in Syracuse treats over 3 million gal of process wastewater monthly to remove metals and other waste by-products. (Courtesy of Anoplate Corp.)

Source of regulations

The Federal Clean Water Act prohibits the discharge of untreated industrial wastes to navigable waters and mandates that all industrial wastewater discharges be authorized under a National Pollutant Discharge Elimination System (NPDES) permit. A NPDES permit specifies the conditions under which a discharge is allowed. The NYSDEC has been formally delegated the authority to administer the NPDES program in New York. It administers the program, in part, by reviewing applications and issuing wastewater discharge permits, called State Pollutant Discharge Elimination System (SPDES) permits, for direct discharges to the waters of the State.

In the review of an application for a SPDES permit, the Department is governed by both Federal and State laws and the associated rules and regulations. The applicable Federal requirements are specified in the Code of Federal Regulations (CFR) Title 40 series. The applicable rule for the metal finishing industry is 40 CFR Part 433. This rule defines the manufacturing processes that constitute the metal finishing industry, identifies the parameters of concern associated with such discharges, and establishes limits—representing best available technology economically achievable—to be applied to each parameter. In addition, the rule allows the State to address additional parameters if necessary. The applicable State rules and regulations are specified in New York State Codes, Rules and Regulations (NYCRR) Title 6. These rules promulgate water quality standards and procedures for implementing the SPDES program.

The NYSDEC Division of Water (DOW) has developed a guidance series called the Technical and Operational Guidance Series (TOGS) that addresses the development of SPDES permits for wastewater from industry (TOGS 1.2.1, Industrial Permit Writing). When NYSDEC receives an application (Industrial Application Form NY-2C) for either a new SPDES permit or modification to an existing SPDES permit, staff review the application for completeness. Applicants from the metal finishing industry are required to fill out the sections on "Permittee and Facility Background Information," "Outfall Information," and "Sampling Information." To determine which parameters must be sought in wastewater samples in the "Sampling Information" portion of the application, The applicant must refer to USEPA requirements. For applications from metal finishing companies requesting a discharge into surface water, sampling must be performed for conventional pollutants, nontoxic pollutants that are believed present in the discharge, and all Priority Pollutants defined by Federal regulations—except pesticides—whether believed present or not.

Development of the permit

Once the application has been deemed complete, NYSDEC staff develop a list of proposed effluent limits and action levels, taking into account the type of treatment available; they use 40 CFR Part 433 and TOGS 1.2.1 for criteria. The list that staff create contains the technology-based effluent limits for parameters appropriate to the discharge. This list, along with the "Permittee," "Facility," and "Outfall Information" contained in the application, is then forwarded to a water quality engineer for a water quality review. This engineer determines if the proposed technology-based limits will protect the ambient water quality of the receiving water. The engineer makes this determination by calculating a water quality-based effluent limit, which is a site-specific determination based on the water quality classification and best usage of the receiving water, and the effect of the discharge on the entire drainage basin.

A permit is drafted, using the more stringent of the technology-based or water quality-based limits for final proposed effluent requirements. The final draft permit is then completed addressing, where appropriate, effluent limits, action levels, monitoring requirements, analytical detection, whole effluent toxicity testing, best management practice (BMP) plans, and compliance schedules. The final draft is sent to the regional water engineer who addresses local issues, if any. The permit is then sent for public notice. Once the public notice period has passed, any outstanding issues are resolved, and any public hearings are completed. NYSDEC then issues the permit effective for 5 years.

A similar review process is used for discharges to ground water. Once an application is deemed complete, NYSDEC staff drafts a permit. Department staff use TOGS 1.1.1, Ambient Water Quality Standards and Guidance Values, Parts I and II, to determine effluent limits. Part II contains promulgated ground water effluent limits that must be used in any permit that addresses a discharge to ground water. Part I is used for parameters not contained in the promulgated limits but covered by ground water effluent standards or guidance values.

Ground water discharges, because of the promulgated status of the effluent limits, do not receive a separate water quality review. NYSDEC staff prepare the final draft permit, send it to the Regional Water Engineer for input, and send it for public notice in the same manner as a surface water permit. Once the public notice period has passed, issues are resolved, and any public hearings are completed, NYSDEC issues the permit effective for 5 years.

NYSDEC's role and outreach

The procedural approach taken by NYSDEC in the review and issuance of SPDES permits is governed by Federal and State law which requires an application from the entity requesting the discharge, application review, technology assessment, water quality assessment, public notices, and comment before a permit is issued. This process ensures that a comprehensive, reasonable, and environmentally protective permit is put into effect. NYSDEC looks forward to working with industries that require SPDES permits. For assistance completing and submitting SPDES application forms, please contact the Division of Environmental Permits or the Division of Water at your DEC regional office.

Please visit the DEC's website at for a listing of the DEC regional offices.

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James M. Harrington, PE works as an Environmental Engineer II for the Bureau of Water Permits in the NYSDEC Division of Water. His responsibilities include the development of SPDES permits for the metal finishing industry. Phone 518-457-0662.

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