WQ_AS_IS_DOCUMENTATION by fanzhongqing

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									PARIS WQ

AS-IS Documentation
Version 1.0
January 21, 2010




WQ Business Process Documentation
Version 1.0, January 21, 2010       1
                                                         Table of Contents



1  Application Processing for Individual Authorizations (Site Specific) ....................................5
 1.1 Individual Permit Application Process............................................................................5
   1.1.1 Administrative Review .............................................................................................9
   1.1.2 Technical Review .................................................................................................. 19
   1.1.3 Draft Permit ........................................................................................................... 35
   1.1.4 Public Participation Process.................................................................................. 39
   1.1.5 ED Sub - Final Action (IP and GP) ........................................................................ 41
   1.1.6 Final Processing (IP and GP)................................................................................ 43
   1.1.7 Motion to Overturn Process (IP and GP) .............................................................. 44
   1.1.8 Permit Overturned Process ................................................................................... 45
 1.2 Sludge Registration and Authorization Application Process ........................................ 47
   1.2.1 Class A Sludge Registration ................................................................................. 47
   1.2.2 Sludge Registration Application Process .............................................................. 49
   1.2.3 Sludge Complete Administrative Review .............................................................. 55
 1.3 Water Reuse Authorization Application Processes (Industrial and Domestic) ........... 58
   1.3.1 Domestic Water Reuse Authorizations ................................................................. 58
   1.3.2 Industrial Water Reuse Authorizations .................................................................. 60
   1.3.3 Reuse Admin Review ............................................................................................ 61
 1.4 Plans and Specifications Review Process ................................................................... 64
 1.5 Permit By Rule............................................................................................................. 66
   1.5.1 Permit by Registration Process ............................................................................. 66
   1.5.2 Permit By Rule Admin Review .............................................................................. 70
 1.6 Pretreatment Program ................................................................................................. 74
   1.6.1 Pretreatment Program New Development/Modification Process .......................... 74
   1.6.2 Significant Industrial Users (SIU) Non-Pretreatment POTWs ............................... 87
 1.7 Transfers/Endorsements (Administrative) Application ................................................. 97
 1.8 General Endorsements (Technical) Application......................................................... 101
 1.9 Cancellation Application ............................................................................................ 105
 1.10 Process to Withdraw an Application .......................................................................... 109
2 General Permit Process .................................................................................................. 109
 2.1 General Permit Development Process ...................................................................... 111
3 Maintenance Processes .................................................................................................. 137
 3.1 Reporting for Permit, Registration, and Authorization (IP & GP) ............................... 138
   3.1.1 MSGP Benchmark Reporting .............................................................................. 138
   3.1.2 Springs and Seeps Monitoring Plan .................................................................... 140
   3.1.3 Groundwater Monitoring Plan ............................................................................. 144
   3.1.4 Annual Cropping Plan ......................................................................................... 147
   3.1.5 Soils Monitoring Report ....................................................................................... 149
   3.1.6 Irrigation Monitoring Report................................................................................. 151
   3.1.7 Soil Importation Plan ........................................................................................... 153
   3.1.8 Nutrient Utilization Plan (NUP) Process .............................................................. 155
   3.1.9 Bio-monitoring Reporting .................................................................................... 158
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      3.1.10   Sludge Reporting (Quarterly & Annually) ......................................................... 160
      3.1.11   Site Specific Standards Request ..................................................................... 162
      3.1.12   Closure Plan of CAFO RCS Process ............................................................... 164
      3.1.13   Closure Plan of Industrial Facilities .................................................................. 166
      3.1.14   Closure Plan of Domestic/Municipal Wastewater Treatment Plants ................ 166
      3.1.15   Pretreatment POTW Annual Report ................................................................ 168
      3.1.16   IP Pretreatment TBLL Reassessment Review Process ................................... 171
      3.1.17   IP Pretreatment TBLL Reassess Compliance Monitoring Process .................. 173
      3.1.18   Industrial Waste Survey (IWS) Compliance Monitoring Process ..................... 176
      3.1.19   Significant Industrial Users Non-Pretreatment POTWs Semi-Annual Report .. 178
      3.1.20   MER (Monthly Efluent Reports) Data Management ......................................... 180
    3.2 Maintenance Activities ............................................................................................... 194
      3.2.1 EPA Major/Minor Determination.......................................................................... 194
      3.2.2 180 Day Extension Request................................................................................ 195
      3.2.3 Notice of Completion (construction/operational notice) ....................................... 196
      3.2.4 Change in Monitoring Requirements Request .................................................... 197
      3.2.5 Bio-monitoring Monitoring Frequency Change Request ..................................... 199
    3.3 Expiration Process..................................................................................................... 200
      3.3.1 Expiration Renewal Notice ................................................................................. 200
      3.3.2 Expired Permit Notice ......................................................................................... 202
4     Pretreatment Activities ..................................................................................................... 204
    4.1 Pretreatment Program Audit ...................................................................................... 204
    4.2 Pretreatment Categorical Determination ................................................................... 211
5     Annual Fee Billing............................................................................................................ 216
    5.1 General Permit Annual Billing Process ...................................................................... 216
      5.1.1 GP Customer Extract Process ............................................................................ 217
      5.1.2 GP Invoice Extract .............................................................................................. 218
      5.1.3 GP Adjustment Extract ........................................................................................ 219
      5.1.4 Billing Address/Name Change ............................................................................ 220
      5.1.5 GP Bankruptcy Notification ................................................................................. 222
      5.1.6 GP Undeliverable Statements ............................................................................. 222
      5.1.7 GP Dispute Request ........................................................................................... 223
    5.2 Individual Wastewater Permit Annual Billing and Account Maintenance Processes.. 225
      5.2.1 Annual WQ Fee Assessment .............................................................................. 225
      5.2.2 Annual WQ Fee Adjustment/Dispute .................................................................. 228
      5.2.3 WQ Billing Address Change................................................................................ 229
      5.2.4 WQ Returned Billing Statements ........................................................................ 231
      5.2.5 WQ Fee Monthly Billing Report ........................................................................... 232
    5.3 Sludge Permit/Reg/Auth Annual Billing and Account Maintenance Processes ......... 233
      5.3.1 Sludge Annual Fee Assessment ......................................................................... 233
      5.3.2 Sludge Annual Fee Adjustment/Dispute ............................................................. 236
      5.3.3 Sludge Billing Address Change........................................................................... 237
      5.3.4 Sludge Returned Billing Statements ................................................................... 239
6     WQ Reports ..................................................................................................................... 242
7     Acronyms ........................................................................................................................ 242

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8   Revision History............................................................................................................... 247




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1   Application Processing for Individual Authorizations (Site Specific)
    1.1     Individual Permit Application Process

    The Individual Application Process includes Public and Private Domestic Wastewater, Industrial
    Wastewater, Sludge (Process, Disposal, Incineration & Class B), CAFO, MS4 Phase I, MS4 Phase II, and
    Industrial Storm Water Permits; includes emergency and temporary orders, new, major amendment,
    minor amendment, and renewal applications.

    TPDES wastewater permits (domestic, industrial, MS4, sludge processing and industrial storm water)
    typically follow the path of A-I, Q-X, MM-NN to permit issuance. If EPA approval is needed, the path
    includes Y-AA. For domestic wastewater permits where the owner is a POTW, the pretreatment path also
    includes M-P. If groundwater review is needed, the path includes K. If comments are received the path
    includes CC-HH. If a hearing request is received, the path includes LL-NN. If MTO is requested, the path
    includes RR-VV.

    Domestic and industrial TLAP wastewater permits, sludge (disposal & class B), and CAFO
    permits typically follow the path of A-K, Q-X, MM-NN to permit issuance. If comments are received the
    path includes CC-HH. If a hearing request is received, the path includes LL-NN. If MTO is requested, the
    path includes RR-VV. The only exception is that CAFO and sludge permits are assigned to a permit
    writer before they are sent to groundwater staff for review.

    A. Receive permit application
    The individual permit applications are initially received by the Water Quality (WQ) Applications Review
    and Processing (ARP) Team which initiates the permit application process.

    B. Complete administrative review
    The Water Quality (WQ) Applications Review and Processing (ARP) Team completes the administrative
    review of the permit application and requests additional information if the application is deficient. For
    municipal applications that are new or are proposing certain changes to the existing permit the application
    Team provides a copy of the application to the Municipal Team Leader to be assigned to a permit writer.
    The permit writer performs a data completeness review and provides comments to the Applications Team
    to be incorporated in the Notice of Deficiency. The Applications Team declares the permit application
    administratively complete when all required information is received. The steps involved in reviewing the
    application and declaring it administratively complete are described in the diagram and documentation for
    “Complete Administrative Review”.

    C. File the admin complete report with NORI packages with CCO
    The report and the NORI packages are filed with CCO for processing and an e-mail with the electronic
    version of the notices is sent to OCC-WQ. When appropriate, the landowners lists will also be sent to the
    OCC-WQ mailbox.
    D. Notice of Receipt and Intent CCO Process
    The Water Quality (WQ) Applications Review and Processing (ARP) Team files the NORI with the Chief
    Clerk’s Office (CCO) for each application requiring a notice of receipt and intent to obtain a permit. The
    CCO processes the notice while the application process continues with step E.

    E. Is this a CAFO permit?
    If yes, Water Quality (WQ) Applications Review and Processing (ARP) Team brings the application to the
    Water Quality Assessment Section CAFO Team Leader for assignment.

    F. Water Quality Assessment Section receives application

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The Water Quality (WQ) Applications Review and Processing (ARP) Team brings the applications to the
Water Quality Assessment Section Permit Coordinator.

G. Is this a discharge permit?
The Water Quality Assessment Section Permit Coordinator determines if the application is TPDES. If
TPDES, the application is passed to the Water Quality Standards Team for their review. If the application
is for a TLAP permit or registration (Sludge, CAFO), the Section Coordinator will pass the application to
the Water Quality Assessment Team for Latitude/Longitude determination.

H. Enter in Paradox DB (permlog_v2.db)
The applications are logged into the tracking database (permlog_v2.db) by the Water Quality Assessment
Section Permit Coordinator.

I. WQA Discharge process
Continue with WQA Discharge process.

J. WQA No Discharge Review needed
If the existing permit or the proposed permit includes authorizations that require WQA No discharge
review, the application routed through the ground water review team in step K. If it is not required, the
process continues with step L, where the file is routed to the permitting team leader for staff assignment.

K. WQA No Discharge Review Process
Continue with WQA No Discharge Review Process

L. Return to Team Leader
The file is returned to the team leader (or senior staff) to assign

M. Domestic Permit needs pretreatment review?
For TPDES municipal wastewater discharge permits where the permittee is a POTW, pretreatment
program review is required.

N. Enter date routed to Pretreatment (team leader notebook)
The permit application file is routed by the Municipal/Industrial Team leader to the delegated senior
pretreatment staff for assignment and enters date file was routed to delegated senior pretreatment staff.

O. Pretreatment review process
Continue with pretreatment review process.

P. Enter date routed to Pretreatment (team leader notebook)
The Team Leader enters the date that the assigned pretreatment staff returns the permit file to the
permits team leader.

Q. Assign to Permit Writer
Team Leader assigns application to appropriate staff.

R. Update Paradox database
The team leader enters the name of the permit writer and the assigned date in the Paradox database. (a-
mainwq.db for wastewater permits including industrial, municipal, MS4, and individual storm water;
CAFO-mainwq.db for CAFO permits and Authorization.db for sludge permits).

S. Complete Permit Writer Review
Continue with Permit writer review process.

T. Update Paradox database

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The team leader enters the technical complete date in the database to indicate the date the draft permit
package was signed off by the team leader (a-mainwq.db for wastewater permits including industrial,
municipal, MS4, and individual storm water; CAFO-mainwq.db for CAFO permits and Authorization.db for
sludge permits).

U. Draft permit review process
Continue with the draft permit review process.

V. Update Paradox database
The Customer Information & Assistance Team staff enters the date that the draft permit was mailed and
ERC date in the Paradox databases (a-mainwq.db for wastewater permits including industrial, municipal,
MS4, and individual storm water; CAFO-mainwq.db for CAFO permits and Authorization.db for sludge
permits).

W. File with the CCO
The draft permit package is officially filed with the CCO.

X. Remand CCO Process
The draft permit may be remanded from the CCO any time after Step W..

Y. CCO Process
CCO enters tracking dates for the notice requirements as the notice is processed. These dates include
the following: notice mailed, notice published, affidavit received and end of comment period. CCO also
tracks the comment letters and protest letters for each application.

Z. EPA review required?
The team leader determines if EPA review is required for a permit application based on criteria from EPA.

AA. Update Paradox database
The team leader enters Yes or No in the database to indicate if the permit is subject to EPA review in the
database and indicates whether the permit file needs to be on hold until EPA review and approval is
received (a-mainwq.db for wastewater permits including industrial, municipal, MS4, and individual storm
water; CAFO-mainwq.db for CAFO permits; and Authorization.db for sludge permits).

BB. EPA review process
Continue with EPA review process. Process continues back to Step R.


CC. Public comments received?
If public comments are received during the public comment period for a permit application, CCO files with
OPA

DD. OPA receives and reviews comments
Letters are reviewed and classified according to content.

EE. Route copies to permitting staff
CCO will route copies of the comment letters to the team leaders.

FF. Update Paradox database
The team leader enters into the database that a public meeting is requested (a-mainwq.db for wastewater
permits including industrial, municipal, MS4, and individual storm water; CAFO-mainwq.db for CAFO
permits and Authorization.db for sludge permits). CCO also tracks this information in their database, CID.

GG. Public meeting requested?

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If a public meeting is granted, the permit writer, other division staff (i.e. groundwater, pretreatment,
toxicity, etc.) who reviewed and made recommendation on the application and legal staff meet to prepare
for a public meeting. If a public meeting is not requested then the process can continue to the next step.

HH. Permit writer drafts response to comments (RTC) and coordinates with Legal
After the end of the public comment period, the permit writer prepares an RTC; other staff (i.e.
groundwater, pretreatment, toxicity, etc.) that reviewed the application and provided recommendations
also provide responses for the RTC as needed. Legal staff reviews the RTC and provides some
responses. Legal staff finalizes the RTC and coordinates comments from OPA. Legal staff then files the
RTC with CCO.

II. WQ staff enters RTC dates in database
The team leaders or RTC coordinator enter data into the Paradox databases for the date the RTC was
sent to legal and date the RTC was mailed by CCO to track the RTC end of comment period. RTC
comment period ends 30 days after CCO mails the RTC.

JJ. Determine if public meeting needed
If a public meeting is requested during the public comment period for a permit application, the request is
considered by Wastewater Permitting staff and legal staff to determine if a public meeting should be
granted.

KK. Public Meeting request granted
Permit writer takes copies of all Public Meeting requests to ERC Part M for discussion with management
and representatives from the Environmental Law Division of the TCEQ.

LL. IP public meeting process
Continue with the IP public meeting process.

MM. Hearing requested?
If a hearing was requested during the public comment period or the RTC comment period, the permit
writer prepares the agenda back-up material and other documents needed by management to prepare for
the agenda.

NN. ED Sub – Final Action
If no hearing request is received, the draft permit is scheduled for signature on the Executive Director=s
Subdelegation Approval Process. The team leaders indicate which draft permits are ready for issuance in
the Future Set List report to CCO, and CCO sends the original draft permits to the staff for review and
issuance. The draft permits undergo a final review and checklist to ensure that they are ready for
issuance, and the processing dates for this process and date of issuance are entered into the PDOX
databases. The WQ Applications Team enters the date of issuance into TRACS and for TPDES permits
into the EPA database, PCS. If there is a pretreatment program substantial modification or new
pretreatment program that is going to be approved, or the continued development of a new pretreatment
program with a schedule being processed in conjunction with the POTW permit action, then the assigned
pretreatment coordinator inserts the date of ED approval of the pretreatment program substantial
modification, date of the new pretreatment program approval, or the schedule dates of the continued
development of a new pretreatment program.

The steps for the ED Approval Process are described in the diagram and documentation in the “ED Final
Action (Sub-delegation) Process” sections of this document.

OO. Final Processing of Permit
The CCO finalizes the permit issuance and mails the issued permit to the applicant and provides copies
to the program areas and the WQ Applications Team. The steps for processing an overturned permit are
described in the diagram and documentation in the “Individual Permit Overturned Process” sections of
this document.
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PP. Update Paradox & CCO database (a-mainwq.db and CID)
If a hearing is requested, the CCO staff enters protestant information into the CCO database CID and the
program area enters information on the hearing request in the PDOX database.

Continue with IP Hearing Request Process
QQ. IP Hearing Request Process

RR. Update Paradox database
The team leader enters data in the databases concerning the hearing request, approval/denial of the
hearing request by the commission and the date of the hearing
(a-mainwq.db for wastewater permits including industrial, municipal, MS4, and individual storm water;
CAFO-mainwq.db for CAFO permits and Authorization.db for sludge permits).

SS. Motion to Overturn (MTO) requested?
If a MTO is filed with the CCO after permit issuance, the motion may be scheduled on the agenda for a
decision on whether the commission rules to overturn issuance and remand the draft permit back to staff
or deny the permit application. Also, if certain criteria are not met, the General Council may chose to not
schedule the motion with the commission, in which case the request would be denied by rule. The steps
for processing an overturned permit are described in the diagram and documentation in the “Individual
Permit Overturned Process” sections of this document.

TT. MTO scheduled by General Council
The general council may schedule the MTO for consideration by the commission.

UU. MTO Process
Continue with MTO process.

VV. MTO granted
If the commission grants the motion to overturn, the application may be remanded to the program area for
further review and instructions on issues to be reviewed.

WW. Permit Maintenance
Once a permit issued, the applicant and the TCEQ cannot change the permit without endorsing the permit
or submitting permit application. These endorsements include name changes, ownership transfers,
address changes and typographical errors. In addition to endorsements, the permittees may request to
cancel the permit or the TCEQ may revoke the permit by providing a written involuntary revocation order.
Annual billing is also included in permit maintenance. Each of these processes is described in detail in
the Permit Maintenance portion of this document.


    1.1.1 Administrative Review

      1.1.1.1 Receive Permit Application

        The Water Quality Applications Team is responsible for receiving applications for industrial,
        domestic, storm water, agriculture, and sludge individual permits. Most of the applications
        received are for new, major amendments, and renewals. We do receive 3-4 minor amendment or
        staff initiated minor amendments a month. These minor amendments do not require notices.
        The most common path for the minor renewal applications and industrial applications is A-N. The
        major amendment and new domestic discharge applications follow A-BB. The majority of the
        major amendment and new domestic/sludge no discharge applications follow A-W and CC-FF.
        Agriculture permits follow A-W. If an application is received to replace another application, the
        process is A-D, GG, II, JJ, and resumes with G. So that the databases can be properly closed

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        out, the staff must return the file and a letter responding to the request to withdraw the application
        to the Applications Coordinator with the Applications Review and Processing Team. Requests for
        emergency/temporary orders follow basically the same process; however, the process is
        expedited.

        A.      Receive application
        Applications are submitted to the Applications Coordinator.

        B.      Is application sufficient to log in?
        The application must have an administrative and technical report on current forms in order for the
        Application Coordinator to log it in.

        C.      Determine permit status in TRACS
        Using the permit number given on the application, the Applications Coordinator determines
        whether the permit is active.

        D.       Is another application pending? / Can new permit number be found?
        If the permit number given is not an active permit in TRACS, the Applications Coordinator will try
        to locate a new permit number for that site by searching Central Registry and/or contacting the
        applicant or their representative.

        E.        Request file from Central Records
        As applications are received, the Applications Coordinator determines where the file is located.
        Approximately 98% of the time, the file is in Central Records. The procedure for checking out
        files is followed.

        F.      Retrieve files from Central Records
        Central Records delivers the files to the Applications Coordinator.

        G.       Enter data into TRACS, ICIS (TPDES) & Paradox
        If the application is for a TPDES permit, the Applications Coordinator will enter the date the
        application was received in ICIS and verify the existing information is accurate and up-to-date. If
        the application is for a new TPDES permit, the Applications Coordinator will enter the following
        information into ICIS: EPA identification number, State permit number, applicant’s name,
        cognizant official, telephone number, permit mailing address, DMR mailing address, type of
        ownership, city and county code, region, location description, type of application, and date
        application was received. In TRACS, the Applications Coordinator will create an application
        record for the type of application received, enter the application received date and either enter or
        confirm the applicant’s name, mailing address, permit number, EPA identification number, facility
        name, location description, county, date received, MER mailing address, and billing address. In
        Paradox, either WQ\a-mainwq.db or CAFO\a-mainwq.db, the Applications Coordinator will create
        a record and enter, the applicant’s name, permit number, type of permit, type of application,
        county name, region number, identify whether it is a TPDES permit or land application, and, if it is
        a TPDES permit, enter the EPA identification number.

        H.     Determine authorization type and route to appropriate pre-reviewer
        A copy of the application is sent to the region office and given to the appropriate permitting team.
        The Applications Coordinator must identify which pre-review is required and by whom so that they
        can ensure a copy of the application is given to them for review.

        I.      Route copy of application to Region
        The Application Coordinator will determine the correct region to send a copy of the application by
        looking at the application and cross referencing the county to the region number, or from the
        monthly inventory report. A copy of all applications is routed to the region.

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        J.       Run receipt report from Paradox and TRACS and distribute
        A report is generated from TRACS and Paradox once a week listing all of the applications that
        were received the previous week. The report is e-mailed to the reviewers, revenue, enforcement,
        field operations, legal, Water Quality Assessment Team, Wastewater Permitting Team, Storm
        Water and Pretreatment Team, CCO, General Counsel, regions, Division Directors, and Section
        Managers.

        K.      Generate assignment report for Paradox and assign applications to reviewers
        Twice a week a report is generated from Paradox. All requests not yet assigned will be assigned.
        The report with the assignments identified is distributed to staff.

        L.     Log staff assignment into Paradox
        The Application Reviewer assigned to process the application enters their name in Paradox,
        WQ\a-mainwq.db or CAFO\a-mainwq.db and into the TRACS application record.

        M.       Return application, if appropriate, and worksheets or comments to Applications Review
                 and Processing Team
        The list identifying the missing components is routed to the ARP Team for inclusion in their NOD
        letter.

        N.      Comments and worksheets are picked up
        All worksheets and comments supplied from the Water Quality Assessment Team, Standards
        Implementation Team, Municipal Permits Team, or CAFO Team are placed in a tray and retrieved
        by the Applications Review and Processing Team reviewer.

        O.       Municipal Permits Team or CAFO Team receives application
        The team leader of the Municipal Permits Team is given a copy of all sludge applications and the
        domestic applications for a pre-technical review if the application is a major amendment, new,
        major facility, or the final flow is 1 MGD or greater. The work leader for the CAFO Permits Team
        is given a copy of all CAFO applications.

        P.      Assign to a reviewer for a pre-technical review
        The team leader or work leader assigns the permit application to a permit writer to begin a
        technical review.

        Q.     Review application
        The permit writer should do a preliminary review of the application to ensure that all required
        components of the application are submitted.

        R.     Deficient Items Found?
        The permit writer will determine whether all of the necessary components are present. If all
        components are present, no further action is required for the pre-technical review.

        S.       Prepare NOD document
        If any components are missing, the permit writer should develop a NOD list.

        T.      Water Quality Assessment Team receives application
        The Water Quality Assessments Team will receive a copy of the application if a coastal zone
        determination is required for new and major amendment applications located in Aransas,
        Brazoria, Calhoun, Cameron, Chambers, Galveston, Harris, Jackson, Jefferson, Kenedy,
        Kleberg, Liberty, Matagorda, Nueces, Orange, Refugio, San Patricio, Victoria, and Willacy. A
        second copy of the application will be given if groundwater is required to perform a pre-technical
        review on no discharge and sludge applications. Pre-technical review is not needed for renewals
        or minor amendments.

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        U.        For new and major amendment within specified counties, coastal zone determination
                  made
        For major amendments, staff will review the technical information in the application to see if the
        outfall location has been moved or added. If the outfall location has been moved or added or if
        the application is for a new permit, staff will review the USGS topographic map to determine
        whether the outfall location is located within the coastal zone.

        V.        Enter coastal permit information in Access
        Staff will record the information in the access database, Request Tracker.

        W.        Complete coastal zone sheet
        Staff will identify whether the outfall location is in the coastal zone on the worksheet and place the
        worksheet in the appropriate box.

        X.       Standards Implementation Team receives application
        If the application is for a new or major amendment TPDES application, the Standards
        Implementation Team will receive a copy of the application to determine if a receiving water
        assessment is needed. If so, a receiving water assessment will be performed.

        Y.       Reviews USGS topographic map and discharge route
        Staff from the Standards Implementation Team reviews the USGS topographic map and the
        discharge routes stated in the application.

        Z.      Does application need a site visit?
        Staff must determine if additional information is needed regarding the receiving water stream(s).

        AA.       Notify Region
        If additional information is needed regarding the receiving water stream(s), the region office is
        notified so that they may perform a site assessment.

        BB.    Complete worksheet
        The receiving water assessment worksheet is completed.

        CC.     If pre-technical review required, team leader assigns for technical review
        The team leader or work leader assigns the permit application to a geologist or agronomist for a
        technical review.

        DD.     Review application
        The geologist or agronomist should do a preliminary review of the application to ensure that all
        required components of the application are submitted.

        EE. Deficient items found?
        The geologist or agronomist will determine whether all of the necessary components are present.
        If all components are present, no further action is required for the pre-technical review.

        FF.      Prepare NOD document
        If any components are missing, the geologist or agronomist will prepare a NOD document.

        GG.     Is this a transfer application?
        The Application Coordinator will determine whether a transfer application has accompanied the
        permit application.

        HH.       Transfer/Endorsement (Administrative) Application Process
        If it has, both applications will be reviewed concurrently and the transfer will follow the

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        Transfers/Endorsements (Administrative) process.

        II.    Individual Permit Application Process
        Processing continues with step B in the Individual Permit Application Process.

        JJ. Is the current application to be withdrawn?
        When a request to withdraw an application is received, the Applications Reviewer or technical
        staff will return the file with the request to withdraw the application. If a new application was
        received requesting to replace an existing application, the Applications Coordinator retrieves the
        file from the staff member working on the original application.

        KK.    Application withdrawal
        The pending application will follow the Process to Withdraw an Application.

        LL.      Call applicant to obtain requested information
        If the application does not have an administrative and technical report and is not on current forms,
        the Application Coordinator will call the applicant or their representative and request the missing
        information. However if the application is to prevent a permit from expiring, the application will be
        logged in.

        MM.     Obtain information
        The applicant or their representative will submit the missing information or submit the information
        on the current forms.

        NN.      Put application on hold
        Application Coordinator will place the newest application on hold if it is a renewal and if the
        current pending application is a major amendment without renewal or if the current pending
        application is being held up during the permitting process.

        OO. Reason for hold addressed
        Once the reason for the current pending application has been addressed and the permit issued,
        the renewal application will be taken off of hold and processed.




      1.1.1.2 Complete Administrative Review
        The Water Quality Applications Team is responsible for reviewing applications for industrial,
        domestic, storm water, agriculture, and sludge individual permits. Most of the applications
        received are for new, major amendments, and renewals. We do receive 3-4 minor amendment or
        staff initiated minor amendments a month. These minor amendments do not require notices.
        The most common path for renewal, major amendment, and new applications for domestic, storm
        water, and industrial is A-X. The most common path for sludge beneficial land use and quarry
        permits is A-AA. The most common path for CAFO permits is A-X, and BB-II. The process for
        requests for emergency/temporary orders is expedited and flows through A-J.

        A.       Review application
        The Reviewer uses a checklist to ensure the application fulfills the requirements. Among the
        items reviewed are the following: check for outstanding fees, ensure the appropriate application
        fee was submitted, ensure the signature is an original, ensure the correct individual signed the
        application, confirmation of the permit and billing address with the United States Postal Service,
        confirmation of the name and the charter number with the Texas Secretary of State and the tax
        identification number with the State Comptroller of Texas, verify/request the customer number
        and regulated entity number with Permitting & Remediation Support and submit updates as
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                needed, review trust and/or partnership agreements, ensure the owners of the land and plant are
                provided, ensure the correct information for the public viewing portion of the notice is provided,
                review lease agreements and/or deed easement requirements to ensure the established
                requirements are in the documents and, if appropriate, are recorded in the correct county. The
                Reviewer will also ensure all of the required information is drawn and identified on the appropriate
                USGS topographic maps. The Reviewer will review portions of the technical application (flow,
                type of facility, land disposal information, etc.) to ensure the type of application submitted is
                correct. (For instance, an amendment application was submitted instead of a renewal.) For new
                and major amendments applications and all applications which authorize disposal of Class B
                sludge, landowner maps are reviewed to ensure all applicable landowners have been clearly
                identified and the landowners names and mailing addresses are provided. They also review
                photographs and buffer zone maps. If the application is for a domestic renewal for a minor
                facility, in addition to the flow and land application information, the Reviewer ensures a response
                has been provided for the following: (1) pretreatment portion of the application (Worksheet 6.0),
                (2) receiving waters section, (3) the ultimate method of sludge disposal, (4) results of the
                analysis of effluent, (5) flow diagrams, and (6) dimensions of the components for the wastewater
                treatment facility. For all applications which authorize disposal of Class B Sludge, the Reviewer
                will coordinate with the Financial Assurance team to ensure that the financial assurance
                documents submitted with the application are complete. A copy of the financial assurance
                documents are e-mailed to the financial assurance team member, who, in turn, will submit a
                signed memo to the Reviewer, indicating acceptance of the financial insurance information.

                B.       Require Financial Assurance Review?
                The Reviewer determines whether the application is for a beneficial land use or quarry permit. If
                the application is not for one of those types of permits, the Reviewer goes to the next step.

                C.      Update TRACS
                The Reviewer will ensure information in TRACS is correct has been entered in accordance with
                agency data standards. The information that is reviewed is the applicant’s name in three places,
                the permit mailing address, the billing address, the facility name, and the facility address.

D. Deficiencies noted?
                Staff will review the application to determine whether the application is administratively complete.

                E.        Send out NOD
                The first time the Reviewer identifies deficiencies in the application a letter is prepared identifying
                the deficiencies. The letter and, if supplied, the pre-tech comments will be sent by certified mail
                to the applicant with TCEQ region receiving a copy. If no response is received or the complete
                response is not received within two weeks of the due date given in the letter, the Reviewer will
                give the files to the Team Leader, who will call the applicant to find out the status of the response
                and give a 1-week extension. If no response or an incomplete response is received, the
                Reviewer will prepare a memo with a letter for the Division Director’s signature. The letter gives
                the applicant an additional 14 days to submit a complete response to TCEQ. The Team Leader
                and Section Leader will peer-review the memo and letter before it is given to the Division Director.
                If no response/incomplete response is received, the Reviewer will prepare a second memo and
                letter for the Division Director’s signature, informing the applicant that the application was
                removed from the list of pending applications and the application record in all of the databases
                are updated to reflect the application was withdrawn.

                F.     Update TRACS and Paradox
                The date original NOD letter is mailed is entered into TRACS and Paradox (WQ\a-mainwq.db or
                CAFO\a-mainwq.db) by the Reviewer. The Reviewer will enter additional letters, faxes, and
                phone calls made into the Paradox table if space is available.

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        G.        Sufficient reply received?
        The Reviewer will review each response that is submitted. If the response is incomplete, the
        Reviewer or Team Leader (if the response due date has been reached) will contact the applicant
        or their representative to inform them of the remaining deficiencies and deadlines.

        H.     Transfer Application Received?
        The Reviewer will determine whether a transfer application has accompanied the response.

        I.       Require Financial Assurance Review?
        The Reviewer will determine whether the response was for a beneficial land use or quarry
        application and whether it contained information for financial assurance.

        J.     Update Paradox
        The Reviewer enters the date the complete response was received into Paradox, WQ\a-
        mainwq.db or CAFO\a-mainwq.db.

        K.        New CAFO Application in the Bosque River Basin(s)?
        The Reviewer will determine whether the application is for a new CAFO permit and whether the
        site is located in the DOPA counties. If not, they will continue to the next step.

        L.       SPIF Required?
        The Reviewer will determine whether the application is for a TPDES permit. If the application is
        not for a TPDES permit, a SPIF is not required.

        M.       Prepare and Copy SPIFs
        The Reviewer will determine whether all of the information is on the SPIF and if it is accurate. If
        not, the Reviewer will include and correct any information. The Reviewer will also identify which
        agencies need a copy of the SPIF and make the appropriate copies.

        N.     Put SPIFs in Appropriate Boxes
        The Reviewer will place a copy of the SPIF in each of the agencies previously identified as
        needing a copy.

        O. Supplemental Permit Information Form Process
        The application continues through the process while the SPIF’s are prepared and mailed
        following the SPIF process.

        P.      NORI Required?
        Minor amendments, staff initiated minor amendments, and emergency and temporary orders do
        not require NORI packages.

        Q.       Prepare NORI
        The Reviewer prepares the NORI package and supporting documentation. The package consists
        of a legal notice, transmittal letter, instructions, affidavits, public notice verification form, and fax
        sheet (if applicable). If applicable, a Spanish-language shell of the notice is also included in the
        NORI package. The supporting documentation is a contact sheet and a routing sheet for the file.
        The NORI is peer reviewed prior to sending it out to the applicant or their representative. The
        Reviewer also places the 2-page notice into an electronic file to be sent to CCO.

        R.      CAFO Application in the Bosque River Basin(s)?
        The Reviewer will determine whether the application is for a CAFO permit and whether the site is
        located in the DOPA counties. If not, they will continue to the next step.

        S.       Send NORI
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        The Reviewer will send the complete NORI package to the individual that the applicant has
        identified as being responsible for causing the notice to be published. The complete NORI
        package is usually sent by fax, but can be sent by e-mail, overnight express, or regular mail.

        T.        Prepare Route Sheets for Files
        The Reviewer will prepare contact sheet and routing sheet for the application and places them in
        the file.

        U.      Update Paradox and TRACS
        The Reviewer will enter the date the application was declared administratively complete in
        TRACS and Paradox, WQ\a-mainwq.db or CAFO\a-mainwq.db. In WQ\a-mainwq.db, the
        Reviewer will also enter how staff sent the NORI package to the applicant, the date the applicant
        confirmed receipt of the NORI package, and whether a supplemental permit information form was
        required. In CAFO\a-mainwq.db, the Reviewer will enter whether a supplemental permit
        information form was required, the type of facility, number of head, and whether air authorization
        is requested in the application.

        V.       Take File Containing Application to Appropriate Team
        If the application is for a sludge or CAFO/agriculture individual permit, the file is hand delivered to
        the Land Application Team. All other files are hand delivered to the Water Quality Standards
        Team. For emergency and temporary orders, the files are hand delivered to the team leader for
        that type of permit.

        W.       Run Administratively Complete Report from Paradox & TRACS and Distribute
        A report is generated from Paradox, WQ\a-mainwq.db and CAFO\a-mainwq.db, and TRACS of
        all applications declared administratively complete the previous week. The report is generated
        and compared with the NORI packages ready to go to CCO to ensure the accuracy of the report.
        Minor amendment and staff initiated minor amendment applications do not have NORIs; however,
        they do appear on the list. The report is e-mailed to Division Directors and Section Managers,
        enforcement, field operations, legal, region, Water Quality Assessment Team, CCO, Water
        Quality Compliance Monitoring Team, Storm Water Pretreatment Team, General Counsel, and
        Land Application Team.

        X.       Prepare the admin complete report and NORI packages for filing with CCO


        Y.     Individual Permit Application Process
        Processing continues with step E in the Individual Permit Application Process.

        Z.     Send Financial Assurance Documents and Parts of the Application to Financial
               Administration
        The Reviewer pdfs the financial assurance documents and parts of the application to Financial
        Administration.

        AA.      Financial Administration Reviews Documents and Parts of the Application
        Staff from Financial Administration reviews the financial assurance documents and looks at the
        application to determine if the entity has the correct financial assurance and the location
        description, the permit number, and the applicant matches what is in the financial assurance
        documents.

        BB.       Sends Memo Outlining Whether Deficiencies Were Found and What the Deficiencies
                  Were
        Financial Administration sends a memo stating whether the financial assurance documents meet
        all of the requirements. If the financial assurance documents do not meet all of the requirements,
        the memo will outline what is still needed.
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        CC.    Route to Groundwater for Segment No.
        The Reviewer routes to Groundwater the original application.

        DD.   Groundwater Reviews Application and Maps
        Groundwater staff determines what the segment number is for the receiving waters of the runoff.

        EE.   Enters data in GIS-TLAP and No Discharge databases
        Groundwater staff enters the segment number and any other pertinent information into the GIS-
        TLAP and No Discharge databases.

        FF.      Groundwater Provides Segment No. to ARP Reviewer
        Groundwater staff provides the segment number to the Reviewer and returns the file and the
        original application.

        GG.      Reviewer Gives File and NORI to Team Leader
        If the CAFO application is for a permit within Segments 1255 and 1226, the reviewer gives the file
        and NORI to their Team Leader.

        HH.     Team Leader Sends e-mail to Division Director
        The team leader sends an e-mail to the Division Director providing the name of the applicants,
        the permit number, county where the facility is located, the segment number, the application type,
        the current and proposed head counts, and, if a major amendment, what the amendment is for.

        II.     Division Director Sends e-mails
        The division director sends an e-mail to upper management and others with the information
        provided above. The division director sends a second e-mail to the team leader notifying them to
        continue processing the application.

        JJ.     Team Leader Returns File to Reviewer
        The team leader returns the file to the reviewer with a copy of the e-mail stating they are to
        continue processing the application.

        KK.        Transfer/Endorsement (Administrative) Application process
        If it the response contains a transfer application, the transfer will follow the
        Transfers/Endorsements (Administrative) process.

        LL.    Individual Permit Application Process
        Processing continues with step B in the Individual Permit Application Process.



      1.1.1.3 NORI Process
        After the application is deemed administratively complete, the application is continues through the
        technical review process. The NORI is filed separately with the CCO for processing. This
        process does not continue any further.

        A. Enter Information in CID
        The CCO Notice Team enters information in the CID database using the Customer Number and
        Regulated Entity Number provided on the documents submitted with the NORI.

        B. CCO Process of Public Notice



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        The CCO Notice Team prepares the mailing lists of the affected persons, state and county
        mailing lists as well as the envelopes for these lists and if appropriate, the potentially-affected
        landowners that were submitted by the applicant.

        C. Mailing of Public Notice
        The CCO Notice Team sends the NORI package to the appropriate individual by certified mail.
        The notice is mailed to the individuals identified above.

        D. Post Notice on Web
        A copy of the notice is posted on the TCEQ website.

        E. Enter Information in CID
        The CCO Notice Team enters the date the notice was mailed in the CID database.

        F. Applicant Publishes NORI and Submits the Information
        The applicant or their representative will publish the NORI and submit the affidavits, tear sheets,
        and public information notification (PIN) forms to CCO.

        G. CCO Reviews the Affidavits and the PIN
        The CCO Notice Team reviews the affidavits and PIN to ensure the documents are originals,
        complete, and meet the publishing requirements.

        H. Enter Information in CID
        The CCO Notice Team will enter the date the notice was published in the newspaper, the date
        the tear sheet was received, and the date the PIN was received. If there are any problems with
        the documents, the CCO Notice Team will identify the problem in the comments field in the CID
        database.

        I. Individual Permit Application Process
        The process continues with the individual permit application process. Comments received from
        the NORI are process along with comments received from the final notice later the process.


      1.1.1.4 Supplemental Permit Information Form (SPIF) Process
        A. Pull SPIFs
        Pull SPIFs for the prior month.

        B. Run SPIF report
        Query and run SPIF report from Paradox.

        C. Format Excel file
        Format Excel file and add in CAFOs.

        D. Print worksheet
        Print worksheet for agencies that will be getting copies of the SPIFs.

        E. Print letters and labels
        Print letters and labels for mailing.

        F. Mail out SPIFs




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    1.1.2 Technical Review


      1.1.2.1 Water Quality Assessment Processes (all
              Permits/Registration/Authorizations)

       1.1.2.1.1 WQA Discharge Process


       A. Standards Implementation Review
       The Standards Implementation Team determines the segment number and the route of discharge
       for the permit applications. The permit application is reviewed for water quality standards,
       applicable uses, and criteria to affected water bodies. Assigned uses include recreational
       categories, aquatic life categories, drinking water supply, and recreational fishery category.
       Permit applications are also reviewed for the presence or absence of threatened and endangered
       species. For new and amended permit applications with a potential to increase pollutant loading
       are evaluated under the TCEQ Antidegradation Policy. RWAs may be requested by the
       Standards Implementation Team when an aquatic life use for an unclassified stream has not been
       determined and cannot be adequately established from existing information. RWAs are
       conducted in response to a proposed amendment to an existing wastewater permit or before a
       new permit is issued. The data collected during an RWA is used to determine the appropriate
       aquatic life use and dissolved oxygen criterion.

       B. RWA Requested at Admin Review (Y/N)?
       If the permit application is for a new or major amendment permit application, the Standards
       Implementation staff will receive a copy of the application to determine if an RWA is needed.
       If yes, RWA is scheduled to be completed, proceed to step E.
       If no, RWA is not necessary for permit application review, proceed to step G.

       C. Update comment to permlog.db
       The Standards Implementation staff updates permlog.db to reflect pending RWA for permit
       application review.

       D. Permit Review Pending until Completion of RWA
       Permit review pending completion of RWA. Standards Implementation staff holds permit.

       E. RWA Completed (Y/N)?
       The Standards Implementation staff will determine if a RWA has been completed. If yes, RWA is
       completed, proceed with step F. The RWA completion is also reported as a quarterly LBB
       performance measure and certified through ABEST. If no, RWA is not completed, proceed with
       step D.

       F. Update RWAstat.db
       The Standards Implementation staff updates RWAstat.db to reflect completed RWA.

       G. Review RWAstat.db
       The Standards Implementation staff reviews RWA stat.db to determine if previous RWAs have
       been completed in the water body affected by the permit application.

       H. Incorporate RWA results in Review
       RWA data is reviewed to determine results. RWA metrics are calculated to determine an aquatic
       life use determination and incorporated into permit application review.
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       I. Assess WQ Standards
       Determine if the discharge goes into a receiving water that is classified or unclassified. Verify the
       proposed discharge point and discharge route down to the first classified segment and assign the
       designated uses associated with that segment listed in Appendix A of the TSWQS. Assess any
       unclassified water bodies, or those not specifically listed in Appendix A and D of the TSWQS.
       Determine an aquatic life use according to their flow characteristics (intermittent, intermittent with
       perennial pools, or perennial) and other available data, including RWA information. Assign a use
       (no significant, limited, intermediate, high or exceptional) with an associated dissolved oxygen
       criterion. Make a determination of whether federally endangered or threatened aquatic or aquatic-
       dependent species are present in the vicinity of the discharge within the segment. In cases of a
       new or amendment permit application, perform an antidegradation review of the proposed
       discharge to ensure that the uses and water quality will be maintained and protected. Information
       used for the review includes 30 TAC Chapter 307, Procedures to Implement the Texas Surface
       Water Quality Standards, maps, and other available data.

       J. Receipt of additional information
       Additional information is received to incorporate into standards review of permit application.
       Complete the review process, proceed with step I.

       K. Permit Review Pending, additional information needed (Y/N)?
       The Standards Implementation staff determines if additional information is required to complete
       standards review. If yes, permit application review is pending and additional information is
       requested, proceed with step L. If no, permit application review is not pending additional
       information, proceed with step M.

       L. Update comment to permlog.db
       The Standards Implementation staff updates permlog.db for that permit application review with the
       date, initials, status, and explanation of additional information needed.

       M. Generate Review Worksheet
       Information collected during the assessment of WQ standards is documented in standards review
       worksheet. Standards Implementation staff generates review worksheet.

       N. Update Recwater.db
       The Standards Implementation staff updates Recwater.db to reflect permit application review.

       O. Generate standards recommendation memo
       The Standards Implementation staff generates standards recommendation memo. Original memo
       is attached to permit application file.

       P.       Route memo for Permlog update and electronic copy in I:\PERMREV\WWTP\Section
       Permit Memos\Standards
       The Standards Implementation staff memo is routed to Permlog Coordinator for Permlog.db
       update. Electronic copy is saved in I:\PERMREV\WWTP\Section Permit Memos\Standards for
       use by the Permit Writer and others as needed.

       Q. Update in permlog.db
       The Permlog Coordinator updates permlog.db to reflect status of standards review of permit
       application

       R. MS4 Permit
       The Standards Implementation staff will determine if the permit application is a MS4. If yes, permit
       application is a MS4, proceed with step AA. If no, permit application is not a MS4, proceed with
       step S.
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       S. Forward to Critical Conditions Reviewer
       The Standards Implementation staff forwards the permit application file to the assigned Critical
       Conditions staff.

       T. Review Standards Implementation Team Worksheet, Memo, and Permit Application
       The Critical Conditions staff reviews the Standards Implementation staff review worksheet and
       permit application for accuracy and completeness.

       U. Permit Review Pending, additional information needed (Y/N)?
       The Critical Conditions staff determines if additional information is required from Standards
       Implementation staff to complete critical conditions review. If yes, permit application review is
       pending and additional information is requested, proceed with step W. If no, permit application
       review is not pending additional information, proceed with step V.

       V. Plot on County Map and enter in Lat/Long in GIS system
       Using the topographic map provided in permit application, Critical Conditions staff plots outfall
       location on the appropriate county map and updates the lat/long information in the GIS system.

       W. Update comment to permlog.db
       The Critical Conditions staff updates permlog.db for that permit application review with the date,
       initials, status, and explanation of additional information needed.

       X. Plot Only Permit (Y/N)?
       The Critical Conditions staff determines if the permit application is a plot only based on the permit
       type and size of discharge. Storm water outfalls and <1.0 MGD municipal outfalls are evaluated as
       plot only. Critical conditions are assessed for municipal outfalls ≥ 1.0 MGD and all industrials with
       the exception of storm water. If yes, permit application is a plot only, proceed with step FF. If no,
       permit application is not a plot only, proceed with step Y.

       Y. Assess Critical Conditions
       The Critical Conditions staff recommends the appropriate TEXTOX menu number, critical
       conditions, and mixing zone definition of the receiving waters. The Critical Conditions staff rely on
       the Standards Implementation staff review worksheet and memo, Critical Conditions Analysis
       SOP, USGS gage data, wastewater dischargers self reporting data, the Texas Surface Water
       Quality Standards, and the Procedures to Implement the Texas Surface Water Quality Standards,
       the permit application, GIS, and aerial photography in order to assess critical conditions.

       Z. Return to Standards Reviewer for additional information or for a second review.
       The Critical Conditions staff returns permit application file to Standards Implementation staff with
       explanation of additional information requested.


       AA. Update in permlog.db
       The Permlog Coordinator updates permlog.db to reflect MS4 going to TMDL Team for review.

       BB. Forward to TMDL Team
       The Permlog Coordinator forwards MS4 permit application to TMDL Team.

       CC. TMDL Team reviews and prepares assessment
       The TMDL Team reviews permit application and prepares assessment.

       DD. Permit is forwarded to Stormwater Team
       Either the Critical Conditions staff or the TMDL Team forwards the permit application file to the

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       Stormwater Team Leader. If applicable, the original memo is attached to permit application file.

       EE. Complete permit writer review
       The Stormwater Team Leader initiates the complete permit writer review process.

       FF. Update CCR.db and permlog.db
       The Critical Conditions staff updates the CCR.db and permlog.db with the appropriate information.

       GG. Generate critical conditions recommendation memo and electronic copy in
       I:PERMREV\WWTP\Section Permit Memos\Critical Conditions
       The Critical Conditions staff generates a critical conditions recommendation memo and an
       electronic copy is saved in I:PERMREV\WWTP\Section Permit Memos\Critical Conditions for use
       by the Permit Writer and others as needed. Original memo is attached to permit application file.

       HH. SW-Individual Permit Only (Y/N)?
       The Critical Conditions staff determines if the permit application is a stormwater only permit. If
       yes, the permit application is a stormwater only permit, proceed with step DD. If no, the permit
       application is not a stormwater only permit, proceed with step II.

       II.  Forward to Model Reviewer
       The Critical Conditions staff forwards the permit application file to the assigned Modeling staff.

       JJ. Review Standards Implementation Team Worksheet, Memo, and Permit Application
       The Modeling staff reviews the Standards Implementation staff review worksheet and memo to
       determine all waters in the effluent discharge route and associated DO criteria. Review the
       Standards Implementation staff review worksheet for additional information regarding the basis for
       assigned DO criteria as it relates to modeling. Review the permit application to become familiar
       with the application details, to determine existing or proposed effluent oxygen demanding
       constituent concentrations and discharge flow rates, and to obtain any other information pertinent
       to the modeling analysis of the permit application.

       KK. Permit Review Pending, additional information needed (Y/N)?
       The Modeling staff determines if additional information is needed. If yes, permit application review
       is pending, proceed with step LL. If no, permit application review is not pending, proceed with
       step SS.

       LL. Update in Permlog.db
       The Modeling staff updates permlog.db for that permit application review with the date, initials,
       status, and explanation of additional information needed.

       MM. Additional information needed from outside source (Y/N)?
       The Modeling staff determines if additional information is needed from a source outside the
       agency. If yes, permit application review is pending and additional information is requested,
       proceed with step RR. If no, permit application review is not pending additional information,
       proceed with step NN.

       NN. Additional information needed from Standards (Y/N)?
       The Modeling staff determines if additional information is required from Standards Implementation
       staff to complete modeling review. If yes, permit application review is pending and additional
       information is requested, proceed with step OO. If no, permit application review is not pending
       additional information, proceed with step PP.

       OO. Return to Standards Reviewer for Additional information or a second review
       The Modeling staff returns the permit file to the Standards Implementation staff for additional
       review.
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       PP. Additional information needed from Critical Conditions (Y/N)?
       The Modeling staff determines if additional information is required from Critical Conditions staff to
       complete modeling review. If yes, permit application review is pending and additional information
       is requested, proceed with step QQ. If no, permit application review is not pending additional
       information, proceed with step SS.

       QQ. Return to Critical Conditions Reviewer for additional information or a second review
       The Modeling staff returns the permit file to the Critical Conditions staff for additional review.

       RR. Receipt of additional information
       Additional information is received from sources outside the agency, complete the review process,
       proceed with step SS.

       SS. New Permit
       The Modeling staff determines if the permit application is a request for a new permit. If yes, the
       permit application is for a new permit, proceed with step VV. If no, proceed with step TT.

       TT.      Determine if renewal, amendment or a previously expired permit issued under a new
       permit number
       The Modeling staff reviews the permit application to determine if the request is for renewal,
       amendment or is a previously expired permit issued under a new permit number.

       UU. Review Previous Modeling Analysis
       The Modeling staff retrieves the modeling analysis file and reviews the previous modeling analysis
       to become familiar with the review approach and modeling details, and to determine if there is any
       information pertinent to the current review. Proceed with step VV.


       VV.      Review GIS or County Maps for nearby permitted dischargers and review previous
       modeling evaluations for area
       Using the TCEQ GIS system or discharge location paper maps or both, the Modeling staff locates
       the discharge to determine if there are any potential interfering discharges that must be included in
       modeling. Review modeling for nearby discharges to determine modeling approach and details.


       WW. Research Water Body Specific Information
       The Modeling staff reviews the current and proposed (if any) 303(d) lists to determine if the
       segment or portions of the waters in the discharge route are listed. If yes, note this for inclusion in
       the modeling memo. If listed for DO, do not model the DO listed water body. Review list of
       approved and proposed TMDLs. If there is an approved TMDL for the segment or waters in the
       discharge route, note this for inclusion in the modeling memo. If there is an approved TMDL for
       DO, the effluent limits must be consistent with TMDL, and the watershed is not modeled. Review
       the list of segments with WLEs. If the segment has a WLE, note this for inclusion in the modeling
       memo. Retrieve the WLE report for use in developing a modeling approach. Review TCEQ GIS
       Edwards Aquifer mapping to determine if the discharge route is within the recharge, contributing or
       transition zones. If yes, note this for inclusion in the modeling memo and review the rules to
       determine the impacts on effluent limits. Review available information to determine if lake
       watershed protection rules apply. If they do, measure the distance from the discharge to the
       watershed using TCEQ GIS tools and review the rules to determine the impact on effluent limits.


       XX. Review existing and proposed effluent limits
       The Modeling staff reviews the existing permit, if any, to determine the existing effluent limits.
       Review the permit application to determine proposed effluent limits for new and amendment
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       applications. Use this information to develop initial input for modeling.

       YY. Determine appropriate Modeling Approach and develop modeling details
       Review all of the information collected to determine an appropriate modeling approach and
       develop the applicable model, if any. Prepare input file or data for QUAL-TX, CSTR or other model
       as needed. If modeling is not appropriate, use BPJ or other method to determine recommended
       effluent limits.

       ZZ. Include TMDL Project Number and title in modeling recommendation memo
       If there is an approved TMDL project applicable, the Modeling staff includes the TMDL project
       number and title in the modeling memo. If the TMDL is for DO, modeling staff includes the
       appropriate language for permit writer use.

       AAA. Determine appropriate effluent limits
       The Modeling staff exercises the appropriate model using the model input file previously
       developed to determine the effluent set necessary to meet the DO criteria of the impacted water
       body or bodies in the discharge route.

       BBB. Review WQMP.db
       The Modeling staff reviews the WQMP database to determine if recommended effluent limits are
       contained in or consistent with the most recently approved effluent limits in the WQMP.

      CCC. Generate modeling recommendation memo
      The Modeling staff uses the information previously developed and the appropriate effluent limits to
      prepare the modeling recommendation memo. The memo identifies the Modeling staff, the memo
      destination and the subject permit applicant and permit action. The memo includes a brief
      description of the permit action, the modeling approach, the effluent flow, the headwater flows, the
      county in which the discharge is located, the recommended effluent set, coefficient and kinetic
      information, a reexamination statement, 303(d) list information, WQMP information and WLE
      information. Original memo is attached to permit application file.

     DDD. Document analysis and place review in the modeling file
     The Modeling staff documents in writing the pertinent information developed during the modeling
     review and prepares a packet including the memo, review worksheet, photocopy from USGS
     discharge location map with highlighted discharge route and model input file. Place this information
     packet in the modeling review file for the permit being reviewed and return the file to the modeling
     review file cabinets.

     EEE.        Route memo for permlog update and electronic copy in I:\PERMREV\WWTP\Section
     Permit Memos\Modeling
     The Modeling staff memo is routed to permlog Coordinator for Permlog.db update. Electronic copy
     is saved in I:\PERMREV\WWTP\Section Permit Memos\Modeling for use by the Permit Writer and
     others as needed. Proceed with step BBBB.

     FFF.      WQMP Update Required (Y/N)?
     The Modeling staff determines if a WQMP update is required. If yes, a WQMP update is required
     proceed with step HHH. If no, a WQMP update is not required, proceed with step GGG.

      GGG. Data entry when no WQMP update is required in WQ main.db
      The Modeling staff accesses the WQ main database and updates the WQMP tab for the permit
      being reviewed. The update includes items regarding WQMP consistency (yes or no) and the need
      for WQMP update (yes or no). In addition, for new permits that were approved under a previously
      expired permit number, an entry is made to update the segment number and in the comment field,
      a comment is made that this (new) permit was previously approved under expired permit number
      (reference previous permit number).
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      HHH.       Forward recommendation memo (paper) to WQMP Coordinator for WQMP Process and
      compile model packet for EPA (paper and electronic)
      The Modeling staff forwards a copy of the modeling memo to the WQMP Coordinator to include in
      the next quarterly WQMP update. The Modeling staff prepares a hard copy WQMP model packet;
      consisting of the model input file, modeling memo, modeling worksheet, photocopy of USGS map,
      and any other supporting documentation for the WQMP Coordinator to forward to EPA. In addition,
      the Modeling staff also furnishes an electronic copy of the model input file and modeling memo to
      the WQMP Coordinator saved in J:\WQMP\UPDATE\Model Packets\under a monthly folder for
      email transmission to EPA.

       III.  Is TMDL applicable and needs update (Y/N)?
       The Modeling staff determines if a TMDL is applicable and needs update. If yes, the TMDL is
       applicable and needs update, proceed with step JJJ. If no, no action is required, proceed to off
       page indicator – E, which goes to the end of process.

       JJJ.    Forward electronic recommendation memo to TMDL Coordinator and paper copy to
       WQMP Coordinator to initiate TMDL update for WQMP Process
       The Modeling staff forwards an electronic copy of the recommendation memo to the TMDL
       Coordinator and a paper copy to the WQMP Coordinator to initiate the TMDL update for the
       WQMP Process.

       KKK. WQMP Process
       The WQMP process is based on quarterly updates. Any updates to the plan need involve only the
       elements of the plan that require modification. The original plan and its subsequent updates are
       collectively referred to as the State of Texas Water Quality Management Plan. End of quarter
       signifies the generation of the WQMP Process.

       LLL. Is Biomonitoring required (Y/N)?
       The Modeling staff reviews the front of the permit application file to determine if biomonitoring
       review is required. If yes, initials of the staff will be written at the top right hand of the file folder. If
       yes, biomonitoring review is required, forward to the appropriate assigned staff, proceed with step
       NNN. If no, biomonitoring review is not required, proceed with step MMM.

      MMM. Complete Permit Writer Review
      The Modeling staff forwards the permit application file to the permitting section appropriate Team
      Leader to initiate the complete permit writer review process.

      NNN. Forward to Biomonitoring Reviewer
      The Modeling staff forwards the permit application file to the Biomonitoring staff.

      OOO. Review the permit application
      The Biomonitoring staff calculates the dilution series and performs a reasonable potential
      determination.

       PPP. Permit Review Pending, additional information needed (Y/N)?
       The Biomonitoring staff determines if additional information is needed. If yes, permit application
       review is pending, proceed with step QQQ. If no, permit application review is not pending,
       proceed with step XXX.

      QQQ. Update in permlog.db
      The Biomonitoring staff updates permlog.db for that permit application review with the date, initials,
      status, and explanation of additional information needed.


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      RRR. Additional information needed from outside source (Y/N)?
      The Biomonitoring staff determines if additional information is needed from a source outside the
      agency, e.g. past due test results from the applicant. If yes, permit application review is pending
      and additional information is requested, proceed with step UUU. If no, permit application review is
      not pending additional information, proceed with step SSS.

      SSS. Additional information needed from Standards (Y/N)?
      The Biomonitoring staff determines if additional information is required from Standards
      Implementation staff to complete biomonitoring review. If yes, permit application review is pending
      and additional information is requested, proceed with step VVV. If no, permit application review is
      not pending additional information, proceed with step TTT.

      TTT. Additional information needed from Critical Conditions (Y/N)?
      The Biomonitoring staff determines if additional information is needed from Critical Conditions staff.
      If yes, permit application review is pending and additional information is requested, proceed with
      step WWW. If no, additional information is not needed, proceed with step XXX.

     UUU. Receipt of additional information
      Additional information is received from sources outside the agency, complete the review process,
      proceed with step XXX.

      VVV. Return to Standards Reviewer for additional information or a second review
      The Biomonitoring staff returns the permit file to the Standards Implementation staff for additional
      review.

     WWW. Return to Critical Conditions staff for additional information or a second review
     The Biomonitoring staff returns the permit file to the Critical Conditions staff for additional review.

      XXX. Update WET.db
      The Biomonitoring staff adds the new permit requirements and the memo date to the database.

     YYY. Generate a biomonitoring recommendation memo and permit language
      The Biomonitoring staff generates a recommendation memo and prepares permit language for the
      Permit Writer staff to include in the draft permit. If the permit application has a WET limit, the
      Biomonitoring staff creates a “sideways page” for the draft permit and saves it along with the permit
      language. Biomonitoring permit language is saved in I:\WQ\TOXICS WET. Original memo is
      attached to permit application file.

       ZZZ.     Route memo for Permlog update and electronic copy in I:\PERMREV\WWTP\Section
       Permit Memos\WET.
       The Biomonitoring staff memo is routed to permlog Coordinator for permlog.db update. Electronic
       copy is saved in I:\PERMREV\WWTP\Section Permit Memos\WET for use by the Permit Writer
       and others as needed.

       AAAA. Update in Permlog.db
       The Permlog Coordinator updates permlog.db to reflect status of biomonitoring review and
       modeling review of the permit application.

       BBBB. Individual Permit Application process
       The Biomonitoring staff forwards the permit application file to the permitting section appropriate
       Team Leader to initiate the complete permit writer review process.




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       1.1.2.1.2 WQA No Discharge Process


        A. Receive No Discharge permit application.

        B.      The No Discharge permit application is forwarded to Groundwater for Latitude &
        Longitude (Lat/Long) and segment determination.

        C. Enter Lat/Long in TLAP_wqp.

        D.       Update no_discharge db.

        E.       Update groundtrack db.

        F. Is this application for a renewal?
        If this application is for a renewal, go to step G (Individual Permit Application Process). If this
        application is not for a renewal (it is for a new or amended permit), continue with step H.

        G.       Individual Permit Application Process (Page 1, step I).

        H.       Update status in groundtrack.db.

        I. Assign to staff geologist
        The application is assigned to staff geologist for review.

        J. Review the permit
        The staff geologist reviews the permit and in the review process will determine if an agronomy
        review is needed.

        K. Is the application complete (for geology/groundwater)?
        If the application is complete (for geology/groundwater), go to step L. If not, go to step V.

        L. Generate geology/groundwater recommendation memo
        The geologist generates the geology/groundwater recommendation memo.

        M.       Update status in groundtrack.db

        N.       Is agronomy review needed?
        If yes, go to step O; if no go to step U (Individual Permit Process - Page 1, step I).

        O.    Assign to agronomist
        The WQA team leader assigns the permit to an agronomist for review.

        P.       Update status in groundtrack.db.

        Q. Agronomy Review
        The permit application is reviewed by a staff agronomist.


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        R.       Is the application complete (for agronomy)?
        If the application is complete (for agronomy), go to step S. If not, go to step V.

        S. Generate the agronomy recommendation memo
        The agronomist generates the agronomy recommendation memo.

        T. Update status in groundtrack.db.

        U. Individual Permit Process (Page 1, step I).

        V.       Prepare notice of deficiency(ies) (NODs) or determine approach to resolve deficiencies.
        Geology and agronomy NODs may be combined into one notice. NODs may be sent via letter,
        phone call, or e-mail. A 30-day deficiency notice may be sent initially, followed by a 14-day notice
        if inadequate response is received. If deficiencies are not resolved at the staff level, management
        may be asked to facilitate resolution.

        W.       Update status in groundtrack db.

        X.       Is response received & complete?
        If no, go to step V. If yes for geology/groundwater comments go to step L. If yes for agronomy
        comments go to step S.            It is possible that a response received is complete for
        geology/groundwater but not for agronomy (or vice-versa). If deficiencies are not resolved at the
        staff level, management may be asked to facilitate resolution.

        Note: Generally, the geology/groundwater and agronomy reviews are not concurrent, but the
        geology/groundwater review process starts before the agronomy review process. Sometimes the
        agronomy review process starts before the geology review process (workload dependent). Either
        way, the two reviews (geology/groundwater and agronomy) are separate processes, with portions
        of the review process being simultaneous. Geology/groundwater and agronomy deficiencies are
        often sent to the applicant together; agronomy recommendations memo usually contains portions
        of the geology/groundwater recommendations memo.


       1.1.2.1.3 WQA WQMP Process


     A. Receive Request to update WQMP
The WQMP Coordinator receives request in the form of an interoffice recommendation memo. There are
four methods in which to receive update recommendation memos: Water Quality Division, modeling
memo for proposed effluent limits; Water Quality Division, modeling memo for TMDL update; Water
Quality Planning Division, SRF planning information update memo; or receipt of an update memo from an
interested party. Each of the four methods can occur concurrently during the quarter
     B. Review Modeling Recommendation Memo – Proposed Effluent Limits
         The WQMP Coordinator reviews the modeling recommendation memo for proposed flow and
         effluent limits. The WQMP Coordinator verifies that the proposed information does require an
         update.
     C. Update WQ_Main.db and WQMP.db
         The WQMP Coordinator updates the WQMP.db with the proposed flow and effluent limits and
         lists the quarter in which the update will be processed.
     D. Review Modeling Recommendation Memo – TMDL
         The WQMP Coordinator reviews the modeling recommendation memo for TMDL project
         information. The WQMP Coordinator verifies that the approved TMDL project does require an
         update.
     E. WQMP Coordinator prepares and submits data to TMDL Coordinator
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         The WQMP Coordinator prepares database queries, by segment number and TMDL project
         code, for the TMDL Coordinator, which is used in the analysis and preparation of the TMDL
         update. This information is submitted to the TMDL Coordinator. In addition, the WQMP
         Coordinator submits the information to the modeling staff assigned to assist in the review of the
         TMDL update.
    F.   TMDL Coordinator generates TMDL Update Memo
         The TMDL Team generates the TMDL update recommendation memo in accordance with the
         approved TMDL project. The TMDL Coordinator forwards the update recommendation memo to
         the WQMP Coordinator.
    G.   Update Memo reviewed by WQMP Coordinator
         The WQMP Coordinator reviews the TMDL update recommendation memo and forwards an
         electronic copy to the modeling staff assigned in step E for review. The WQMP Coordinator
         combines modeling comments and coordinator’s comments listing any pertinent permitted
         discharge information that is missing from the proposed update recommendation memo.
    H.   Technical Acceptance (Y/N)?
         The WQMP Coordinator determines if the TMDL update recommendation memo is technically
         acceptable based on review outlined in step G. If yes, the update recommendation memo is
         technically acceptable, proceed with step J. If no, the update recommendation memo is not
         technically acceptable, proceed with step I.
    I.   WQMP Coordinator submits recommended changes
         The WQMP Coordinator submits recommended changes for the proposed TMDL update to the
         TMDL Coordinator based on review outlined in step G.
    J.   Update WQ_Main.db and TMDL.db
         The WQMP Coordinator updates the TMDL.db with the proposed WLA for the permitted
         dischargers and permit fact sheet technical language if applicable, and lists the quarter in which
         the update will be processed.
    K.   End of quarter send electronic version of updated TMDL.db to TMDL Coordinator
         The WQMP Coordinator will submit an electronic version of the updated TMDL.db at the end of
         the quarter to the TMDL Coordinator. The TMDL Coordinator shares this information with the
         TMDL team.
    L.   Incorporate updated information in the next quarterly WQMP Update publication
         The original WQMP is a group of documents designed to provide planning and technical data for
         the water quality management activities in the State of Texas. Updates to the WQMP only involve
         the elements of the plan that require modification. The original plan and its subsequent updates
         are collectively referred to as the State of Texas WQMP. The Water Quality Division updates the
         WQMP to reflect proposed changes. The WQMP Coordinator compiles a table that contains
         proposed revisions to the current flows and effluent limits (CBOD 5/BOD5, NH3-N, and DO) for the
         dischargers listed on the table. The table may also contain proposed flows and effluent limits for
         new dischargers. In addition, the WQMP update may contain service area populations for listed
         wastewater treatment facilities, DMA information, TMDL updates, or any other information
         submitted by an Interested Party that has been declared by the Water Quality Division to become
         part of the original plan. The WQMP Coordinator maintains electronic files in J:WQMP\Update.
    M.   Water Quality Planning Division prepares SRF Update
         This is a separate process performed by another TCEQ Division and is not going to be defined in
         detail. The Water Quality Planning Division of the TCEQ coordinates with the TWDB and
         regional planning agencies to compile the wastewater facility service area population projection
         and the DMA designation for SRF loans. Before an entity can apply for a state revolving fund
         loan, it must be recommended for designation as the management agency in the approved
         WQMP. All domestic facility financing decisions under the SRF program must be consistent with
         the certified and approved WQMP.
    N. SRF Coordinator generates SRF Update Memo
       The Non-point Source Team, SRF Coordinator generates the SRF update recommendation
       memo in accordance with the process outlined in step M. The SRF Coordinator forwards the
       update recommendation memo to the WQMP Coordinator.
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    O. Interested Party prepares an Update

        This is a separate process and is not going to be defined in detail. The Water Quality Division
        can at any time include any implementation measures that control or prevent water quality
        problems as a WQMP update. An Interested Party within the agency or interagency may submit
        information to the Water Quality Division to include in a quarterly WQMP Update.


    P. Other WQMP Interested Party Update Memo
       The Interested Party generates an update recommendation memo in accordance with the
       process outlined in step O. The Interested Party Coordinator forwards the update
       recommendation memo to the WQMP Coordinator.
    Q. Update Memo reviewed by WQMP Coordinator
       The WQMP Coordinator reviews the update recommendation memo from the SRF Coordinator or
       the update recommendation memo from an Interested Party. The WQMP Coordinator
       determines if the information submitted is technically acceptable.
    R. WQMP Coordinator submits recommended changes
       If applicable, the WQMP Coordinator submits recommended changes for the proposed SRF or
       Interested Party updates. If yes, the WQMP Coordinator submits recommended changes,
       proceed with step M or step O, as it applies. If no, the WQMP Coordinator does not submit
       recommended changes, proceed with step L.
    S. Compile Quarterly WQMP Update Publication for distribution. Maintain files in J:WQMP and
       I:\WQADMIN\Letters-02\N Vignali\WQMP
       The draft WQMP update information is compiled on a quarterly basis and routed through the
       Water Quality Division Director for review and approval. The review process includes the
       circulation of the draft WQMP update document to applicable state agencies and planning
       agencies whose activities may affect or be affected by TCEQ's program. This process ensures
       coordination with overall state policies and programs. A draft plan is sent to EPA, Region 6,
       requesting EPA approval within 30 days of receipt.
    T. CPP requirements for update
       This is a separate process and is not going to be defined in detail. Each State shall establish and
       maintain a CPP. Each State is responsible for managing its water quality program to implement
       the processes specified in the CPP. The Water Quality Division WQMP Update process has
       been defined in the WQMP CPP dated August 1999 which has been approved by EPA, Region 6.
       The CPP has detailed instructions to follow in regards to the quarterly WQMP Update.
    U. Public Comment Period Completed
       Public notice for the draft WQMP Update is published in the Texas Register. The TCEQ posts the
       draft WQMP Update for public participation on its web site and in the TCEQ Library. Interested
       parties are allowed a 30-day period to provide TCEQ written comments on the proposed WQMP.
       End of 30-day comment period, proceed with step W.
    V. Comments Received (Y/N)?
       If significant comments are received by the deadline established in the public notice for the draft
       WQMP, the WQMP Coordinator will continue as follows. If yes, comments were received,
       proceed with step T. Follow the WQMP CPP outlined procedures for receipt of comments. If no,
       no comments were received, proceed with step X.
    W. Submit Final WQMP Update Publication to the TCEQ Libraries and webpage.
       The WQMP Coordinator will submit the final version of the quarterly WQMP Update to the TCEQ
       Library, SRF Library, and the WQMP Library. In addition, the pdf version of the WQMP update
       will be posted to the TCEQ web site for public reference.
    X. Generate Memo Request to the Executive Director for Certification Maintain files in
       J:WQMP\Update
       The WQMP Coordinator generates a certification document for the quarterly WQMP update and a
       memo that is routed to the TCEQ Executive Director for an approval signature. The Executive
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       Director’s staff will forward the signed documents back to the WQMP Coordinator for further
       processing.
    Y. Generate Memo and forward certification to EPA for approval Maintain files in J:WQMP\Update
       The WQMP Coordinator will declare the WQMP update as approved and certified by the
       Executive Director of TCEQ and will generate a memo to EPA, Region 6 requesting final
       approval.

    Z. Report as a quarterly LBB Performance Measure
        This is a separate process and is not going to be defined in detail. The WQMP Coordinator will
        document and report the routing of the certification memo to EPA in step Y as a quarterly LBB
        Performance Measure.
    AA. Approved by EPA (Y/N)?
        The quarterly WQMP update will become part of the WQMP after completion of its public
        participation process, certification by the TCEQ Executive Director, and approval by the EPA. If
        approval status is received for the draft WQMP, the WQMP Coordinator will continue as follows.
        If yes, the WQMP update has been approved, proceed with step BB. If no, the WQMP update
        has not been approved, proceed with step T. Follow the WQMP CPP outlined procedures to
        respond to EPA’s refusal to approve the update.
    BB. File copy of EPA approval letter of the quarterly WQMP Update. Maintain files in
        J:WQMP\Update
        The WQMP Coordinator will file the original EPA approval letter in the appropriate update folder
        and will save an electronic copy in files stored under J:WQMP\Update.
    CC. Notify interested parties – Permitting, SRF, and TMDL programs the WQMP Update has been
        approved.
        The WQMP Coordinator will notify all interested parties, such as Permitting, SRF, and TMDL
        programs that EPA, Region 6, has approved the quarterly WQMP Update.
    DD. Update TMDL.db, wqmain.db and WQMP.db
        The WQMP Coordinator updates the TMDL.db, wqmain.db, and WQMP.db with the approval date
        derived from EPA’s original approval letter.
    EE. Send electronic version of updated database to TMDL Coordinator
        The WQMP Coordinator will submit an electronic version of the updated TMDL.db to the TMDL
        Coordinator. The TMDL Coordinator shares this information with the TMDL team.




      1.1.2.2 Pretreatment Review

        For TPDES municipal wastewater discharge permits where the permittee is a POTW,
        pretreatment program review is required. The permit application file is routed by the
        Municipal/Industrial Team leader to the delegated senior pretreatment staff for assignment.
        There are also a few TPDES industrial wastewater discharge permits that require pretreatment
        program review.

        A. Pretreatment coordinator is assigned
        The delegated senior pretreatment staff assigns the permit application to the pretreatment
        coordinator. If the file if for a POTW without an approved pretreatment program, then it is
        assigned to any of the pretreatment coordinators considering the complexity and work load and
        using the Inventory Report as reference to determine if the POTW has more than one wastewater
        treatment facility (all files for the same POTW should be assigned to the same pretreatment
        coordinator for consistency and efficiency). If it is a file for POTW with an approved pretreatment
        program, then the file is assigned to the pretreatment coordinator responsible for that POTW
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        using the TPDES Pretreatment Program Assignments table as a reference.

        B. Update Paradox database (a-mainwq.db)
        The delegated senior pretreatment staff updates the Paradox database to indicate the
        pretreatment coordinator assigned to review the permit application, the date assigned, and the
        date due. The database is also updated to include a note in the technical notes area if there is a
        new developing pretreatment program or a pretreatment program substantial modification that will
        be processed in conjunction with the current POTW permit action.

        C. Perform pretreatment review
        The assigned pretreatment staff reviews the permit application and permit file documents. The
        pretreatment staff focuses on Worksheet 6.0 of the Technical Report and reviews the wastewater
        effluent data.

        For Option 1 permits, the Texas Manufacturer’s Directory is accessed via the internet to
        determine if there are any potential SIUs or CIUs located in the POTW’s service area.

        Fort Option 3 and 4 permits, the pretreatment staff reviews the recent pretreatment annual
        reports and the last pretreatment audit and pretreatment inspection violations and required
        amodifications and associated responses from the permittee.

        D. Is it technically complete?
        If the pretreatment related documents are not technically complete or if the Texas Manufacturer’s
        Directory listing includes potential SIUs and CIUs, then continue to step F. If the documents are
        technically complete and there are no potential SIUs or CIUs in the Texas Manufacturer’s
        Directory listing, then continue with step E.

        E. Prepare memo with fact sheet/technical summary
        The assigned pretreatment staff reviews the permit application and permit file and prepare a
        memo with fact sheet/technical summary language concerning the pretreatment requirements
        and prepares the appropriate pretreatment permit option (1 through 4) language.

        The pretreatment staff has five different pretreatment requirement options that may be included in
        the permit. The pretreatment requirements placed in the permit depend on several factors: does
        the POTW have an approved TPDES pretreatment program with SIUs discharging to the POTW,
        does the POTW have an approved TPDES pretreatment program with no SIUs discharging to the
        POTW, does the POTW need to conduct an industrial user survey or develop a pretreatment
        program.

        F. Contact applicant for additional information
        If the pretreatment related documents are not technically complete or if the Texas Manufacturer’s
        Directory listing includes potential SIUs and CIUs, then send a fax or e-mail to the permittee
        requesting the missing information, revisions, or additional information needed to proceed with
        the technical review.

        G. Response Received and Complete?
        If the pretreatment related documents and information is received and is complete and adequate,
        then continue with step E.

        H. Are boilerplate pretreatment requirements applicable?
        Based on the review of the permit application and supporting documents, if the boilerplate
        pretreatment permit requirements are applicable to the POTW, go to step J.
        If boilerplate pretreatment requirements are not applicable to the POTW, go to step I and draft
        pretreatment permit requirements.

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        J. Use boilerplate pretreatment requirements
        The pretreatment staff will use the boilerplate pretreatment requirements if those are applicable
        for this application. Continue with step K.

        I. Pretreatment staff prepare draft pretreatment requirements
        Pretreatment staff prepares the draft pretreatment permit requirements if the boilerplate
        pretreatment requirements are not applicable.

        K. Pretreatment coordinator completes memo with fact sheet/technical summary
        The assigned pretreatment coordinator completes the memo with fact sheet/technical summary
        language and pretreatment permit language. The pretreatment memo and pemit language
        requirements are saved to the I/WQ/Muni/Pret drive under the respective folders.

        L. Peer review of memo with fact sheet/technical summary
        The memo with fact sheet/technical summary language is processed for peer review. If
        applicable it is also forwarded to the Storm Water & Pretreatment Team leader for review and/or
        briefing for complex permit requirements or “hot” issues.

        M. Update Paradox database: a-mainwq.db
        The delegated senior pretreatment staff enters the date that the assigned pretreatment
        coordinator completed the permit application review, including preparation of the memo and
        pretreatment permit requirements, and the pretreatment option given (1-5).

        N. Individual Permit Process
        The permit file (with a hard copy of the memo) is routed to the Municipal or Industrial Team
        leader, as applicable, to continue with the Individual Permit Process.


      1.1.2.3 Complete Permit Writer Review

        A. Is this a CAFO Permit Application?
        If Yes, proceed to F. Application Review and Processing (ARP) Team routes the application to
        the CAFO permits team where a permit writer (PW) will be assigned. If No, proceed to B.

        B. Application complete?
        The permit writer reviews the application to determine if additional technical information is needed
        to draft a permit. If application is incomplete, proceed to C. If complete, , continue to H..

        C. Send NOD
        The permit writer requests additional information by sending a Notice of Deficiency by letter or
        email. Additional information may also be requested by phone or fax.

        D. Applicant response
        Applicant submits additional information that was requested by permit writer.

        E. Additional information needed?
        The permit writer reviews the response from applicant and determines if the information is
        complete. If additional information is required, return to C. Otherwise, continue to H.

        F. CAFO Team makes copies & routes to WQA No Discharge Process
        The CAFO PW makes a copy of the application and routes it with a memo to the Water Quality
        Assessment Team (WQA) for geology and agronomy reviews. Agronomy, geology and CAFO
        comments are combined before sending it to the applicant.

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        G. Water Quality Assessment (WQA) No Discharge Process
        The CAFO application is routed to the WQA for no discharge process

        H. Run compliance history report
        Permit writer will run the compliance history report for the applicant and site, and will review
        information in report. Compliance history can be run at any time from when application was
        received to when the permit is issued.

        I. Review technical data
        The permit writer will review all relevant technical data to begin permit draft.

        J. Go to ERC part C?
        If there is an administrative order for water or if there are 10 or more self-reported notices of
        violation, then the permit writer will present compliance issues at ERC Part C. If yes, continue to
        K. Otherwise, continue to Q.

        K. Prepare compliance briefing
        Permit writer will prepare a summary of violations, including charts showing trends. Permit writer
        may contact the regional office, enforcement, and/or the applicant regarding violations, and will
        include this information in the briefing.

        Attend ERC Part C
        Attend ERC to discuss compliance briefing.
        M. Is ERC Part B Needed?
        The permit writer will review all relevant technical data. If there are any technical issues
        unresolved with the applicant, the PW will prepare a briefing for presentation at ERC Part B. If
        ERC Part B not needed, proceed to Q.

        N. Attend ERC Part B
        Attend ERC part B to discuss outstanding technical issues.

        O. Approval to proceed?
        Permit writer may be instructed to move forward with permit development, either with or without
        additional controls to address compliance or technical issues. If yes, continue to Q. Otherwise,
        continue to P.

        P. Work with management
        The permit writer may be required to collect additional information to provide to management
        before moving forward with permit development.

        Q. Staff drafts permit
        Permit writer will draft a permit based on the federal and state rules, the permit application, any
        existing permit(s), compliance information, and other technical data. If CAFO proceed to U,
        otherwise continue to R.

        R. Is additional WQA review required?
        If additional WQA review is required, proceed to WQA discharge or no discharge processes (S or
        T or both S and T, whichever is applicable). If no additional review required proceed to V.

        S. WQA Discharge Process
        If it is a discharge permit proceed with WQA discharge process.

        T. WQA No Discharge Process
        If it is a no discharge permit proceed with WQA no discharge process.

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        U. Is it A CAFO Permit?
        If yes, proceed to W. The permit writer will route the draft permit packet to peer reviewer and
        management for comment and draft approval. If not CAFO, proceed to V.

        V. Complete CMP review and other worksheets
        If the facility is located within the coastal zone, then a CMP review checklist must be completed.
        Other worksheets may include toxic rating determination, EPA Major/Minor determination, New
        Source determination, and possible others.

        W. Transmit to reviewer
        Permit writer will prepare a transmittal memo and will route the draft permit, application, and
        supporting documentation to the assigned permit reviewer (for example, peer reviewer or team
        leader).

        X. Is it an Industrial POTW Permit?
        If yes, forward the draft packet for pretreatment review process, Y. If No, transmit draft permit
        packet to peer reviewer, W.

        Y. Pretreatment Review Process
        Permit writer routes draft permit packet for pretreatment review process if it is needed.

        Z. Incorporate pretreatment language into draft permit packet
        The permit writer receives and incorporates the pretreatment language into the draft permit
        packet. Proceed to W.

        AA. Revise based on comments
        Permit writer will revise the draft permit based on the comments received from reviewers.

        BB. Update db to reflect Technically complete
        The permit is considered technically complete once permit is reviewed and changes are made.
        The database is updated with the technical complete date.

        CC. Individual Permit Process
        Proceed to T under the Individual Permit Application Process.


    1.1.3 Draft Permit

      1.1.3.1 Draft Permit Review Process
        A. Send draft to applicant
        The CIA (Customer Information and Assistance) Team or the permit writer sends the draft permit
        to the applicant and the appropriate Regional Office for comments.

        B. Applicant and Regional Office review
        The applicant and Regional Office Staff review the draft permit concurrently.

        C. Applicant and Regional Office comment?
        Does the applicant or Regional Office have comments? If yes, continue to D. If not, go to F.

        D. Incorporate comments
        The permit coordinator revises the draft permit packet based on the comments received.

        E. Permit writer sends a response to applicant addressing all comments
        Permit writer sends a response to applicant addressing all comments
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        F. Is ERC review required?
        Is an ERC (Executive Review Committee) review required? If yes, continue to G. Otherwise,
        continue to L.

        G. CIA Team copies permit packet for ERC and prepares memo
        The CIA team copies the permit packet for ERC and prepares the accompanying memo.

        H. Route ERC memo with draft permit packet to internal staff and other state agencies
        Route the ERC memo with the draft permit package to internal staff and other state agencies.

        I. Comments?
        Are there any comments on the draft permit packet? If there are comments, continue with J.
        Otherwise, go to L.

        J. Incorporate comments
        The permit writer coordinates incorporating the comments into the draft permit.

        K. Permit writer sends response to applicant regarding changes to draft permit from ERC
        The permit writer sends the applicant the revised draft permit packet.

        L. Draft ready for CCO filing?
        Is the draft permit ready for CCO filing? If yes, continue with M. Otherwise, go back to J.

        M. Individual Permit Application Process.
        Proceed to the CCO Process under the Individual Permit Application Process.


      1.1.3.2 CCO Process
        A. CIA Team Runs query in Paradox – shows which permit are set to be filed with CCO
        Run query in Paradox which shows which permits are set to be filed with CCO.

        B. Pull permit files
        Pull permit files. The deadline is Tuesday at noon.

        C. Fill out the goldenrod form for each permit

        D. Data entry into Paradox and TRACS
        Enter dates the files will be filed with CCO into Paradox and TRACS on Thursday.

        E. Data entry into Word
        Merge set up and merge EdSub letters.

        F. Find and save the notices for each permit

        G. Run Paradox and TRACS reports
        Run Paradox and TRACS reports showing the permits to be filed with CCO.

        H. File permits with CCO on Thursday

        I. Email notices to CCO on Thursday

        J. Email WQD staff notifying them which permits were filed with CCO

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        K. Mail permit packets to EPA on Friday.

        L. Back to Individual permit process (Step BB)




      1.1.3.3 EPA Review Process
        Draft TPDES permits from the Municipal Permits Team, Industrial Permits Team, Storm Water &
        Pretreatment Team, and the CAFO Team are required to be sent to EPA Region 6 (EPA) for
        review and approval when specified thresholds are met. The permit writer assigned to the permit
        application is responsible for the review of EPA comments, response to EPA comments, revisions
        of the draft permits, and forwarding revisions to the EPA and applicant. The most common path
        for permits subject to EPA review is A-E, K, N-P.

        A.      Send draft permit packet to EPA
        Copies of the draft permit, Fact Sheet or Technical Summary, permit application, TCEQ review
        IOMs, and other related documents are sent to EPA for review. This is done by the Customer
        Information and Assistance Team staff at the same time that the draft permit is filed with the
        TCEQ’s Chief Clerk’s Office.

        B.    EPA – 45 days to review
        EPA has 45 days to conduct review of permit package and to submit response (approval,
        comments, or objection) to TCEQ. EPA may request an extension.

        C.     Received/Review EPA response
        EPA response is received by TCEQ.

        D.     Update paradox Main.
        Database is updated with appropriate information.

        E.      Approve?
        Permit writer reviews EPA response and determine if permit was approved by EPA. If permit was
        approved by EPA then proceed to Step K. If permit was not approved by EPA then proceed to
        step F.

        F.     Review objection
        Approval not received by EPA in the form of an “Interim Objection” letter. Permit writer will review
        EPA’s objection and other comments (if applicable).

        G.      Revise draft
        Permit writer reviews EPA comments, revise draft permit (as necessary), and prepare response
        to EPA.

        H.      Send revised draft permit to EPA
        Objection response and revised draft permit sent to EPA for review.

        I.     Receive response from EPA
        EPA response to objection response and revised draft permit is received by TCEQ.

        J.      EPA approval?
        Permit writer reviews EPA response and determines if permit was approved by EPA. If permit
        was approved by EPA then proceed to Step T. If permit was not approved by EPA then proceed
        back to Step K.

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        K.        EPA rescinds TCEQ authority?
        Permit writer reviews EPA response to determine if EPA rescinds the TCEQ’s permitting authority
        to issue the permit under the Clean Water Act (CWA). If EPA does not rescind the TCEQ’s
        permitting authority under the CWA then proceed back to Step F to repeat the process (Steps F-
        J) until EPA approval is obtained or EPA rescinds the TCEQ’s permitting authority under the
        CWA. If EPA does rescind the TCEQ’s permitting authority under the CWA then proceed back to
        Step L.

        L.      Revise to be State only permit
        Permit writer revises the draft permit to be a State-only permit issued under the Texas Water
        Code then proceed to Step T.

        M.      Conditional approval or declined review?
        Approval is received by EPA in the form of either conditional approval or declined review. If
        conditional approval is received, then proceed to Step N. If declined review is received, then
        proceed to Step P.

        N.      Accept conditions?
        Permit writer reviews EPA conditional approval to determine if TCEQ will accept conditions. If
        TCEQ does not accept EPA conditions, then proceed to Step O. If TCEQ accepts EPA
        conditions, then proceed to Step S.

        O.      Respond to EPA
        Permit writer forwards response to EPA explaining why TCEQ does not accept their conditional
        approval. Proceed back to Step M.

        P.       Draft needs to be revised?
        Permit writer (with consultation with permitting management) determines if any minor revisions to
        the draft permit are necessary based on comments from EPA review. If no, proceed to Step Q. If
        yes, proceed to Step S.

        Q.      Hearing requested?
        Permit writer determines if a request for a public hearing has been submitted. If no, proceed to
        Step R. If yes, proceed to Step W.

        R.      ED Sub Final Action Process
        Permitting management schedules the permit for ED Subdelegation review and final approval of
        uncontested permit applications following the ED Sub Final Action Process.

        S.      Modify draft permit
        Permit writer modifies the draft permit based on EPA comments or conditional approval.

        T.      Send to applicant for review
        Permit writer sends the revised draft permit to applicant for review.

        U.      Applicant accepts?
        Permit writer determines if applicant accepts revised draft permit. If yes, proceed to Step Q. If no,
        proceed to Step V.

        V.      Applicant requests hearing?
        Permit writer (with consultation with permitting management) determines if applicant requests a
        hearing on the revised draft permit. If no, proceed to Step R. If yes, proceed to Step W.

        W.      IP Hearing Request Process
        The draft permit is referred to the Environmental Law Division for the public hearing and follows
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        the individual permit hearing request process.




    1.1.4 Public Participation Process

      1.1.4.1 Public Meeting Process (IP & GP)

        A. Coordinate with Office of Public Assistance (OPA) to schedule meeting
        Meeting has been granted. OPA prepares notice and schedules public meeting.

        B. OPA drafts meeting notice
        OPA drafts meeting notice and forwards to TCEQ staff and applicant representatives for review

        C. All parties review notice
        The permit writer and legal staff review the notice (internal review). The applicant is also given an
        opportunity to review the notice.

        D. Notice finalized and filed with CCO
        OPA reviews comments from TCEQ and applicant representatives. OPA makes necessary
        revisions. OPA files final meeting notice with CCO.

        E. CCO mails the meeting notice
        CCO mails the meeting notice for permit to applicant, relevant government officials, and other
        interested third parties.

        F. Enter Public meeting date in database
        Appropriate program personnel will enter the public meeting date in the tracking database

        G. Hold meeting
        Permit writer does the prep work and attends public meeting.

        H. Individual Permit Application Process
        Continue at the appropriate step in the Individual Permit Process.




      1.1.4.2 IP Hearing Request Process
        A. Legal requests commission agenda date
        Legal requests a commission agenda date to consider the hearing request.

        B. Direct Referral?
        CCO reviews if a direct referral request has been received from the applicant. If YES then CCO
        refers to State Office Administration Hearings (SOAH) (Step K). If NO then CCO emails Future
        Set List (STEP C).

        C. CCO emails Future Set List
        CCO emails Future Set List to section manager and CIA team.

        D. Prepare agenda backup and post agenda
        Agenda backup material is prepared and CIA team posts agenda caption on T-Net.

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        E. Enter agenda into DB
        Enter agenda into the database.

        F. Add to Commission agenda schedule
        The permit application and associated hearing requests are scheduled for Commission Agenda.

        G. Hearing granted?
        The Commission listens to the request to grant a hearing. If the hearing is granted, continue with
        Alternative Dispute Resolution (STEP I). If not, then proceed to Commission Action Taken (STEP
        H).

        H. Commission Action Taken
        Proceed with final processing of the permit.

        I. Alternative Dispute Resolution
        Enter Alternative Dispute Resolution (STEP I) unless applicant requests direct referral to SOAH
        (STEP K) - (can take about 6 months).

        J. Dispute resolved?
        Was the dispute resolved? If yes, then proceed to Commission Action Taken (STEP H). If the
        dispute was not resolved, then refer to SOAH (STEP K).

        K. Refer to SOAH
        Applicant is formally referred to SOAH.

        L. Proposal for Decision on permit?
        Was a proposal for decision made on the permit application? If yes, continue with STEP Q. If
        not, continue with STEP M.

        M. Was the application withdrawn?
        Was the application for permit withdrawn? If yes, continue with STEP N. If not, continue with
        STEP O.

        N. Continue with Withdrawn Application Process.
        Continue with final processing of the permit application based on final action taken.

        O. Request for hearing withdrawn?
        Was the Request for Hearing withdrawn? If the request for hearing was withdrawn, continue with
        STEP P. If not withdrawn, continue proceed to Commission Action Taken (STEP H).

        P. Continue with the ED Final Action (Sub-delegation) process.

        Q. SOAH refers back to TCEQ
        SOAH refers the application for permit back to TCEQ with a recommendation to Commission
        (PFD – Proposal for Decision).

        R. Schedule for Commission Agenda
        Add to the schedule for the Commission Agenda.

        S. Commission Agenda
        Commission Agenda convenes. The Commission can take final action to approve or deny the
        permit application, re-refer the application back to SOAH, or allow the applicant to withdraw the
        application.

        T. Was the application withdrawn?
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        Was the application for permit withdrawn? If yes, continue with STEP N. If not, continue with
        STEP U.

        U. Re-refer to SOAH
        If the Commission decided to re-refer the application to SOAH then proceed to Step K. If the
        Commission did not decide to re-refer the application to SOAH then proceed to Commission
        Action Taken (STEP H).

        V. Individual Permit Application Process
        The application process returns to the next step in the IP application process.


      1.1.4.3 Remand from CCO Process
        A. Interoffice memo is generated by staff
        An interoffice memo is generated by staff (administration or technical reviewer) and is routed to
        appropriate team for review and approval.

        B. Memo is routed to BPS
        Memo is routed to the Business and Program Services Section (BPS) - CIA team for technical
        and ARP team for administration. Copies are made of the memo.

        C. Staff delivers the original memo to the CCO and file is returned to the program area.

        D. BPS updates databases – Paradox and TRACS
        BPS updates Paradox and TRACS with text indicating that the permit was remanded.

        E. Copy of memo is placed in file and file is returned to requestor
        A copy of the memo is placed in the permit file and the file is returned to the requestor of the
        remand.

        F. Individual Permit Application Process
        Continue to the CCO process under the Individual Permit Application Process


    1.1.5 ED Sub - Final Action (IP and GP)

        A. Identify permits for future set list
        The CAFO, Municipal and Industrial teams identify the permits for the future set list.

        B. Future set list is distributed to the CCO
        The future set list is distributed to the CCO. The CAFO team leader sends an e-mail to the CCO
        with the permit information to be set on the ED Sub delegation.

        C. CCO sets permits on ED Sub

        D. CIA team picks up permits & / or pretreatment packet from CCO
        The CIA team picks up the ED Sub permit(s) and if applicable, pretreatment packet from the CCO
        for processing. They are posted on ED Sub dailies.

        E. Data Entry into EDsub-Active.fsl(Paradox)
        Permit information is entered into EdSub-Active.fsl database (Paradox).

        F. CIA team prepares packet for distribution to team leader(s) (for review)
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        The CIA team fills out the ED Sub forms with the deadlines and prepares the permit packets for
        distribution to the team leader(s) for review.

        G. Route permit(s) to the designated person for each team
        CIA team routes permit packet to the designated person for each team. Team leader assigns
        permit packet to a permit writer.

        H. Tech team review
        The assigned permit writer will fill the paperwork and review the permit document to make sure
        that there are no missing pages. The CAFO permit writer also runs a Compliance History report
        at this stage and routes the document back to the CIA team through the team leader.

        I. Get permit(s) back by given deadline
        CCO gets permit(s) back by given deadline. Deadline to get back to CCO is 3-14 days. If the
        review takes longer than 14 days, then a re-post is required.

        J. Enter processing dates into Paradox
        The CIA team enters the processing dates into Paradox database.

        K. Ready to be issued?
        Is the permit ready to be issued? If yes, continue with L. If not, continue with Y.

        L. Do fee check
        CIA team checks to make sure that applicant’s fees are paid and up to date.

        M. Are fees in good standing?
        If all applicable fees are paid, continue with N. It is possible that if there are unpaid fees, the
        applicant may be given an opportunity to pay the fees and get the account up to date at this point
        and then continue with N. Otherwise continue with Y.

        N. Route permit(s) to special assistant for review and signature
        The CIA team routes permit(s) to special assistant for review.

        O. Did the permit pass review?
        If there were no problems found during the special assistant’s review, continue with P. Otherwise,
        continue with Y.

        P. Special Assistant routes to Division Director for Signature and Issue date
        If there are no comments or questions during the special assistant’s review, the permit packet is
        routed to the Division Director for signature and issue date.

        Q. Gets permits back to CIA team
        The permit packet is returned to the CIA team after the Division Director has signed.

        R. Put ED’s electronic signature on the permit
        The CIA team prepares the signed permit(s) and puts the ED’s electronic signature on permit(s).

        S. Pretreatment Mod included?
        If it a Municipal permit and has pretreatment model included, proceed to T. Otherwise proceed to
        U.

        T. Update pretreatment final documents
        After the permit is signed with the ED’s electronic signature, the CIA team will return the permit to
        the pretreatment team. The permit writer will use the issued date to set certain permit provisions.

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        U. Enter the issued date into Paradox
        The CIA team enters the issued date into the Paradox database.

        V. Run Paradox report showing which permit(s) were issued
        The CIA team runs the Paradox report showing which permit(s) were issued.

        W. File permit(s) with CCO
        The CIA team files permit(s) with the CCO Process in the Individual Permit Application Process.

        X. Individual Permit Application Process
        Permits that have been signed by the Division Director are filed by the CIA team with the CCO for
        the final processing of permit (step NN) under the Individual Permit Application Process. Permits
        that cannot be issued are returned to the Individual Permit Application Process for which the
        permit was deficient.

        Y. Update Paradox database
        If the permit is not ready to be issued or the fees are not in good standing or the permit did not
        pass the special assistant’s review, the CIA team will update the Paradox database with the
        reason why the permit may not be issued. CIA will print out the report called the “ED Sub packet
        being returned to the CCO” and proceed to Z.

        Z. Return permit(s) to CCO
        The CIA team returns permits that cannot be issued and the ED Sub packet being returned to the
        CCO memo to the CCO.

        AA. Repost for ED Sub?
        The permits that cannot be issued may be reposted for ED sub within 60 days depending on the
        reason why it could not be issued. If reposted, go to A. If No, permit may be returned to the
        Individual Permit Application Process.


    1.1.6 Final Processing (IP and GP)

        Once individual permits have been issued, they must be Acoded@ into TRACS (TPDES and
        TLAP) and ICIS (TPDES only). General Permits must be coded in ICIS. The majority of the
        permits follow the A - I path. The majority of the permits that we receive are TPDES.

        A. Receive issued individual permit from CCO
        The Chief Clerk=s Office notifies the ARP Permit Coordinators,Acoders@ when the issued permits
        are ready via e-mail. Permit Coordinators print 2 copies of permit, one copy will be used for
        TRACS and data entry and the other copy will be used for ICIS entry and storage in the WQ
        Applications Team’s file. For TPDES permits, one copy will be used for TRACS data entry, and
        the other copy will be used for PCS entry and storage in the WQ Applications Team=s files. For
        TLAP permits, one copy will be used for TRACS data entry, and the other copy will be placed in
        the WQ Applications Team=s files.

        Copy of general permit certificate and NOI are made for the permit coordinator to process in ICIS.

        B. Enter permit information into Paradox (a-mainwq.db & wqpermit.db)
        The issued permits are divided equally between the coders, and each coder will perform the rest
        of the steps for her/his assigned permits. Date received and which coder the permit is assigned
        to is entered into Paradox AMainWQ.db. Permit information, such as the issued and expiration
        dates, are entered into Paradox WQpermit.db.

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        Assign general permit to coder in Paradox and CR-Arts. Issued, Effective, and Expiration dates
        are updated in ICIS.

        C. Enter TPDES & TLAP data into TRACS
        The permit information, including the parameters and their associated limits, are coded into
        TRACS for both TPDES and TLAP permits.

        The general permit information, including the parameters and their associated limits are coded
        into ICIS.

        D. Is the permit a TPDES?
        Is the permit a TPDES? A TPDES permit is a discharge permit. This determines whether or not
        the permit information will be entered into ICIS.

        E. Create tracking form for ICIS entry
        If the permit is TPDES, a tracking form is printed. The form allows the coder to enter codes for
        the city, county, and other fields to be entered into ICIS. The dates that the ICIS data entry steps
        are completed are also recorded on the form.

        F. Enter data into ICIS & update permit
        The permit information is entered into ICIS. The entry must be done in a series of steps (unless it
        is a new TX number with no limits in ICIS) in order to preserve the information for the previous
        permit (historical data) in ICIS.

        G. Notify Enforcement regarding DMRs for TPDES
        Limit summaries are printed from ICIS/REPORTS for the permits currently being worked. A
        ‘coder’, other than the one who the permit was assigned to, then quality controls the limit
        summary from ICIS and the data that was entered into TRACS. If corrections are needed in ICIS,
        the permit is returned to the ‘coder’ who was assigned the permit, and another quality control will
        take place after the next ICIS update (overnight). If no corrections are needed, an e-mail is sent
        to enforcement requesting that DMRs now be sent to the permittees for the completed permits.

        H. Notify Enforcement regarding MERs for TLAP
        After the TLAPs are completed and quality controlled in TRACS, an email is sent to enforcement
        requesting that MERs be sent to the permittees (only for TLAPs with soil/well monitoring
        requirements). TLAP permits then complete the H-I route.

        I. Update Paradox (a-mainwq.db)
        The date of completion for both ICIS and TRACS is updated in the Paradox AmainWQ.db.

        J. File permit and associated paperwork in WQ Applications Team files
        The permit and its associated paperwork is filed in the WQ Applications Team=s files. A TPDES
        permit will have the final quality controlled limit summary (printed from ICIS), the tracking form for
        ICIS entry. A TLAP permit will have a copy of the email requesting MERs attached to it.

        A folder is created for all general permit certificates and associated paperwork to be filed in the
        WQ Applications Team’s files.

        K. Individual Permit Application Process
        The process continues with the next step in the individual permit application process.


    1.1.7 Motion to Overturn Process (IP and GP)
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        A. OGC reviews MTO
        If the MTO is received within 23 days after the ED has mailed notice of the ED’s decision on an
        application, then the Office of General Counsel (OGC) will review the MTO and forward to the
        Commissioners. The TCEQ has 45 days following the date that the agency mails notice of the
        ED’s action on an application in which to act on the motion, or the MTO is denied. OGC may
        grant a one-time extension that provides TCEQ with up to 90 days after the date that the agency
        mails notice of the ED’s action on an application to make a decision on the MTO.

        A MTO may be filed by the applicant, OPIC, or other persons.

        B. OGC requests information?
        OGC may ask the ED or other agency staff for a legal brief, MTO response, or other information
        responding to the MTO. If information is requested, continue with C. If information is not
        requested, continue with D.

        C. ED/OPIC provide information
        The ED (represented by the Environmental Law Division) will provide response by deadline
        established by OGC. OPIC will often provide a response to the MTO as well. Other agency staff
        may be requested to provide information.

        D. Commission to consider MTO?
        The Commission may decide to hear the MTO on agenda, or may elect not to hear it. If MTO is
        not scheduled for an agenda within 45 days of the date that the agency mails notice of the ED’s
        action on an application (or up to 90 days if an extension is granted), the MTO is denied. If the
        Commission will not consider the MTO, continue with E. If the Commission will consider the
        MTO, continue with F.

        E. Permit maintenance process
        If the Commission did not hear the MTO, proceed to step PP of the Individual Permit Application
        Process. The permit records are maintained including permit renewal, amendment, or change in
        permit/permittee information.

        F. Agenda
        The Commission hears arguments for and against MTO. Present at the meeting are the
        person(s) filing the MTO and Agency staff.

        G. MTO granted?
        If the MTO is granted, continue with H. If not, then go to E (Permit maintenance process).

        H. Permit overturned process
        If the MTO is granted proceed to step RR of the Individual Permit Application Process.




    1.1.8 Permit Overturned Process
        A motion to overturn may be submitted during the permitting process. If the motion is granted
        after the permit has been issued and final processing has taken place, the systems must be
        updated to reflect the change. The majority of the overturned permits follow the A-J path.

        A. Receive notification from CCO that permit has been overturned
        The Chief Clerk=s Office notifies the ARP Permit Coordinators, Acoders@ that a permit has been
        overturned via e-mail. Permit Coordinators gets previous permit from I drive/or file cabinet and
        prints 2 copies of permit, one copy will be used for TRACS and data entry and other copy will be
        used for ICIS entry and storage in the WQ Applications Team’s file.
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        B. Coders roll back TRACS case from maintenance to previous status
        If permit was newly issued, the current maintenance case will be removed, and the new
        application case will be reactivated. If there was a previous permit, the current maintenance case
        will be removed, and the previous maintenance case along with the renewal/amendment case will
        be reactivated.

        C. Is the permit a TPDES?
        Is the permit a TPDES permit? A TPDES permit is a discharge permit. This determines whether
        or not the permit information will need to be changed in ICIS.

        D. Is the permit new or existing?
        Is the permit new or existing? Was this a renewal/amendment of a previously issued permit, or
        was it a newly issued permit? If it was new, the information in ICIS just needs to be removed. If it
        was a renewal/amendment, the information in ICIS has to be removed, and the information from
        the previous permit has to be re-entered.

        E. Run previous limit summary for limits from ICIS/Reports
        Limit summaries can be generated from ICIS/Reports which show the information from the
        previous permits (historical) that was entered into ICIS. This information will need to be re-
        entered exactly as it was from the previous permit.

        F. Re-enter previous limits
        The previous permit’s limits are entered in ICIS. Limit summary is generated and printed from
        ICIS for the permit currently being worked. A ‘coder’, other than the one entering the previous
        permit information, quality controls the limit summary from ICIS and the data that was rolled back
        in TRACS. If corrections are needed in ICIS, the permit is returned to the ‘coder’ entering the
        previous permit information, and another quality control will take place after the next ICIS update.

        G. Notify Enforcement regarding DMRs for TPDES
        After quality control notify enforcement to order new DMRs.

        H. Delete permit information out of ICIS
        If the overturned permit was a new permit, there is no previous permit information to enter into
        ICIS. The information from the overturned permit is deleted out of ICIS.

        I. Notify Enforcement regarding MERs for TLAP
        For an overturned TLAP permit, the cases are quality controlled in TRACS to ensure that the
        previous permit information is correct. An e-mail is sent to enforcement requesting that MERs be
        sent to the permittees.

        J. Update Paradox to reflect change (Wqpermit.db and A-mainwq.db)
        The information from the permit that was overturned is removed from Wqpermits.db, and the
        previous case is once again made active. The date received, Acoder@ assigned to, and dates of
        ICIS and TRACS updates are removed from Amainwq.db, and the case is made active.

        K. File permit and associated paperwork in WQ Applications Team files
        A copy of the previously issued permit, the overturned permit, and all of the associated paperwork
        is filed in the WQ Applications Team=s files. A TPDES permit will have the final quality controlled
        limit summary and the previous limit summary (printed from ICIS), the tracking form for ICIS
        entry. A TLAP permit will have a copy of the email requesting MERs attached to it.

        L. Individual Permit Application Process
        The process returns back the the application process at the step specified by the commission.

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1.2     Sludge Registration and Authorization Application Process

    1.2.1 Class A Sludge Registration
        The Applications Review & Processing Team receives the application and is responsible for steps
        A through C. The Municipal Permits Team is responsible for performing the technical review as
        indicated in steps D through R. The Loop G through J is repeated two times. After two attempts
        if no response is received from the applicant, the permit writer informs the team leader, who
        working with the Section Manager, determines the next course of action, which may include
        returning the application.

        A. Receive registration application
        Application is received by the Applications Review & Processing Team.

        B. Creation of Central Registry Record in CR database.
         Administrative Reviewer reviews the application and determines if a customer number and/or
        regulated entity number needs to be created and assigned. If so, Administrative reviewer
        coordinates with central registry to create the numbers. Once this has been accomplished, the
        Administrative Reviewer will draft the contact and routing sheets for the file.

        C. Update Paradox (sludgeap.db)
        The Applications Review & Processing Team logs in the application into Corel Paradox database,
        sludgeap.db.


        D. Assign to permit writer and log into Firoj’s notebook
        The Applications Review & Processing Team forwards the application to the Municipal Permits
        Team for technical review, and it is assigned by the Team Leader to one of the team members.
        The team leader logs the assignment in his notebook.

        E. Update Paradox (Class A Notice.db)
        The Municipal Permits Team coordinator enters the key application data such as applicant name,
        date received, and the name of permit writer into the Corel Paradox AClass A Notice.db@
        database.

        F. Review application for completeness
        The permit writer reviews the technical data such as sludge quality, methods used to achieve
        Class A pathogen level, vector attraction reduction method information, and description of
        methods used for distribution.

        G. Is application technically complete?
        After the technical review is completed, the permit writer verifies whether the application is
        technically complete and whether there are any deficiencies. If deficiencies are found, the permit
        writer prepares a Notice of Deficiency (NOD) letter and follows loop G through J two times. After
        two attempts if no response is received, the permit writer informs the Team Leader, who working
        with the Section Manager, determines the next course of action, which may include returning the
        application. If no technical deficiencies are found, the permit writer performs the step K.

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        H. Call or send NOD letter
        The permit writer sends the NOD letter listing all the technical deficiencies to the applicant within
        30 days of receipt of the application.

        I. Update Paradox (Class A Notice.db)
        The permit writer enters the date that the NOD letter was sent in the AClass A Notice.db@ Corel
        Paradox database.

        J. Response received?
        The permit writerverifies the applicant response to the NOD for technical completeness and
        updates Paradox. If response is received, the permit writer returns to step G. If it is still needed,
        the permit writer returns to step H.

        K. Draft Authorization Packet
        The permit writer prepares the draft of notification approval registration document using the
        standard shell language.

        L. Route to Team Leader for review
        The permit writer forwards the draft authorization document to team leader for review.

        M. Route to Section Manager for Review
        The draft authorization packet is forwarded to the section manager for review.

        N. Revisions needed?
        The Municipal Permits Team Leader reviews the draft registration and returns it to the permit
        writer if changes are needed to be made. If not, it is routed to the Wastewater Permitting Section
        Manager for review.

        O. Revisions needed?
        The Wastewater Permitting Section manager reviews the draft registration and, if corrections are
        needed, returns it to Team Leader, who in turn returns it the permit writer. After the registration
        draft is deemed acceptable, the Section Manager signs the registration.

        P. Update final action and date in Paradox
        The Customer Information & Assistance Team staff updates the Corel Paradox database file
        AClass A Notice.db@.

        Q. Permit Writer sends Authorization to applicant.
        The registration authorization packet is sent to the applicant.

        Q. Permit Writer sends Authorization Packet and file to Central Records
        The permit write sends the file with a copy of the authorization packet to central records.


        S. CCO enters in CID
        The Chief Clerk’s Office creates a record in their CID database to track processing of the permit
        action.

        T. CCO Final Docs
        The Final Docs Team of CCO receives the authorization package. They mail the final
        authorization to the registrant and others on the CCO=s notification list for sludge registrations.


        U. CCO updates in CID database

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        The CCO updates the record in CID database to reflect the final processing of the authorization.

        V. CCO sends file with copy of registration to Central Records
        The CCO sends the original registration file to Central Records.




    1.2.2 Sludge Registration Application Process
       The Applications Review & Processing Team receives the application and the
       Municipal Permits Team is responsible for performing the technical review.

        A. Receive Registration Application
        The registration applications are initially received by the Applications Review &
        Processing Team which initiates the registration application process.

        B. Complete Administrative Review of a Sludge Registration
        The Water Quality (WQ) Applications Review & Processing Team completes the
        administrative review of the registration application and requests additional
        information if the application is deficient. The Applications Review & Processing
        Team declares the registration application administratively complete when all
        required information is received. The steps involved in reviewing the application
        and declaring it administratively complete are described in the diagram and
        documentation for Complete Administrative Review.

        C. Team Leader assigns permit writer
        When an application is routed to technical permitting staff, the Team Leader will
        assign the application to a permit coordinator. The applications are assigned in
        a cycle within the Municipal Permits Team.

        D. Update Paradox (authorization.db)
        When it is decided who will be assigned the application, the Team Leader will
        enter the name of the applicant, the landowner name, the registration number,
        the type or authorization, date application received, administrative complete date,
        the RN and CN numbers, County name, and the region name and number.

        E. PW completes technical review
        The permit writer reviews the application to ensure all of the maps are included
        correctly. Maps should include the following: The county highway map that
        shows the location of the site boundaries, the USGS topo map for all buffer zone
        requirements and to verify that well data is provided for any well located in or
        adjacent to the application area, the FEMA map to see if the application area is in
        a flood plain or flood way, and the NRCS soils map to verify the soil types
        underlying the application area. A soil description that indicates any flooding
        classification, the soil pH, the depth to bedrock, the depth to groundwater, the
        permeability and the slope. Make note of any restrictive soil characteristics like
        apparent or perched water tables. Make sure that the sludge is being evenly
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        distributed on the soil or incorporated into the soil. Check the frequency of
        application. Determine that septage will not be applied during periods when soil
        is flooded or have apparent or perched water tables. Make sure that the
        appropriate number of soil samples was taken and that each soil is represented
        evenly. Check the soil analysis report to verify that the samples taken from the
        0-6" zone were analyzed for the10 heavy metals and that samples taken from the
        0-6" and the 6-24" zones were analyzed for nutrients. Calculate the septage
        application rate under Appendix A of the application to verify that it is correct.
        Verify that the applicant acknowledges the Pathogen and Vector Attraction
        Reduction requirements are met.

        F. Domestic Septage Sludge Registration
        Is the application for a domestic sludge registration?

        G. Site Assessment required
        If the registration application is new or a major amendment to add acreage to the
        land use area, a site assessment is requested to the region office of which the
        site is located.

        H. Site Assessment request submitted to the regional office
        Generally, a Site Assessment is requested for all new and major amendments.
        The Municipal Permits Team permit writer determines if a site assessment is
        needed for a renewal. The permit writer drafts and submits a memo that lists the
        main points of the application to the regional office liaison via email. The regional
        office liaison forwards the memo to the appropriate region staff member(s)
        responsible for assigning or conducting the site assessment. Also, the permit
        writer will send a copy of the application to the region office if needed.

        I. Region completes site assessment and submits report
        The region office staff is given a month to conduct the site assessment. The site
        assessment, which is signed off for approval by the Regional Director, is sent via
        interoffice mail to the appropriate permit writer for review.

        J. PW receives & reviews site assessment
        The permit writer reviews the site assessment report for anything that may not be
        included in the application. For the example, there may be wells located within
        the application area that are not indicated on the USGS Topographic map that
        would need to be buffered. Any necessary adjustments or changes will be
        addressed to the applicant and included when the registration is drafted.

        K. Update Paradox (Sludge_Pending.fsl)
        Paradox (Sludge_Pending.fsl) is updated with the site assessment info.

        L. Ground Water Review Needed
        Is a Ground Water Assessment needed?

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        M. Route for ground water review
        Generally, a groundwater review is requested for all new and major
        amendments. The Municipal Permits Team of the Wastewater Permitting Section
        determines if a groundwater review is needed for renewals. The registration
        application is sent to the Water Quality Assessment Team with a cover memo
        requesting a ground water review.




        N. WQA No Discharge Process
        WQA No Discharge Process

        O. Application technically complete
        After application is ready to be routed to the Water Quality Assessments Team
        for a groundwater and soils review, the Permit Writer assesses all the information
        received to determine if the application is technically complete.

        P. Call or send NOD letter to customer
        The first time the Technical Reviewer identifies deficiencies in the application, a
        letter is prepared identifying the deficiencies. The letter will be sent by certified
        mail to the applicant with the appropriate TCEQ region office receiving a copy. If
        no response is received or the complete response is not received by the due
        date given in the letter, the Technical Reviewer will call the applicant or send an
        overdue letter to find out the status of the response and gives a maximum 1
        month extension. Letters are peer reviewed by the Team Leader and the date of
        the letter is entered into Paradox. If a complete response is not received by the
        due date given in the overdue letter, the Team Leader will contact the Section
        Manager to discuss the next appropriate action. The application may be returned
        to the applicant or the applicant may be requested to withdraw the application
        and resubmit a new one if there is an excessive amount of deficiencies. If the
        determination is to return the application, the permit writer will draft a return letter,
        which would be peer reviewed by the Team Leader and mailed to the applicant.
        If the determination is to request that the applicant withdraw the application, the
        applicant will submit a letter requesting to have the application withdrawn and the
        reasons for it. After the letter is received by the permit writer, a letter will be
        drafted by the team leader that acknowledges the withdrawal and is mailed to the
        applicant. The date of that letter is the official withdrawal date of that application
        and Paradox is updated.

        Q. Update Paradox (Sludge_Pending.fsl)
        Update paradox database (Sludge_Pending.fsl) with date that NOD letter is sent
        to the applicant.


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        R. Response received
        The permit writer will review each response that is submitted. If the response is
        incomplete, the permit writer will contact the applicant or their representative to
        inform them of the remaining deficiencies and deadlines.

        S. Update Paradox (Sludge_Pending.fsl)
        Update paradox database (Sludge_Pending.fsl) with date that response is
        received.

        T. Produce Registration Packet Review
        If the application meets all of the requirements the permit writer drafts the
        registration package which consists of an approval letter and the draft registration
        to be signed by the Section Manger, the technical summary (signed and dated by
        the permit writer) and the compliance history for the site.

        U. Submit draft registration to applicant for comments
        Registration documents are sent to the applicant.

        V. Comments received
        Were comments received from the applicant?

        W. Subject to public notice?
        If the application is for a new, re-issuance or major amendment, it is subject to
        notice. If the application is for a renewal or minor amendment, then a notice is
        not necessary. The notice, which is also mailed to the adjacent landowners of
        the site, along with a copy of the application, are posted for public viewing.

        X. Public comments received?
        Adjacent landowners are given 30 days from the date of the notice to comment
        on the application. The comment letters are submitted to the CCO and are
        entered into CID by the Notice Team.

        Y. PW updates Paradox (Sludge_Pending.fsl & CCO udates CID)
        Permit writer updates paradox (Sludge_Pending.fsl) and CCO updated CID.

        Z. Public meeting requested
        Public meetings are only granted for significant interest. If public meeting is
        granted by Legal, OPA works with permitting staff and Legal to set the public
        meeting date.

        AA. Request to ED for approval
        Request to ERD for Approval

        BB. Meeting Approved
        Is the Meeting Approved?

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        CC. PW updates Paradox (authorization.db) & CCO updates CID
        CCO indicates that a public meeting request has been received and enters the
        necessary information in CID. The permit writer indicates in Paradox that a
        public meeting has been requested.

        DD. Public Meeting Process
        Public Meeting Process

        EE. Permit Writer Draft RTC
        Permit Writer Drafts response to comments. The permit writer drafts RTC based
        on formal comments received during the 30 day comment period and the public
        meeting (if public meeting was held).

        FF. Sent RTC for Legal review
        Permit writer send the RTC documents to the legal staff for review.

        GG. Legal files RTC with CCO and notifies Permit Writer
        Legal reviews RTC and files RTC with CCO. Legal staff finalizes the RTC and
        coordinates comments from OPA. Legal staff then files the RTC with OCC. The
        permit writer enters data into Paradox (authorization.db) for the date the RTC
        was sent to Legal and the date Legal submits the RTC to CCO. Legal staff also
        emails the completed RTC to the permit writer. When the RTC is filed with CCO
        by Legal staff, the registration is set on ED Agenda for issuance.

        HH. PW files draft registration with CCO
        For new, re-issuance and major amendments, the permit writer submits the file,
        along with the approval letter, draft registration, technical summary, compliance
        history and a memo to the Agenda Team requesting that the registration be
        posted on ED Agenda for signature. This is done by the permit writer walking the
        file down to CCO and submitting the file in person to CCO. Agenda Team staff
        emails the permit writer the ED Agenda posting date (usually the same day the
        file is brought down to CCO).

        II. PW updates Paradox (authorization.db) & CCO updates CID
        The permit writer updates Paradox and CCO updates CID by entering in the ED
        Agenda posting date.

        JJ. CCO schedules for ED approval
        CCO sends the registration package consisting of the approval letter, the draft
        registration, compliance history and the ED memo to Customer Information &
        Assistance Team.

        KK. ED-Sub Final Action
        ED-Sub Final Action process

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        LL. Route draft registration packet Section Manager Signature
        The Section Manager reviews the registration package. When the registration is
        ready to issue, the Section Manager signs the draft registration, the approval
        letter and also signs and dates the routing sheet and routes the package to
        Customer Information & Assistance Team. Customer Information & Assistance
        Team contacts the permit writer with the date the Section Manager signed the
        registration for issuance. Customer Information & Assistance Team sends the
        registration package to the CCO Agenda Team.

        MM. Revisions needed
        Are Revisions needed?

        NN. CIA Team staff prepares CCO filing memo & packet
        Customer Information & Assistance Team routes the registration package to the
        Team Leader. The Team Leader then routes the registration packet to the permit
        writer. The permit writer reviews/changes for possible grammatical errors or
        changes to the registration. The permit writer also adds an ED Sub memo and
        returns to Team Leader. The Team Leader initials the ED Sub memo and routes
        the registration package to the

        OO. CIA Team staff notifies permit writer of issuance
        CIA team staff notifies permit writer of issuance.

        PP. PW updates Paradox (Sludge_Pending.fsl and Historical-sludge.fsl)
        After the permit writer receives the email from Customer Information &
        Assistance Team, the permit writer enters the date of Section Manager=s
        signature into Paradox and changes the status of the application from pending to
        approved. The date of the Section Manager=s signature constitutes as the
        official issue date.

        QQ. Final registration packet filed with CCO
        Customer Information & Assistance Team routes the registration packet to the
        Final Docs Team of CCO.

        RR. CCO Process
        CCO will stamp date the registration and mails the registration package along
        with the Motion to Overturn letter to the applicant and the TCEQ Region office.
        Also, CCO sends a copy the issued registration to the permit writer. The
        registration is issued and mailed to the applicant and all of the adjacent
        landowners indicated on the mailing list. Also, an additional letter is mailed that
        gives instructions on requesting a Motion to Overturn (MTO) the registration. A
        request to MTO the registration occurs when a protestant feels their comments
        have not been properly addressed in the RTC or does not feel the provisions in
        the registration are not stringent enough for the land application site. Anyone
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        who feels that the registration should be overturned has twenty three days to
        submit the request to the CCO.

        SS. PW & regional staff receive copy of registration
        Permit Writer and the regional staff receives a copy of the issued registration via
        interoffice mail

        TT. MTO Filed within 23 days
        Is a Motion to Overturn submitted?

        UU. Motion to Overturn Process
        If no MTO requests are submitted to the CCO within the twenty three day time
        frame, the registration remains active for five years. If MTO requests are
        submitted within the time frame, the issued registration is scheduled at agenda
        for Commission consideration of the motion to overturn.

        VV. Update Paradox (Historical-sludge.fsl)
        The permit writer enters the motion to overturn request due date in paradox

        WW. Denied
        Is the MTO denied? The commission makes the decision on whether the motion
        to overturn is granted. If the motion is granted, the commission may remand the
        permit application back to the ED with instructions for further review, etc.

        XX. Update Paradox (Historical-sludge.fsl)
        The permit writer enters appropriate comments in paradox pertaining to the
        registration if it is remanded back to ED


    1.2.3 Sludge Complete Administrative Review
        The Water Quality Applications Team is responsible for receiving applications for domestic
        septage sludge registrations. The most common path for new and major amendment
        applications is A-V. The most common path for renewal applications is A-P, Q-V with the loop K-
        M used no more than two times. The few applications that are administratively complete when
        they are received follow A-J, O-U or if they are renewals, A-J, Q, T, P-Q, T-U. If an application is
        received to replace another application, the process is A, H, C-V or A, H, D-O, P, Q-V. A request
        to withdraw an application and not replace it with another can happen at any time in the process.

        A. Is another application pending?
        When an application is pending on an active registration, the Applications Coordinator contacts
        the applicant or their representative to determine how they want to proceed. The options are to
        place the newest application on hold until the other application is processed or to withdraw the
        original application and replace it with the newest application (see Step H).

        B. Request file from Central Records
        As applications are received, the Applications Coordinator determines where the file is located.
        Approximately 98% of the time, the file is in Central Records. Files are requested from Central
        Records through the “Central Records File Request Form” online interface. A daily log of files
        requested from Central Records is maintained in Word.
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        C. Receive files from Central Records
        At least three days a week, Water Quality Applications Team staff receives files from Central
        Records.

        D. Enter data into Paradox (sludgeap.db)
        In Paradox, sludgeap.db, the Applications Coordinator will create a record and enter the
        applicant’s name, registration number, type of registration, type of application, and county name.

        E. Send copy of application to region and technical staff
        The Applications Coordinator will drop a copy of the application off at the designated box for the
        Land Application Team and route a copy of the application to the appropriate region office.

        F. Team Leader assigns application to reviewer.
        A report is generated from Paradox. All requests received that have not been assigned will be
        assigned. The report with the assignments identified is distributed to staff.

        G. Log staff assignment into Paradox (sludgeap.db)
        The Application Reviewer assigned to process the application enters their name in Paradox,
        sludgeap.db.

        H. Application Withdrawal
        If the application is to be withdrawn, then the application withdrawal procedure is followed : When
        a request to withdraw an application is received, the Applications Reviewer or technical staff will
        return the file with the request to withdraw the application. If a new application was received
        requesting to replace an existing application, the Applications Coordinator retrieves the file from
        the staff member working on the original application. The Applications Coordinator will enter the
        date the application is withdrawn and, if replaced, comments will be added to reflect that the
        application was replaced in sludgeap.db and historicalize the record. If there is no application to
        replace the withdrawn application, the file is returned to Central Records and administrative
        review is ended.

        I. Reviewer receives and review the application
        The Application Reviewer uses a checklist to ensure the application fulfills the requirements.
        Among the items reviewed are the following: check for outstanding fees, ensure the appropriate
        application fee was submitted, ensure the signature is an original, ensure the correct individual
        signed the application, confirmation of the address with the United States Postal Service,
        confirmation of the name and the charter number with the Texas Secretary of State and the tax
        identification number with the State Comptroller of Texas, verify/request the customer number
        and regulated entity number with Central Registry and submit updates as needed, verify the
        owners of the land are provided, review trust and/or partnership agreements, and verify site
        acreage information. The Application Reviewer will also ensure all of the required information is
        drawn and identified on the appropriate USGS topographic maps, highway map, FEMA map, and
        soils map. For new and major amendments, landowner maps are reviewed to ensure all
        applicable landowners have been clearly identified and the landowners’ names and mailing
        addresses are provided.

        J. Deficiencies
        Staff will review the application to determine whether the application is administratively complete.

        K. Call or Send out NOD
        The first time the Application Reviewer identifies deficiencies in the application a letter is prepared
        identifying the deficiencies. The letter will be sent by certified mail to the applicant with TCEQ
        region receiving a copy. If no response is received or the complete response is not received
        within two weeks of the due date given in the letter, the Application Reviewer will give the file to
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        the Team Leader, who will call the applicant to find out the status of the response and give a 2-
        week extension. If no response is received or the complete response is not received by the due
        date given in the phone call, the Team Leader will give the files and a cover memo to the Section
        Manager. The cover memo gives the name and phone of a representative of the applicant, the
        list of outstanding items, and, if known, the reason for the delay. The Section Manager will call
        the applicant and give a further 1-week extension. If no response or an incomplete response is
        received, the Applications Reviewer will prepare a memo with a letter for the Division Director’s
        signature. The letter gives the applicant an additional 14 days to submit a complete response to
        TCEQ. The Team Leader and Section Leader will peer-review the memo and letter before it is
        given to the Division Director. If no response/incomplete response is received, the Applications
        Reviewer will prepare a second memo and letter for the Division Director’s signature, informing
        the applicant that the application was removed from the list of pending applications and the
        application record in all of the databases are updated to reflect the application was withdrawn.

        L. Update Paradox (sludgeap.db)
        The date original NOD letter is mailed is entered into Paradox (sludgeap.db) by the Application
        Reviewer. The Application Reviewer will enter additional letters, faxes, and phone calls made
        into the Paradox table if space is available.

        M. Response received
        The Application Reviewer will review each response that is submitted. If the response is
        incomplete, the Application Reviewer will contact the applicant or their representative to inform
        them of the remaining deficiencies and deadlines.

        N. Update Paradox (sludgeap.db)
        The Application Reviewer enters the date the complete response was received into Paradox,
        sludgeap.db.

        O. Renewal
        Domestic Septage Renewal registrations and Water Treatment Applications do not require a
        NOR package.

        P. Prepare Route sheets for file
           Prepare route sheet and contact sheet for the file.

        Q. Update Paradox (sludgeap.db)
        The Application Reviewer will enter the date the application was declared administratively
        complete in Paradox, sludgeap.db.

        R.Prepare NOR
        The Application Reviewer prepares the NOR package and supporting documentation for new or
        major amendment registration applications. The package consists of a legal notice, the letter to
        the county judge, and a complete copy of the application. The supporting documentation is a
        contact sheet and a routing sheet for the file. The NOR is peer reviewed prior to declaring the
        application administratively complete.


        S. Is Public Notice Required?
         NOR packages are not required for domestic septage renewal and water treatment applications.


        T. File report and NOR packages, if applicable, with CCO
        The report and the NOR packages are filed with CCO for processing and an e-mail with the
        electronic version of the notices is sent.
        A report is generated from Paradox, sludgeap.db, of all applications declared administratively
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        complete the previous week. The report is generated and compared with the NOR packages
        ready to go to CCO to ensure the accuracy of the report. Minor amendment and staff initiated
        minor amendment applications and sludge renewal registrations do not have NORs; however,
        they do appear on the list. The report is e-mailed to Division Directors and Section Managers,
        enforcement, field operations, legal, region, Water Quality Assessment Team, CCO, Water
        Quality Compliance Monitoring Team, Storm Water Pretreatment Team, General Counsel, and
        Land Application Team.

        U. Take file to the Municipal Permits Team
        The file is hand delivered to the Land Application Team as soon as the application is declared
        administratively complete.




1.3 Water Reuse Authorization Application Processes
   (Industrial and Domestic)
    1.3.1 Domestic Water Reuse Authorizations
        The Wastewater Permitting Section is responsible for receiving applications for Domestic Water
        Reuse Authorization. An administrative review (steps B through R) is done on the application to
        see if it contains the requirements listed in 30 TAC Chapter 210.4 (“Use of Reclaimed Water”).
        The application process then continues with a technical review in step S.

        A. Reuse Authorization Administrative Review (Industrial and Domestic)
        The process begins with the Administrative Review process. After it is administratively complete,
        the file containing application is take to Louis Herrin, III (program owner).

        B. Complete Technical Review
        The application is then reviewed to see if it contains the requirements in 30 TAC Chapter 210
        (“Use of Reclaimed Water”).

        C. Technically complete?
        If yes, go to step I. If the application is not technically complete, go to step D.

        D. Call or send a letter to applicant requesting information
        The reviewer will contact the applicant to inform him of information needed to complete the
        requirements of 30 TAC Chapter 210 (“Use of Reclaimed Water”). The contact is made by first
        by telephone call and then by e-mail or letter.

        E. Information received?
        If the necessary information is received, go to step B. If not, go to step G.


        F. Remove from the Pending List
        The application is removed from the pending application list and it is noted in the H20Reuse.db
        database.

        G. The reviewer will draft a return or denial letter to the applicant.

        F Technical staff prepares a final determination letter.
        . The reviewer drafts the final authorization for the applicant to review.
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        IThedraft letter is faxed or email to the applicant for comments or approval of the draft. After the
        draft authorization is reviewed and approved by both the applicant and the commission, the draft
        goes toJ. Comments goes to E.

        J. Final Entry in H20Reuse.db
        In Paradox, H20Reuse.db, the administrative staff will complete the database information. The
        information includes the date approved or denied, pond liner information, and all the authorized
        uses of the effluent.

        K. Administrative Support Staff gives to Section Manager for signature
        The Administrative Support Staff forward the Authorization File and Final Draft Authorization to
        the Wastewater Permitting Section Manager for his review and approval. The Section Manager
        signs the Authorization.

        L. Is it approved or denied?
        If approved, go to Q. If denied, go to M.

        M. Make copy of the denial letter and send to Central Records
        The Administrative Support Staff copies the final letter and Authorization and updates the Central
        Records file.

        N. Administrative Support Staff send final letter to the customer and copies to the region
        The Administrative Support Staff mail copies of the final letter to the applicant and to the regional
        office of the commission.

        O. Administrative Support Staff send final letter and file to the ARP Team.

        P. Update H2Oreuse.db
        The Water Application Team enter the information from the denial of the authorization to the
        H2Oreuse.db.


        Q. Make a copy of Authorization letter and send to Central Records & Region
        The Administrative Support Staff copies the Authorization and sends to the region and updates
        the Central Records file.


        R. Administrative Support Staff send final letter and copies of the authorization to the customer,
        to region and ARP Team
        The Administrative Support Staff mail copies of the final letter and authorization to the applicant
        and to the regional office of the commission and forward a copy to the ARP Team.

        SUpdateH2Oreuse.db
        The ARP Team update the status in the H2Oreuse.db

        T. Active or suspended?
        Is the reuse system operational? If yes, go to U. If not, go to V.

        U. Activation letter received
        If the reuse system is not operational, then the producer does not have to self-report and the
        authorization is suspended until the commission receives a letter from the producer. Hold
        authorization is on hold until this letter is received and then go to S.

        V. . Enter/Update reuse requirements in TRACS
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        The ARP Team enter the information from the Authorization into TRACS. This information
        includes: reporting requirements and effluent data.


        W. Notify enforcement for MERS (Monthly effluent reports)
        Enforcement is notified so self-reporting form is sent to the producer.

        X. Create file in WQ Application Team to hold authorization only

    1.3.2 Industrial Water Reuse Authorizations
        The Applications Review and Processing (ARP) Team and the Industrial Permits Team are
        responsible for the review of industrial water reuse authorizations. The ARP Team is responsible
        for receiving applications for industrial water reuse, administrative review, tracking, and final
        issuance. The Industrial Permits Team is responsible for the technical review of industrial water
        reuse authorizations. The most common path for authorization applications is items A-E and G-L.
        A request to withdraw an application can happen at any time in the process.

        A. Reuse Authorization Administrative Review (Industrial and Domestic)
        The ARP Team receives and completes the administrative review of applications for industrial
        water reuse authorizations. When an application is declared to be administratively complete it is
        then forwarded to the Industrial Permits Team for step B.

        B. Industrial Permits Team complete technical review
        The permit writer reviews technical portions of the application for completeness and accuracy.
        The technical portions of the application include: producer and users facility location, waste
        streams, end uses, primary disposal methods, impoundments, analytical data, and compliance
        history. The permit writer will review the application to make sure the quality and type of wastes
        proposed for use, the end use, and primary disposal method are appropriate and may be
        authorized under 30 TAC Chapter 210 (“Use of Reclaimed Water”). In addition to the
        requirements regarding the quality of wastes found in 30 TAC Chapter 210, Subchapter E, all
        wastes must also meet the requirements for AInland Waters@ found at 30 TAC Chapter 319
        (“General Regulations Incorporated into Permits”). The permit writer may require monitoring
        and/or limits on the quality of wastes authorized for reuse as Aadditional controls@.

        C. Technically complete?
        The application is technically complete when the permit writer determines that the technical
        portions of the application are complete and accurate. If the application is technically complete,
        continue with step G. If the application is not technically complete, continue with step D.

        D. Call or send letter to customer requesting information
        If there are administrative deficiencies in the application, then the permit writer will either call the
        applicant or will send out a letter requesting the information needed to correct the deficiencies.
        The letter or phone call will establish a time frame in which the applicant must correct the
        deficiencies.

        E. Information received?
        If the applicant responds to letter/call regarding deficiencies (NOD), the permit writer determines
        whether the application and additional information contains all necessary technical information. If
        it is adequate and meets the requirements of the application, the applicant=s response is
        documented in the file. If the information provided is not sufficient, continue with step F. If the
        information provided is sufficient, continue with step G.


        F. Return to customer
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        If the applicant fails to submit the relevant information, then staff will consult with management to
        determine if the application will remain open or if the application will be denied and returned to the
        customer. If the application will remain open then proceed back to step D. If application will be
        denied and returned to the customer then proceed to step W of the Administrative Review
        Process (210 Authorizations).

        G. Industrial Permits staff prepares final determination documents (denial or authorization)
        When the Industrial Team has completed its technical review, the permit writer will draft an
        appropriate letter that either (1) approves the activity, (2) denies the activity, or (3) approves the
        activity with conditions. This letter will be signed by the Section Manager.

        If the Industrial Team recommends approval of the authorization, then the Industrial Permits staff
        will create a certificate for the signature of the Executive Director. This certificate will contain the
        technical requirements of the authorization.

        H. Administrative Support routes to Industrial Team staff and Section Manager for signature
        The Industrial Permits staff will develop a draft letter and approval certificate (if the authorization
        was approved), and will forward these documents to the Industrial Team Leader for final review
        before the documents are prepared for mailout. When the draft is completed, the Industrial
        Permits staff will send the draft letter (and certificate, if applicable) by email to the Water Quality
        Division=s Customer Information & Assistance (CIA) Team. The CIA Team will process the final
        documents for signature, and will route the documents to the Industrial Permits Team Leader, the
        Industrial Permits staff, and the Section Manager, for final signatures. The Section Manager will
        sign the approval/denial letter. The CIA team will place the Executive Director’s signature on the
        final approved authorization.

        I. Administrative Support mails final determination documents to customer and region
        The CIA Team will mail the final, signed documents to the applicant and to the appropriate TCEQ
        region, and will forward a copy of the signed documents to the Industrial Permits staff. The
        Industrial Permits staff will then place a copy of the final letter (and certificate, if applicable) in the
        file.

        J. File and final determination documents are given to Application Review and Processing Team
        (ARP)

        K. Update CR- ARTS
        A member of the Storm water staff completes data entry of the application in ARTS. The date
        that the letter is mailed out is the ADate Regulated.@

        L. Send file to Central Records
        The Storm water staff makes sure that the file is properly coded and in the correct folder, and
        routes the folder to Central Records. The appropriate filing code is WGP / 2E00000## / NO.


    1.3.3 Reuse Admin Review
        The Applications Review and Processing Team is responsible for receiving applications for
        industrial and domestic reclaimed water authorizations. Most of the applications received are for
        new and amendments/changes. We do receive staff initiated minor amendments to update the
        authorizations. A request to withdraw an application and not replace it with another can happen
        at any time in the process. So that the databases can be properly closed out, the staff must
        return the file and a letter responding to the request to withdraw the application to the Application
        Coordinator with the Applications Review and Processing Team.

        A. Receive application
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        Applications are submitted to the Applications Coordinator.

        B. Domestic or Industrial Reuse application?
        The Applications Coordinator will determine whether the application is for a domestic or industrial
        reuse authorization. If it is domestic, continue with step C. If it is industrial, continue with step I.

        C. Is permit status active in TRACS?
        Using the permit number given on the application, the Applications Coordinator determines
        whether the permit is active. If the permit is active, continue with step E. If the permit is not
        active, continue with step D.

        D. Can new permit number be found?
        If the domestic permit number given is not an active permit in TRACS, the Applications
        Coordinator will try to locate a new permit number for that site by searching Central Registry
        and/or contacting the applicant or their representative. If the new permit number can be found,
        continue with step E. If the new permit number cannot be found, continue with step H (Withdraw
        Application Process).

        E. Retrieve files from file cabinet or Central Records
        The domestic 210 files are kept in a file cabinet in the Water Quality Division.

        F. Enter data into transfer-endorsement.db (Paradox)
        The Applications Coordinator enters the applicant’s name, authorization number, date received in
        Paradox, and that it is a domestic. The Paradox table is Transfers-Endorsements.db.

        G. Place application on shelf for pick up
        The Applications Coordinator places the application on the shelf for the reviewer to pick up.
        Continue with step L.

        H. Withdraw Application process
        When a request to withdraw an application is received, the Applications Reviewer or technical
        staff will return the file with the request to withdraw the application. The Applications
        Coordinator will enter the date the application is withdrawn and, if replaced, comments will be
        added to reflect that the application was replaced in Paradox. The Applications Reviewer will
        close it out of Central Registry-ARTS and the H2o Reuse.db. If there is no application to replace
        the withdrawn application, the file is returned to Central Records or filed in the file cabinet.

        I. Assign an industrial authorization number
        If the application is industrial, assign an industrial permit number.

        J. Route a copy to Industrial permit writer
        Route a copy to Industrial permit writer for pre-review.

        K. Request files from Central Records, if existing industrial 210
        As applications are received, the Applications Coordinator determines where the file is located. If
        the application is not for a new 210 industrial authorization, the procedure for checking out files is
        followed. The industrial 210 files are requested and delivered from Central Records to the
        Applications Coordinator.

        L. Generate assignment report from Paradox and assign applications to reviewers
        Twice a week a report is generated from Paradox. All requests not yet assigned will be assigned.
        The report with the assignments identified is distributed to staff.

        M. Log staff assignments into Transfers-Endorsements.db (Paradox)
        The Application Reviewer assigned to process the application enters their name in Paradox,
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        Transfer-Endorsements.db.

        N. Review application
        The Application Reviewer uses a checklist to ensure the application fulfills the requirements.
        Among the items reviewed are the following: check for outstanding fees, ensure the appropriate
        application fee was submitted, ensure the signature is an original, ensure the correct individual
        signed the application, confirmation of the permit and billing address with the United States Postal
        Service, confirmation of the name and the charter number with the Texas Secretary of State and
        the tax identification number with the State Comptroller of Texas, verify/request the customer
        number and regulated entity number with Permitting & Remediation Support and submit updates
        as needed.

        O. Domestic enter in H2O Reuse.db and Industrial enter in CR-ARTS
        The appropriate data regarding the authorization holder and the application is entered into
        Paradox (H2O Reuse.db) for domestic reclaimed water or Central Registry-ARTS for industrial
        reclaimed water. The information entered includes the authorization holder name, address,
        telephone number, authorization number, date received, location description, and the uses
        requested.

        P. Deficiencies noted?
        Staff will review the application to determine whether the application is administratively complete.
        If deficiencies are found, send out an NOD in step Q. If no deficiencies noted, continue with step
        T.

         Q. Send out NOD
        The first time the Application Reviewer identifies deficiencies in the application a letter is prepared
        identifying the deficiencies. The letter and, if supplied, the pre-tech comments will be sent by
        certified mail to the applicant with TCEQ region receiving a copy. If no response is received or
        the complete response is not received within two weeks of the due date given in the letter, the
        Application Reviewer will give the files to the Team Leader, who will call the applicant to find out
        the status of the response and give a 1-week extension. If no response or an incomplete
        response is received, the Applications Reviewer will prepare a memo with a letter for the Division
        Director’s signature. The letter gives the applicant an additional 14 days to submit a complete
        response to TCEQ. The Team Leader and Section Leader will peer-review the memo and letter
        before it is given to the Division Director. If no response/incomplete response is received, the
        Applications Reviewer will prepare a second memo and letter for the Division Director’s signature.
        The memo will recommend that the application be removed from the list of pending applications.
        If the Division Director agrees, the letter removing the application from the list of pending
        applications is signed (by the Division Director) and is mailed. If the application is for a domestic
        reuse authorization, the file is placed in the file cabinet in the Water Quality Division. If the
        application is for an industrial reuse authorization, the file is sent to Central Records.

        R. Update Paradox (H2O Reuse.db) or Central Registry
        The date original NOD letter is mailed is entered into Paradox (H2O Reuse.db) or Central
        Registry-ARTS by the Application Reviewer and Paradox (Transfer-Endorsements.db). The
        Application Reviewer will enter additional letters, faxes, and phone calls made into the Paradox
        table or Central Registry-ARTS if space is available.

        S. Sufficient reply received?
        The Application Reviewer will review each response that is submitted. If the response is
        incomplete, the Application Reviewer or Team Leader (if the response due date has been
        reached) will contact the applicant or their representative to inform them of the remaining
        deficiencies and deadlines.

        T. Update Paradox and/or Central Registry-ARTS
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        If the response is complete, the reviewer will close out the application record in H20.Reuse.db,
        Transfer-endorsements.db, and ARTS.

        U. Prepare route sheets for files
        The Application Reviewer prepares a contact sheet.

        V. Take file containing application to the appropriate team
        If the application is for a domestic 210 authorization, the file goes to Louis C. Herrin, III (program
        owner). If the application is for an industrial 210 authorization, the file goes to Tres Koenings
        (program owner).

        W. Update CR-ARTS or h2Oreuse.db Paradox
        The application records in all of the databases are updated to reflect that the application is now in
        technical review.




1.4     Plans and Specifications Review Process
        The Wastewater Permitting Section is responsible for receiving applications for
        Domestic Wastewater Treatment System Plans and Specifications (P/S) Review
        and Approval.

        A. Receive Plans and Specifications application

        B. Assign the application a log number and enter data into louis.db (paradox)

        C. Check for deficiencies in the application.
        If there are deficiencies (in the letter, plans and specs, or technical summary), go to D.
        Otherwise, if there are no deficiencies, continue with I.

        D. Send applicant a fax or email showing what needs to be fixed – “10 working days to
        respond” Send the applicant a fax or email with a list of what needs to be fixed.
        Engineer will have 10 working days to respond.

        E. Is there a response?
        If there is no response, continue with F. If there is a response, and the information is
        complete continue with I.

        F. Send second notice
        If there is still no response,or the information is still not complete send a second notice
        with an additional 10 days to respond.

        G. Is there a response?
        If information is received and complete, go to I. If not, go to H.

        H. Return the project
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        If the applicant still has not responded, or is not complete the project will be returned.

        I. Route to engineer
        Route to the engineer for initial technical review.

        J. Full Review determined by engineer
        The engineer will review the application and will decide to either review or not to
        review the project. If the engineer decide not to review he sign off on the project and
        highlight the information for the database, go to K. For Full Review go to{ A.}

        K. Enter what was highlighted into the Louis.db
        Enter what was highlighted by the engineer into the Louis.db (paradox).

        L. Generate the waiver letter

        M. Route letter to Division Director
        Route letters to Division Director for approval

        N. Give letter to the engineer for signature

        O. Mail the letter to the applicant and to region and make a .pdf copy and save in the
        317 lette folder under the current year and code and send a copy to Central Records

        P. Update final action and historicalize the project in Paradox

        Q. Complete Engineer Review
        The engineer staff reviewed the P/S project using the existing wastewater discharge
        permit for the project and the requirements of 30 TAC Chapter 217 (“Design Criteria for
        Domestic Wastewater Systems”).

        R. Technically complete?
        Does the P/S project meet the requirements of the Wastewater Permit and 30 TAC
        Chapter 217? If yes, go to W. If not, go to S.

        S. Call or send letter to applicant (engineer) to discuss or request information
        The staff engineer will contact the project engineer to get more information on the
        project so they can finish their review. The contact is made first by telephone call and
        then by e-mail or letter.

        T. Updates the project in the Louis.db (Paradox)
        The staff engineer will update in the information in the Louis.db (Paradox)

        U. Response received?
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        Is the response received and complete? If yes, go to V. If not, go to {B.}

        V. Review response
        The information is reviewed and goes back to R.

        W. Engineer prepares final determination letter
        The staff engineer will draft a letter to the project engineer outlining any additional
        requirements for the approval. The letter is forwarded to the Administrative Support
        staff to put in final form go to {C}.

        X. Updates the project in the Louis.db (Paradox)
        The staff engineer will update in the information in the Louis.db (Paradox)


1.5     Permit By Rule

    1.5.1 Permit by Registration Process

        The Water Quality Applications Team is responsible for reviewing applications for Permit-By-
        Rule. Very few of these types of applications are received. At this time, we have not received a
        satellite plant application. The most common path for the Livestock Trailer Washout is A-J.

        A. Receive application
        The permit-by-rule applications are initially received by the Applications Review and Processing
        Team which initiates the permit application.

        B. Enter in transfer-endorement.db (paradox)
        Application Coordinator will assign the proposed authorization number and entering the
        application into Paradox (transfer-endorsement.db).

        C. Assign to Administrative Reviewer
        The Team Leader may run a report to assign a reviewer or may hand deliver the application to a
        reviewer.

        D. Initial entry in ARTS
        The Reviewer logs the application into ARTS.

        E. Is it a Satellite Plant?
        The Reviewer determines whether application is for a satellite plant. If the application is for a
        satellite plant, there will be three concurrent reviews: Domestic Reuse, Plans and Specifications,
        and Satellite Plant.

        F. Administrative Review (Permit-By-Rule) Process
        The Reviewer follows the administrative review process for permit-by-rule.

        G. Domestic Reuse Process
        The Reviewer will follow the domestic reuse process outlined. The reuse authorization will need
        to be issued at the same time as the authorization for the satellite plant and the plans and
        specifications approval letter.


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        H. Plans and Specifications Process
        The Reviewer will follow the plans and specifications process outlined. The approval letter for the
        plans and specifications must be issued at the same time as the reuse authorization and the
        authorization for the satellite plant.

        I. Assign to permit writer
        The application is given either to a technical reviewer or the team leader for the appropriate
        technical team to assign.

        J. Update status in ARTS
        The permit writer will update the status in ARTS.

        K. Permit Writer reviews application for completeness
        The permit writer will review the application for completeness.

        L. Are other Reviews Needed?
        The permit writer will determine whether other reviews are needed.

        M. Route for ground water review
        The file with the application is routed to the ground water staff for review.

        N. Update tracking status in ARTS
        The ARTS database is updated to show that the permit file is being sent to the ground water staff
        for review. The WQ Standards & Assessment staff enters receipt of the permit file for review in
        the Paradox database named groundwater.db.

        O. WQA No Discharge Process
        The ground water staff review the technical information completing the ground water review
        process which is defined in the WQ No Discharge Process


        P. Return to permit writer with review results
        The permit file with a ground water review results memo is sent back to the permit writer for
        further review.

        Q. Is the application technically complete?
        The permit writer will determine if the application is technically complete.

        R. Call or prepare and send NOD letter
        A deficiency letter will be mailed or a phone call will be made to the applicant requesting the
        information needed for technical completeness.

        S. Update tracking status in ARTS
        The ARTS database is updated to show that a call or letter was sent for technical deficiencies.

        T. Is response received?
        If response is received, you will go to V. If response is not received, you will go to X.

        U. Review technical response
        The technical staff reviews the response to determine if the information is complete.

        V. Is response complete?
        If response is complete, you will go to Z. If response is not complete, you will go to X.

        W. Prepare and send coverage technical denial letter
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        Technical staff will prepare and send coverage technical denial letter.

        X. Update tracking status
        Technical staff will update tracking status in ARTs.

        Y. Is it a Satellite Plant?
        Technical staff will determine whether the application is for a satellite plant?

        Z. Prepare the permit-by-rule documents
        Technical staff will prepare authorization and technical summary based on the information
        obtained from the applicant.

        AA. Route for peer or management review

        BB. Updates needed?
        If updates are needed, return to step AA. If updates ate not needed, continue with step DD.

        CC. Send to applicant for review

        DD. Comments received from applicant
        If comments were received from the applicant, go to step CC. If there were no comments, go to
        step FF.

        EE. Send permit file to CIA Team for mailing

        FF. Mail authorization
        CIA Team mails the authorization to the applicant and gives file to ARP Team to update ARTS.

        GG. ARP Team updates ARTS
        The ARP Team updates ARTS.

        HH. Does it Meet Enhanced Buffer Zone Requirements?

        II. Prepare Public Notice
        Technical staff will prepare public notice.

        JJ. Update ARTS

        KK. Send Notice and File to CCO
        Technical staff will send notice and file to CCO for CCO to mail the notice.

        LL. Enter information in CID
        CCO enters the information into CID

        MM. CCO mails public notice to applicant for publishing
        CCO mails the public notice to the application for publishing.

        NN. Enter information in CID
        CCO updates CID to reflect the date the notice was mailed.

        OO. Applicant publishes notice and submits the information
        Applicant publishes the notice and submits the required tear sheets and affidavits.

        PP. CCO reviews the affidavits
        CCO will review the affidavits and tear sheets to ensure the applicant published in the correct
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        county and followed the TCEQ rules and guidelines.

        QQ. Enter information in CID
        CCO will update the information in CID to show the publication dates.

        RR. Were Public Comments Received?
        If public comments were received, proceed with step SS. If public comments were not received,
        proceed with step ZZ.

        SS. Update ARTS
        The ARTS database is updated to show that comments were received.

        TT. Review comment letters received
        The comment letters are routed from CCO to the permit writer and legal for review. The permit
        writer and legal staff completes the review of the comment letters.

        UU. Is this a Satellite Plant?
        If the application is for a satellite plant, the comments must be responded to.

        VV. Prepare Response to Comments
        The permit writer prepares a response to all comments received.

        WW. Mail Response to Comments
        The letter addressing the response to comments is mailed to all individuals who responded to the
        comments.

        XX. Are changes to Technical Summary needed?
        If changes to the technical summary are needed, proceed to step YY. If changes to the technical
        summary are not needed, proceed to step ZZ.

        YY. Prepare final Technical Summary
        The permit writer prepares the final technical summary. The technical summary may require
        further clarification of technical issues.

        ZZ. Approve or deny coverage under Permit-By-Rule
        If coverage under the permit-by rule is approved, proceed to step YY. If the coverage is denied,
        proceed to step AAA.

        AAA. Permit writer prepares denial letter
        The permit writer prepares a denial letter based on incomplete technical information.

        BBB. Route denial letter to Team Leader for review and signature
        The denial letter is routed to the team leader for review and signature

        CCC. Mail Denial letter to applicant
        The denial letter is mailed to the applicant.

        DDD. Update Arts
        The ARTS database is updated to reflect the tracking status for the denial.EEE.   ED-Sub Final
        Action Process
        The permit by rule follows the ED-Sub Final Action Process for approval.
        FFF. Update ARTS to show approval
        CIA Team enters data into ARTS to reflect the approval.

        GGG. Take file to Applications Review and Processing Team
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        CIA Team takes the file to the Applications Review and Processing Team so that they can
        generate various documents.

        HHH. Reviewer prepares certificate, letter, and envelope

        III. Data entry into ARTS and Paradox
        Reviewer enters the information into ARTS and Paradox to close out the application.
        File Permit(s) with CCO
        Reviewer takes file with certificate, letter, and envelope to CCO for mailing.

        JJJ. CCO enters in CID
        The Chief Clerks office enters the record in the CID database to show final mailout of the
        authorization.

        KKK. CCO Final Processing
        The CCO Final Docs Team process the final authorization by mailing it to the parties listed in the
        standard mailing list. A standard mailing list is used and maintained by the CCO for certain
        authorization types.

        LLL. MTO Requested?
        If a Motion to Overturn the final action by the ED is received, proceed with step VVV. If a Motion
        to Overturn is not received, proceed with step UUU.

        MMM. Send permit file to Central Records
        The permit file containing all related application documents and the acknowledgment certificate
        are sent to the agency central file room for filing under the record series for wastewater general
        permits. This ends the process.

        NNN. Motion to Overturn Process
        The issued permit is scheduled at agenda for commission consideration of the motion to overturn.

        OOO. MTO Granted?
        The commission makes the decision on whether the motion to overturn is granted. If the motion
        is granted, the commission may remand the permit application back to the ED with instructions for
        further review, etc. In this case, continue with step XXX. If the motion is not granted, continue
        with step UUU.

        PPP. Permit Overturn Process
        If the commission grants the motion to overturn, the application may be remanded to the program
        area for further review and instructions on issues to be reviewed. This process is the same for an
        individual permit.


    1.5.2 Permit By Rule Admin Review

        The Water Quality Applications Team is responsible for reviewing applications for
        Permit-By-Rule. Very few of these types of applications are received. At this
        time, we have not received a satellite plant application. The most common path
        for the Livestock Trailer Washout is A-J.

        A. Livestock Trailer Washout Application?
        The reviewer determines whether the application is a livestock trailer washout
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        application or if it is an application for a satellite plant.

        B.    Poor Performer?
        The reviewer determines whether the applicant the applicant or site has a poor
        compliance history.

        C.      Review application
        The Reviewer uses a checklist to ensure the application fulfills the requirements.
        Among the items reviewed are the following: check for outstanding fees, ensure
        the appropriate application fee was submitted, ensure the signature is an original,
        ensure the correct individual signed the application, confirmation of the permit
        and billing address with the United States Postal Service, confirmation of the
        name and the charter number with the Texas Secretary of State and the tax
        identification number with the State Comptroller of Texas, verify/request the
        customer number and regulated entity number with Permitting & Remediation
        Support and submit updates as needed, review trust and/or partnership
        agreements, and ensure the notice was published and mailed to the correct
        entities and the documents were submitted.

        D.      Update Paradox and/or CR-ARTS
        The Reviewer will ensure information in Paradox and/or Central Registry-ARTS
        is correct has been entered in accordance with agency data standards. The
        information that is reviewed is the applicant’s name in three places, the permit
        mailing address, the billing address, the facility name, and the facility address.

        E.       Deficiencies noted?
        Staff will review the application to determine whether the application is
        administratively complete.

        F.      Send out NOD
        The first time the Reviewer identifies deficiencies in the application a letter is
        prepared identifying the deficiencies. The letter and, if supplied, the pre-tech
        comments will be sent by certified mail to the applicant with TCEQ region
        receiving a copy. If no response is received or the complete response is not
        received within two weeks of the due date given in the letter, the Reviewer will
        give the files to the Team Leader, who will call the applicant to find out the status
        of the response and give a 1-week extension. If no response or an incomplete
        response is received, the Reviewer will prepare a memo with a letter for the
        Division Director’s signature. The letter gives the applicant an additional 14 days
        to submit a complete response to TCEQ. The Team Leader and Section Leader
        will peer-review the memo and letter before it is given to the Division Director.

        G.    Update CR-ARTS and Paradox
        The date original NOD letter is mailed is entered into CR-ARTS and Paradox by
        the Reviewer. The Reviewer will enter additional letters, faxes, and phone calls
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        made into the Paradox table if space is available.

        H.    Sufficient reply received?
        The Reviewer will review each response that is submitted. If the response is
        incomplete, the Reviewer or Team Leader (if the response due date has been
        reached) will contact the applicant or their representative to inform them of the
        remaining deficiencies and deadlines.

        I.    Update ARTS
        Update date ARTS to reflect administrative completeness.

        J.   Prepare Route Sheets for Files
        The Reviewer will prepare the contact sheet for the file.

        K.      Take File to Appropriate Team
        The Reviewer will take the file to appropriate team. For Satellite Plants, the file
        will be given to the Domestic Team and, for the Livestock Trailer Washout
        Facility, the file will be given to the CAFO Team.

        L.       Return Application?
        The Reviewer will prepare a second memo and letter for the Division Director’s
        signature. The memo will state recommend the application be removed from the
        list of pending.

        M.      Mail Return Letter
        The Reviewer will receive the return letter signed by the Division Director and it
        will be mailed to the applicant and their representatives.

        N.     Update CR-ARTS and/or Paradox
        The Reviewer will update CR-ARTS and Paradox to reflect the application was
        returned and close out the record in Paradox.

        O.   Return Files to Central Records
        The Reviewer will return the file to Central Records.

        P.     Update ARTS
        The Reviewer will update ARTS to show the facility has a poor compliance
        history.

        Q.     Prepare Poor Performer Denial Letter
        The Reviewer prepares a denial letter which will be signed by the Division
        Director.

        R.   Route Letter for Division Director’s Signature
        The Reviewer routes the denial letter to the Division Director for his signature.

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        S.      Signed Letter is Routed to Applications Review and Processing Team to
                be mailed
        The Division Director will give the sign letter to the Reviewer or their Team
        Leader to have the letter mailed. The letter will be mailed to the applicant and
        their representative.

        T     Update Paradox and CR-ARTS
        The Reviewer will update Paradox and CR-ARTS to show the application was
        denied and close out the record in Paradox.

        U    Send File to Central Records
        The Reviewer will send the file to Central Records.

        V.     Domestic Base Permit is Active and Operating?
        The Reviewer will determine whether the applicant has an active individual
        domestic wastewater permit and whether the permit shows the facility is
        operating.

        W.   Update ARTS and Paradox
        The Reviewer will update ARTS and Paradox.

        X.      Route Copy of Plans and Specifications for Pre-Review
        The Reviewer will route the Plans and Specifications application to technical staff
        for review

        Y.   Domestic Reuse Process
        The Reviewer will separate the reuse authorization and follow the Domestic
        Reuse Process.

        Z.    Plans and Specifications are Reviewed for Public Participation
        Determination
        Technical staff will review the plans and specifications to determine whether the
        enhanced buffer zone requirements are met.

        AA. Public Participation Determination is Documented and Given to Reviewer
        Technical staff will document whether or not the plans and specifications meet
        the enhanced buffer zone requirements.

        BB. Plans and Specifications Review Process
        Technical staff will continue to review the plans and specifications by following
        the Plans and Specifications Review Process.

        CC. Pending Domestic Base Permit Application?
        The Reviewer will determine whether there is a pending application for a new

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        individual domestic wastewater permit.

        DD. Update ARTS and Paradox
        The Reviewer will update ARTS and Paradox to show the application is on hold
        and why.

        EE. On Hold Until Domestic Base Permit is Issued and Operating.
        Once the individual domestic wastewater permit is issued and operating, the
        review process will begin anew.

        FF.   Update ARTS and Paradox
        The Reviewer will update ARTS and Paradox to show the application will be
        denied.

        GG. Application Denied.
        The Reviewer will follow the Application Denied process.




1.6     Pretreatment Program

    1.6.1 Pretreatment Program New Development/Modification Process
        This process includes all POTWs that are required to develop a new pretreatment program or
        modifications to TPDES approved pretreatment programs according to 40 CFR §403.18.

        For new developing pretreatment programs, the process references activities, such as Activity
        Nos. 1through 7. For modifications to existing approved pretreatment programs, the process
        references modifications (either substantial or nonsubstantial). Substantial modifications and new
        developing pretreatment programs are approved via the TPDES permit, thus these require a
        TPDES permit action after they are declared to be technically complete. Nonsubstantial
        modifications once they are declared to be technically complete, are accepted and no further
        TPDES permit action is required.


        A. Activity 1 or Modification
        If the process is for a proposed pretreatment program, then activity 1 is required. If it is a
        modification to an approved pretreatment program, then modification is followed.

        B. Receive IWS
        The TPDES permit is issued with the Option 2 requirement for the permittee to submit an
        industrial waste survey (IWS) within 60 days of the effective date of the permit, known as Activity
        No. 1. The IWS shall consist of a qualitative analysis of pollutants being contributed by all
        industrial sources in the publicly owned treatment works’ entire municipal system (including all
        treatment plants).

        C. Assign to PT Coordinator
        The delegated senior pretreatment staff assigns the Activity 1 (IWS) package to the pretreatment
        coordinator that conducted the review of the permit application and determined that the permittee
        would be required to potentially develop a pretreatment program.

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        D. Enter PT record in Excel spreadsheet
        The delegated senior pretreatment staff enters the IWS compliance dates and the date it is
        assigned to staff in the Excel spreadsheet. Other information entered includes the TPDES permit
        number, name of municipality, permit issued date, Activity 1 due date, extension due date, and
        the name of the pretreatment coordinator who drafted the pretreatment permit language

        E. Review IWS for Administrative Completeness
        The assigned pretreatment coordinator conducts the review of the IWS package to determine if it
        is administratively complete. The pretreatment coordinator reviews the submittal to determine if it
        includes the following information: the survey results of all potential SIUs from the Texas
        Manufacturers Directory (TMD) and other sources; the summary table of all potential SIUs that
        discharge to the POTW, including their address, SIC Code, and other information requested in
        the table; the signature of POTW’s authorized signatory.

        F. Is the IWS complete?
        If the IWS package is administratively complete, then continue to step L.
        If the IWS package is not administratively complete, then continue to step G

        G. Prepare and send NOD letter
        If the IWS package is not administratively complete, then the assigned pretreatment coordinator
        prepares the NOD, NOV, or NOE, or EAR letter (as applicable) specifying the deficiencies that
        need to be corrected with the required due date.

        H. Update record in the Excel spreadsheet
        The delegated senior pretreatment staff enters the date that the NOD was mailed to the permittee
        for the Activity 1 results.

        I. Response received?
        If the permittee does not reply to the NOD by the due date, then the pretreatment coordinator
        prepares a NOV for noncompliance with the NOD previously sent. Go to step J.

        If the permittee does submit a response to the NOD, then the pretreatment coordinator reviews
        the submittal. Continue with step I.

        J. Update record in the Excel spreadsheet
        The delegated senior pretreatment staff enters the date that the response to the NOD was
        received from the permittee and the date that it is assigned to the pretreatment coordinator

        K. Pretreatment Enforcement Determination
        If the permittee does not reply to the NOD by the due date, then the pretreatment coordinator
        prepares a NOV for noncompliance following the Pretreatment Enforcement Determination
        process. The purpose of the enforcement action is to set a schedule of compliance with the
        completion of the Activity 1, as needed.

        L. Complete in-depth review of IWS and any internal comments received
        The pretreatment coordinator performs an in-depth review of the IWS submittal. There are many
        criteria used to determine whether a pretreatment program is needed. The following information
        is considered during the review: Are there more than 2 SIUs for any of the plants? Is the industrial
        flow greater than 5% for a single plant? Is the total system flow small (less than 5 MGD total)?
        Have any plants had a Toxicity Reduction Evaluation? Are any plants under enforcement? Is
        there a Total Maximum Daily Load project or is the receiving water body listed on the 303(d)
        List??

        M. PT Coordinator prepares checklist & decision letter
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        After completing the in-depth review of the Activity 1 IWS submittal, the pretreatment coordinator
        will complete the IWS Review Checklist and prepare the decision letter (termination or
        continuation) as appropriate.

        N. Request for input from FOP’s
        The pretreatment coordinator send an e-mail to FOP’s requesting input and any other information
        from inspections and whether there are known problems at the POTW as a direct result of
        industrial users discharging wastewater to the collection system.

        O. FOP’s completes review
        The FOP’s inspector performs a review of the POTW’s inspections and any other relevant
        information.

        P. Receive comments from FOP’s
        The FOP’s inspector responds with the known problems or concerns related to the POTW, if
        there are any. The pretreatment coordinator reviews the information.

        Q. Route to senior PT staff to peer review
        The assigned pretreatment coordinator prepares the fact sheet, recommendation, letter, and any
        other information and sends the package to senior pretreatment staff for peer review.

        R. Schedule & hold peer review committee meeting
        After the pretreatment coordinator has received the comments or concerns from peer review, an
        e-mail is sent to all the pretreatment staff (FOP’s and WQ) to schedule a Pretreatment Review
        Committee (PRC) meeting or conference call. During the meeting, the pretreatment coordinator
        presents their recommended decision to the committee for their concurrence (termination or
        continuation) or comments.

        S. Comments received requiring changes/additional information?
        The pretreatment coordinator receives the comments and reviews them, and then makes the
        necessary revisions to the checklist and/or decision letter.

        If additional information is requested from the committee, the pretreatment coordinator will
        perform the research and continue the in-depth review. Return to step L.

        If no comments were received that require changes or additional information, continue with
        applicable termination or continuation process. If a new pretreatment program will required, then
        proceed with step T.

        T. Proceed with PT program development?
        If the committee determines that the permittee is required to continue with the pretreatment
        program development, then the pretreatment coordinator proceeds to prepare the continuation
        letter and packet. Continue with step W.

        If the committee determines that the permittee will not be required to continue with the
        pretreatment program development, then the pretreatment coordinator proceeds to prepare the
        termination letter. Go to step U.

        U. Prepare termination letter and send to applicant and copy EPA, Region, Central Records and
        PT work file
        If the pretreatment program development requirement will be terminated, the pretreatment
        coordinator prepares the termination letter which stops the remaining Option 2 permit
        requirements for Activity Nos. 2-7. The letter is routed to Administrative staff to prepare for team
        leader’s signature. A copy of the letter is sent to the Regional office where the POTW is located
        and to EPA.
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        V. Update record in the Excel spreadsheet
        The delegated senior pretreatment staff enters the date that the response to the termination letter
        is sent to the permittee.

        W. Prepare new pretreatment program development documents
        If the pretreatment program development requirement will be continued, the pretreatment
        coordinator prepares the compliance schedule with the remaining Activity Nos. 2-7 for
        pretreatment program development. The compliance schedule includes the actual due dates for
        the remaining activities (2-7) based on the actual Option 2 pretreatment permit language and
        timeframes included in the permittee’s issued permit(s).

        Then the pretreatment coordinator prepares the continuation letter (referencing all of their
        WWTPs) and enclosures (a copy of EPA’s Guidance Manual for POTW Pretreatment Program
        Development, EPA’s model ordinance, and other EPA publications needed to develop and
        implement a pretreatment program).

        X. Brief Team Leader, Section Manager & Division Director
        If the pretreatment program development requirement will be continued, the pretreatment
        coordinator prepares a briefing paper and briefs the Storm Water & Pretreatment Team Leader,
        Section Manager, and Division Director. The WQ Division Director makes the final decision to
        continue pretreatment program development.

        Y. Program development approved/terminated/more info.?
        If the WQ Division Director final decision is to terminate pretreatment program development, then
        the pretreatment coordinator prepares the termination letter with recommendation to develop a
        “local” pretreatment program and enclosures (a copy of EPA’s model ordinance and other
        applicable guidance publications). Continue with step U.

        If the WQ Division Director’s final decision is to continue pretreatment program development, then
        the continuation letter is prepared for their signature. Continue with step AA.

        If management requests additional information, then the pretreatment coordinator needs to
        continue with the research to gather the information and answers to any questions. Continue with
        step Z.

        Z. Conduct further research
        If management requests additional information, then the pretreatment coordinator needs to
        continue with the research to gather the information and answers to any questions and revise the
        checklist and/or decision letter.

        AA. Mail continuation letter and program development documents to customer
        The continuation letter and enclosures (guidance publications) are routed to Administraive staff to
        prepare for WQ Division Director’s signature. The letter is mailed to the permittee; a copy is sent
        to EPA, the Regional office where the POTW is located and to the assigned pretreatment
        compliance inspector.

        BB. Enter activity due dates in the Excel spreadsheet
        The delegated senior pretreatment staff enters in the spreadsheet the date that the continuation
        letter is mailed to the permittee and enters the actual due dates for each of the activities (2-7).

        CC. Send new pretreatment program development schedule to Enforcement for ICIS updates
        The delegated senior pretreatment staff e-mails the Water Quality Compliance Monitoring Team
        the compliance schedule actual due dates to be entered into the EPA ICIS database for activities
        2 - 6 and the date that Activity 1 was received. The checklist entitled ICIS Sheet Summary for
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        Requirement to Develop a Pretreatment Program is completed with the information pertaining to
        the ICIS codes PRET = R for both the tracking wastewater treatment plant (WWTP) and for all
        WWTPs that will be covered by the pretreatment program once approved. The Water Quality
        Compliance Monitoring Team receives a copy of the continuation letter mailed to the permittee.

        DD. Enforcement enters activity due dates for the WQ permit in ICIS
        The Water Quality Compliance Monitoring Team enters the actual compliance schedule due
        dates for activities 2-6 in ICIS and codes the tracking and covered WWTPs.

        EE. Receive a Pretreatment Activity (2-6) or Modification
        The information required by the permit new pretreatment program development compliance
        schedule is received and reviewed following the Pretreatment Program New
        Development/Modification Process.

        If a POTW is required to develop a formal pretreatment program, the requirement will be
        contained in their TPDES permit. The language establishes specific milestones (Activities 1 - 7)
        and time frames in which to accomplish Activity 1. If, as a result of Activity 1, the permittee
        indicates that categorical industrial users discharge to them, or they have experienced
        operational and/or compliance problems due to industrial users, they may be required to develop
        a pretreatment program. The regulatory citation for POTWs to develop a pretreatment program
        can be found in 40 CFR §403.8(a) - (c). The final complete package is due 12 months after the
        effective date of the TPDES permit.

        Activity 2. The POTW must submit a design of a sampling, inspection and reporting program
        (standard operating procedures (SOPs)) which fulfills the requirements of 40 CFR Part 403.8 and
        403.12. This information is due 4 months after the effective date of the notification to develop a
        pretreatment program.
        Activity 3. The POTW must submit an evaluation of the financial programs, revenue sources,
        equipment and staffing which will be employed to effectively implement the pretreatment
        program. This information is due 6 months after the effective date of the notification to develop a
        pretreatment program.
        Activity 4. The POTW must submit the results of one 24-hour influent scan. The scan must
        consist of the 126 priority pollutants and any additional pollutants included in the Texas Surface
        Water Quality Standards [30 TAC Chapter 307]. This scan serves as the initial scan for the
        development of TBLLs. From this scan, and from the information obtained in step 1, the POTW is
        required to determine which industrial users are discharging pollutants which may affect the
        POTW or passing through the treatment facility. The POTW is also required in this step to
        quantify the pollutants being discharged by the industrial users (see boilerplate language and ask
        team leader for guidance). This information is due 6 months from the effective date of the
        notification to develop a pretreatment program.
        Activity 5. The POTW is required to submit to the TCEQ a complete technically based local limits
        package. The local limits must be developed according to “EPA Region 6 Technically Based
        Local Limits Development Guidance.” Please see the SOP for the review and approval of TBLLs.
        This information is due 9 months from the effective date of the notification to develop a
        pretreatment program.
        Activity 6. The POTW must submit the following: a statement that the POTW has the authority to
        carry out the pretreatment program; a copy of its legal authority; a statement of endorsement by
        those responsible for supervising and/or funding the program; multi-jurisdictional documents; an
        enforcement response plan (ERP). This information is due 10 months after the effective date of
        the notification to develop a pretreatment program.

        If a POTW already has an approved TPDES pretreatment program, the requirement to modify its
        pretreatment program will be contained in their TPDES permit. The language establishes specific
        due dates. Alternatively, a POTW may choose to modify its approved pretreatment program on
        its own as applicable. The regulatory citation for POTWs to modify pretreatment program can be
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        found in 40 CFR §403.18. The regulations include criteria to determine what is considered a
        substantial versus a nonsubstantial modification.

        FF. Enter in the Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the
        pretreatment coordinator assigned to review the Activities 2 - 6, the due dates, and subsequent
        received dates, and the completion dates. The database is also updated to include any
        applicable notes in the comments area.

        GG. Notify Enforcement to enter compliance date in ICIS if new
        The assigned pretreatment staff sends a copy of the notification to continue development of a
        pretreatment program letter to the Water Quality Compliance Monitoring Team leader to update
        the EPA ICIS database with the actual due dates of Activities 2 - 6.

        HH. Enforcement enters activity received date
        The Water Quality Compliance Monitoring Team leader assigns an enforcement staff to update
        the EPA ICIS database with the received dates of Activities 2 - 6.

        II. Assign to PT Coordinator
        The senior pretreatment staff assigns the activity or modification to the pretreatment coordinator
        to conduct an administrative review.

        If the POTW is developing a new pretreatment program, then the activity is assigned to the
        pretreatment coordinator that reviewed Activity 1/IWS package.

        If the POTW with an approved pretreatment program, then the modification is assigned to the
        pretreatment coordinator responsible for that POTW using the TPDES Pretreatment Program
        Assignments table as a reference.

        JJ. Review Pretreatment Activity/Mod for completeness
        The assigned pretreatment coordinator conducts the administrative review and prepares a
        comment, enforcement, or completion letter, as applicable. Information must be submitted to
        enable the assigned pretreatment coordinator to evaluate the Activities 2-6 for administrative and
        technical completeness.

        KK. Is PT Activity/Mod complete?
        The assigned pretreatment staff determines if each activity (2 – 6) or modification is
        administratively complete. If administratively complete, the pretreatment staff will need to
        conduct the technical review (continue with step KK).

        If the activity (2 – 6) or modification received is not administratively complete, the assigned
        pretreatment coordinator will draft a notice of deficiency (NOD) to send to the permit signatory
        (continue with step LL).

        LL. Send NOD letter to customer
        The assigned pretreatment staff drafts a NOD letter to the permit signatory, stating the
        deficiencies and due dates for the required revisions to the Activity or modification, as applicable.

        MM. Enter in the Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the NOD
        requirements for the Activity or Modification and the due dates. The database is also updated to
        include applicable notes in the comments area.

        NN. Response received?
        If the response is received by the due date, the delegated senior pretreatment staff will receive
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        the response and assign the review of the response to the pretreatment coordinator who will
        notify the delegated senior pretreatment staff to update the Excel spreadsheet (continue to step
        oo).

        If the response is not received by the due date, the assigned pretreatment coordinator will draft a
        notice of violation (NOV) for missing TPDES permit schedule due dates to the permit signatory
        following the Pretreatment Enforcement determination process. Continue with step qq.

        OO. Update record in Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the
        pretreatment coordinator assigned to review the Activities or Modification, the subsequent
        received dates, and the completion dates. The database is also updated to include applicable
        notes in the comments area.

        PP. Is response complete?
        If the response received is not complete, the assigned pretreatment coordinator will draft a NOV
        for noncompliance with the NOD previously sent to the permit signatory following the
        Pretreatment Enforcement determination process (continue with step QQ). If the response is
        complete, continue with step RR.

        QQ. Pretreatment Enforcement Determination
        If the permittee does not reply, then the pretreatment coordinator prepares an enforcement
        action, i.e. NOV, notice of enforcement (NOE), or enforcement action referral (EAR), as
        applicable, following the Pretreatment Enforcement Determination process. The purpose of the
        enforcement action is to set a schedule of compliance with any Activity or Modification, as
        needed.

        RR. Complete technical review
        The assigned pretreatment coordinator will review each Activity or modification to determine
        technical completeness. If there are errors in the submitted activity/modification, if additional data
        is needed, or if there are revisions needed to comply with federal, state and local law, the
        pretreatment coordinator will prepare a draft comments letter.

        SS. Prepare draft comment letter
        The assigned pretreatment coordinator will prepare the draft comments letter which includes
        general comments and reference materials used for the review, required revisions to comply with
        federal, state and local law, and recommendations to improve the efficiency of the pretreatment
        program.

        TT. Route comment letter for peer review
        The assigned pretreatment coordinator routes the NOD, comment or completion letter for each
        Activity or Modification, as applicable, to peer review.

        UU. Editorial/revisions received?
        If editorial comments or corrections are not needed, the peer review staff signs off on the routing
        form under “final” and forwards each letter directly to the Storm Water & Pretreatment Team
        leader, as applicable (continue with step VV).

        If editorial comments or corrections are needed, the peer review staff signs the routing form under
        “draft” with comments and reroutes the letter back to the assigned pretreatment coordinator (go
        back to step RR).

        VV. Route comment letter for team leader signature
        Once the pretreatment coordinator completes all requested revisions to the enforcement,
        comment or completion letter for each Activity or Modifcation and the routing form is signed off
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        under “final”, the peer review staff forwards each letter to the Storm Water & Pretreatment Team
        leader.

        WW. Editorial/revisions received?
        If editorial comments or corrections are not needed, the Storm Water & Pretreatment Team
        leader signs off on the routing form under “final” and forwards each letter back to the assigned
        pretreatment coordinator for administrative preparation for certified mailing (continue with step
        XX).

        If editorial comments or corrections are needed, the Storm Water & Pretreatment Team leader
        signs the routing form under “draft” with comments and reroutes the letter back to the assigned
        pretreatment coordinator (continue with step RR).

        XX. Mail letter to permittee
        The assigned pretreatment coordinator emails the final letter to the administrative staff who
        prepares the letter for certified mailing. The administrative staff sends the final letter for signature
        of the assigned pretreatment coordinator and Storm Water & Pretreatment Team leader for
        signature as applicable. The administrative staff attaches all hard copies of attachments and
        sends copies to the courtesy copy and blind copy list as well as Central Records.

        YY. Update in the Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the
        pretreatment coordinator assigned to review the Activities 2 – 6 or Modification, the letter mailed
        dates, due dates, and subsequent received dates, and the completion dates. The database is
        also updated to include notes in the comments area.

        ZZ. All Activities 2-6 received?
        If all of the Activities 2-6 are received by the TPDES permit schedule required due date, the
        Delegated senior pretreatment staff will assign the review of the response to the pretreatment
        coordinator who will notify the delegated senior pretreatment staff to update the Excel
        spreadsheet. If all Activities 2-6 are received and completed, then the assigned pretreatment
        coordinator drafts the notification that activities 1 through 6 are complete and that Activity 7 is due
        2 months from the date of the notification.

        If all of the Activities 2-6 are not received, continue with steps AAA--BBB, if it is past the
        scheduled final due date, and steps DDD-GGG, if prior to scheduled final due date.

        AAA Is it past scheduled due date?
        If all of the Activities 2-6 are not received by the TPDES permit schedule required due date, the
        assigned pretreatment coordinator will draft a NOV or other enforcement, letter as appropriate, for
        missing TPDES permit schedule due dates for Activities 2-6 or Modification to the permit
        signatory. Continue with step DDD. If Activities 2-6 are not past schedule date, continue with
        step BBB.

        BBB. Wait until next Activity received or final due date reached
        The assigned pretreatment coordinator is not required to respond regarding the final due date
        until the final due date is reached for any pending final responses to Activities 2-6 or Modification.

        CCC. Activity 6 received?
        Once the final due date is reached, if all responses to Activities 2-6 are not received and
        complete the assigned pretreatment coordinator will need to send a NOD, NOV, NOE or EAR as
        applicable. Continue with step DDD. If all Activities 2-6 are received and completed, then the
        process continues with step HHH.

        DDD. Send applicable enforcement letter to customer
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        The pretreatment coordinator prepares an enforcement action NOV, or NOE, or EAR, as
        applicable. The purpose of the enforcement action is to set a schedule of compliance with any
        Activity, as needed.

        EEE. Update record in Excel spreadsheet
        The delegated senior pretreatment staff updates the the Excel spreadsheet to indicate the
        pretreatment coordinator assigned to review the Activities 2 - 6, the enforcement letter or action
        mailed dates, the due dates, and subsequent received dates, and the completion dates.

        The database is also updated to include the date the notification for Activity 7 was mailed with the
        due dates and any other notes in the comments area.

        FFF. Activity received?
        Once the Activities 2-6 are received as a result of an enforcement action, the assigned
        pretreatment coordinator reviews the submittal for completeness. If any of the Activities 2-6 are
        not received by the due date or are incomplete, then the assigned pretreatment coordinator
        initiates the enforcement letter, as applicable. Go to step GGG.

        If all Activities 2-6 are received and completed, then the assigned pretreatment coordinator drafts
        the notification letter that activities 1 through 6 are complete and that Activity 7 is due 2 months
        from the date of the notification. Go to step EE.

        GGG. Pretreatment Enforcement Determination process
        The Pretreament Enforcemen Determination process is followed until the complete activity is
        received.

        HHH. Prepare and send letter requesting Activity 7
        If all Activities 2-6 are received and completed, then the assigned pretreatment coordinator drafts
        the notification that activities 1 through 6 are complete and that Activity 7 is due 2 months from
        the date of the notification.

        III. Activity 7 received by due date?
        If Activity 7 is received by the due date, the delegated senior pretreatment staff will receive
        Activity 7 and assign the review of Activity 7 to the pretreatment coordinator who will notify the
        delegated senior pretreatment staff to update the Excel spreadsheet in step JJJ

        Activity 7. The POTW must submit a complete program. This will be a compilation of all
        previously submitting program activities, amended and supplemented as necessary. This
        information is due 2 months from the date of the notification that Activities 1 through 6 are
        complete. Go to step GGG.

        If the Activity is not received by the due date or is incomplete, then the assigned pretreatment
        coordinator initiates the enforcement letter, as applicable. Go to step GGG.



        JJJ. Update the Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the
        pretreatment coordinator assigned to review the Activity 7, the due dates, and subsequent
        received dates, and the completion dates. The database is also updated to include notes in the
        comments area.

        KKK. Notify Enforcement to enter the activity dates in ICIS
        The assigned pretreatment staff sends a copy of the notification to continue development of a
        pretreatment program letter to the Water Quality Compliance Monitoring Team leader to assign
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        an enforcement staff to update the EPA ICIS database with the due dates and complete dates of
        Activity 7.

        LLL. Enforcement updates record The Water Quality Compliance Monitoring Team leader
        assigns an enforcement staff to update the EPA ICIS database with the due dates and complete
        dates of Activity 7.

        MMM. Review Activity 7 for completeness
        The pretreatment Activity 7 is routed to the Delegated senior pretreatment staff who assigns
        Activity 7 to the assigned pretreatment coordinator to conduct an administrative and technical
        review and prepare a comment, enforcement or completion letter, as applicable.

        Activity 7. The POTW must submit a complete program. This will be a compilation of all
        previously submitting program activities, amended and supplemented as necessary. This
        information is due 2 months from the date of the notification that activities 1 through 6 are
        complete.

        NNN. Is Activity 7/MOD complete?
        If Activity 7 is administratively and technically complete, the assigned pretreatment staff will draft
        the City Council letter (continue to step OOO).

        If Activity 7 is not administratively and technically complete, the assigned pretreatment staff will
        draft a NOD or NOV, as applicable. (Continue to step UUU)

        OOO. Prepare and send NOD letter to permit
        The pretreatment coordinator prepares sends a notice of deficiency letter.

        PPP. Update the Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the NOD letter
        was mailed and the due date for the response.

        QQQ. Response received?
        If the response to the enforcement letter for Activity 7 (which is incomplete) is received by the
        TPDES permit schedule required due date, the Delegated senior pretreatment staff will assign the
        review of the response to the pretreatment coordinator who will notify the delegated senior
        pretreatment staff to update the Excel spreadsheet. Continue to step SSS.

        If the completed portions of Activity 7 are not received by the designated due date, then the
        assigned pretreatment coordinator drafts the escalated enforcement action. Continue to step
        RRR.

        RRR. Pretreatment Enforcement Determination
        The pretreatment coordinator prepares an NOV, or NOE, or EAR, as applicable. The purpose of
        the enforcement action is to set a schedule of compliance with the completion of Activity 7, as
        needed.

        SSS. Update the Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the results of
        the enforcement letter or action for Activity 7, the due dates, and subsequent received dates, and
        the completion dates. The database is also updated to include notes in the comments area.

        TTT. Is response complete?
        The Activity 7, received as a result of an enforcement letter, is assigned to the pretreatment
        coordinator to conduct an administrative and technical review to ensure that all elements of
        Activity 7 are included.
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        If Activity 7 is complete, then the assigned pretreatment coordinator will prepare the City Council
        letter. Continue to step UUU.

        If Activity 7 is not complete, then the assigned pretreatment coordinator will prepare the
        escalated enforcement letter, as applicable. Continue to step RRR.

        UUU. Non-Substantial Mod without ordinance
        If yes the process continues with step CCCC. If no the process continues with step VVV.

        VVV. Draft ‘City Council’ letter
        In this letter written to the permit signatory the assigned pretreatment staff will state that the
        permittee’s program is complete and request the permittee pass the program in its entirety
        through city council or multi-jurisdictional city councils of the control authority.

        WWW. Route ‘City Council’ letter for peer review
        The assigned pretreatment coordinator routes the City Council letter to peer review.

        XXX. Editorial/revisions received?
        If editorial comments or corrections are not needed, the peer review staff signs off on the routing
        form under “final” and forwards the letter directly to the Storm Water & Pretreatment Team leader,
        as applicable. Continue to step VVV. If editorial comments or corrections are needed, the peer
        review staff signs the routing form under “draft” with comments and reroutes the letter back to the
        assigned pretreatment coordinator. Return to step YYY.

        YYY. Route ‘City Council’ letter for team leader signature
        Once the pretreatment coordinator completes all requested revisions to the City Council letter and
        the routing form is signed off under “final”, the peer review staff forwards the letter to the Storm
        Water & Pretreatment Team leader.

        ZZZ. Editorial/revisions received?
        If editorial comments or corrections are not needed, the Storm Water & Pretreatment Team
        leader signs off on the routing form under “final” and forwards the letter back to the assigned
        pretreatment coordinator for administrative preparation for certified mailing. Continue to step
        VVV. If editorial comments or corrections are needed, the Storm Water & Pretreatment Team
        leader signs the routing form under “draft” with comments and reroutes the letter back to the
        assigned pretreatment coordinator. Return to step AAAA.

        AAAA. Mail letter to permittee
        The assigned pretreatment coordinator emails the final letter to the administrative staff who
        prepares the letter for certified mailing. The administrative staff sends the final letter for signature
        of the assigned pretreatment coordinator and Storm Water & Pretreatment Team leader for
        signature as applicable. The administrative staff attaches all hard copies of attachments and
        sends copies to the courtesy copy and blind copy list as well as Central Records.
        Copies of all formal enforcement letters are sent to the Enforcement Section III Section Manager
        of the Compliance and Enforcement Division.

        BBBB. Update the Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the date the
        City Council letter is mailed, the due dates, and subsequent received dates, and the completion
        dates. The database is also updated to include notes in the comments area.

        CCCC. Prepare Non-Substantial Mod Acceptance Letter and send to applicant
        The assigned pretreatment coordinator prepares and emails the final letter to the administrative
        staff who prepares the letter for certified mailing. The administrative staff sends the final letter for
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        signature of the assigned pretreatment coordinator and Storm Water & Pretreatment Team leader
        for signature as applicable. The administrative staff attaches all hard copies of attachments and
        sends copies to the courtesy copy and blind copy list as well as Central Records.
        Copies of all formal enforcement letters are sent to the Enforcement Section III Section Manager
        of the Compliance and Enforcement Division

        DDDD. Update Excel Spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the date the
        letter is mailed, the due dates, and subsequent received dates, and the completion dates. The
        database is also updated to include notes in the comments area.


        EEEE. Received response to ‘City Council’ letter?
        If the City Council letter requirements are received by the due date, the delegated senior
        pretreatment staff will receive the City Council letter requirements and assign the review of the
        City Council letter requirements to the pretreatment coordinator who will notify the delegated
        senior pretreatment staff to update the Excel spreadsheet.

        The City Council letter requirements state that the POTW must submit a request for approval of
        the pretreatment program and four copies of the complete program that has been adopted by the
        city council and any multi-jurisdictional partner city councils, as applicable. This will be a
        compilation of all previously submitting program activities, amended and supplemented as
        necessary. This information is due 2 months from the date of the notification that Activity 7 is
        complete or a date agreed upon by the Control Authority and the TCEQ.

        If a response to the ‘City Council’ letter was received, continue to step GGGG. If a response was
        not received, continue to step FFFF.

        FFFF. Pretreatment Enforcement Determination
        The pretreatment coordinator prepares an NOV, or NOE, or EAR, as applicable. The purpose of
        the enforcement action is to set a schedule of compliance with the completion of the City Council
        letter requirements, as needed. Continue with step AAA.

        GGGG. Update Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the date of the
        enforcement letter or action and the due dates, subsequent received dates, and the completion
        dates. The database is also updated to include notes in the comments area.

        HHHH. Review response for completeness of all components
        The assigned pretreatment coordinator reviews the submittal to determine the completeness of
        the City Council letter requirements which state that the POTW must submit a request for
        approval of the pretreatment program and four copies of the complete program that has been
        adopted by the city council and any multijurisdictional partner city councils, as applicable. This
        will be a compilation of all previously submitting program activities, amended and supplemented
        as necessary.

        IIII. Are all components complete?
        If the City Council letter requirements are complete then the pretreatment coordinator will initiate
        the appropriate permitting action. Continue with step RRR.

        If the City Council letter requirements are not complete then the assigned pretreatment
        coordinator will call the permittee to send the missing elements, as applicable. Continue with
        step JJJ.

        JJJJ. Contact Permittee for additional information
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        The assigned pretreatment coordinator will contact the permittee to send the missing elements or
        to expedite the process through the city council, as applicable.

        KKK. Response received?
        If the City Council letter requirements are not received then the assigned pretreatment
        coordinator will prepare the escalated enforcement letter, as applicable. Continue with step
        MMMM. If a response is received, continue with step LLLL.

        LLLL. Update Excel spreadsheet
        If the City Council letter requirements are not received by the due dates, the delegated senior
        pretreatment staff updates the Excel spreadsheet to indicate the pretreatment coordinator
        assigned to review the City Council letter requirements, date of the enforcement letter or action,
        the due dates, and subsequent received dates, and the completion dates. The database is also
        updated to include notes in the comments area.

        MMMM. Send enforcement letter to customer
        The pretreatment coordinator prepares an NOV, or NOE, or EAR, as applicable. The purpose of
        the enforcement action is to set a schedule of compliance with any Activity, as needed.

        NNNN. Update Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the
        pretreatment coordinator assigned to review the City Council letter requirements, date of the
        enforcement letter or action, the due dates, and subsequent received dates, and the completion
        dates. The database is also updated to include notes in the comments area.
        OOOO. Received response?
        If the response to the enforcement letter for the City Council letter requirements (which is past
        due) is received by the TPDES permit schedule required due date, the Delegated senior
        pretreatment staff will assign the review of the response to the pretreatment coordinator who will
        notify the delegated senior pretreatment staff to update the QP Pret FY## database. Continue to
        step PPPP.

        If the City Council letter requirements are not received by the designated due date, then the
        assigned pretreatment coordinator drafts the escalated enforcement action. Continue to step
        FFFF.

        PPPP. Is response complete?
        If the City Council letter requirements are received as a result of an enforcement letter, they are
        assigned to the pretreatment coordinator to conduct an administrative and technical review to
        ensure that all elements of the City Council letter requirements are included. If the response is
        complete, continue to step RRRR

        If the City Council letter requirements are not complete, then the assigned pretreatment
        coordinator will prepare the escalated enforcement letter, as applicable. Continue to step QQQQ.

        QQQQ. Enter in the Excel spreadsheet
        If the City Council letter requirements are not complete, the delegated senior pretreatment staff
        updates the Excel spreadsheet to indicate the pretreatment coordinator assigned to review the
        City Council letter requirements, date of the enforcement letter or action, the due dates, and
        subsequent received dates, and the completion dates.




        RRRR. Is a permit application pending?
        If there is not a municipal permit application pending, the assigned pretreatment coordinator will
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        draft the memo to the Water Quality Applications Team Leader of the Registration, Review and
        Reporting Division. Continue with step TTT.

        If there is a municipal permit application pending, the assigned pretreatment coordinator will draft
        the memo to the Municipal Permits Team Leader to initiate a dovetail action to the TPDES permit
        application to incorporate the newly developed pretreatment program or substantial modification
        to an existing pretreatment program. Continue with step SSS.

        SSSS. Prepare SIA Memo and Route to PAR
        The assigned pretreatment coordinator will draft a memo to Water Quality Applications Team
        Leader of the Registration, Review and Reporting Division to the initiate a staff initiated
        amendment for a minor modification to the TPDES permit to incorporate the newly developed
        pretreatment program or substantial modification to an existing pretreatment program.


        TTTT. Notify permittee of permit modification for pretreatment
        The pretreatment coordinator will notify the permittee that the individual permit will be modified.

        UUUU. Individual Permit Application Process
        If there is not an individual permit application pending, the assigned pretreatment coordinator will
        draft the memo to the Water Quality Applications Team Leader of the Registration, Review and
        Reporting Division.

        If there is an individual permit application pending, the assigned pretreatment coordinator will
        draft the memo to the Municipal Permits Team Leader to initiate a dovetail action to the TPDES
        permit application to incorporate the newly developed pretreatment program or substantial
        modification to an existing pretreatment program.




    1.6.2 Significant Industrial Users (SIU) Non-Pretreatment POTWs
        The assigned pretreatment coordinator identifies significant industrial users (SIUs) during the
        review of the TPDES permit applications of publicly owned treatment works (POTWs) that do not
        have an approved pretreatment program. When an SIU is identified in the Worksheet 6.0 of the
        TPDES permit application that assigned pretreatment coordinator copies the information and
        presents the information to the delegated senior pretreatment staff who will enter the information
        into U.S. Environmental Protection Agency=s (EPA) Permit Compliance System (PCS) database.
        The Field Operations Division (FOD) inspectors ask several questions of the POTW operators
        when they are conducting inspections of the wastewater treatment plants. The FOD inspector
        may then contact the pretreatment program staff to initiate a letter of introduction and the TCEQ
        reporting requirements to the industry. Periodically, the pretreatment program staff may do a
        mass industrial waste survey mailout to industries across the State to locate potential SIUs
        discharging to POTWs that have not been reporting to the TCEQ.

        A. Identify Significant Industrial Users that are not part of an approved pretreatment program
        The assigned pretreatment coordinator identifies significant industrial users (SIUs) during the
        review of the TPDES domestic permit applications of POTWs that do not have an approved
        pretreatment program. When an SIU is identified in the Worksheet 6.0 of the Technical Report of
        the TPDES domestic permit application that assigned pretreatment coordinator copies the
        information and presents the information to the delegated senior pretreatment staff who will enter
        the information into EPA=s ICIS database and the TCEQ Water Quality Division pretreatment
        Excel spreadsheet.

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        The FOD investigators also assist with identifying SIUs in non-pretreatment POTWs. The
        wastewater or pretreatment investigators ask several questions of the POTW operators when
        they are conducting inspections of the wastewater treatment plants or conducting pretreatment
        inspections. The FOD investigator may then contact the pretreatment program staff to initiate a
        letter of introduction and the TCEQ reporting requirements to the industry. Periodically, the
        pretreatment program staff may do a mass industrial waste survey mailout to industries across
        the State to locate potential SIUs discharging to POTWs that have not been reporting to the
        TCEQ.

        Lastly, a facility may identify itself as a SIU and will contact the TCEQ to provide the notification
        and find out the applicable reporting requirements.

        B. Perform minimal admin review of information provided
        The pretreatment coordinator verifies the legal name and validates the address before entry into
        the database.

        C. Add to the Excel spreadsheet and EPA ICIS
        The delegated senior pretreatment staff assigns an identifier number (TXP…) if one has not
        already been assigned to the facility. Then the Excel spreadsheet is updated to indicate the
        facility information, types of reports that are due and due dates of the baseline monitoring reports,
        90-day compliance reports, and semi-annual (June and December) compliance reports. The
        EPA’s ICIS database is updated to create a record and/or update the contact information for the
        facility.

        D. Semi-Annual report received?
        If a facility has recently been identified and the TCEQ has not ever received a baseline monitoring
        report, 90-day compliance report, or semi-annual (June and December) compliance report, from
        the facility, the senior pretreatment staff will communicate with the assigned FOD pretreatment
        investigator in either TCEQ Region 4 or 12 Office to draft a notice of violation (NOV) to the facility
        regarding the missing reports. Continue with step D.

        If the reports have been received, the process ends here. Then the SIU submits the subsequent
        reports as required by the regulations.

        E. Prepare reporting requirements and notification letter
        The FOD pretreatment investigator in either TCEQ Region 4 or 12 Office prepares the notification
        letter to the facility of the relevant baseline monitoring reports, 90-day compliance reports, and
        semi-annual (June and December) compliance reports that are due to the TCEQ and the required
        due dates.

        F. Mail letter with reporting requirements guidelines to SIU
        The FOD pretreatment investigator in either TCEQ Region 4 or 12 Office mails the notification
        letter to the facility, pertaining to the relevant baseline monitoring reports, 90-day compliance
        reports, and semi-annual (June and December) compliance reports that are due to the TCEQ and
        the required due dates, along with the TCEQ published guidance document for SIUs discharging
        process wastewater to POTWs without an approved pretreatment program. A copy of the letter is
        kept on file.

        G. Update Excel spreadsheet
        The spreadsheet is updated with the date the letter is mailed and dues dates.

        H. Update the Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the record of
        the notification letter mailed to the facility regarding the required receipt of the baseline monitoring
        reports (due 90 days prior to beginning discharge), 90-day compliance reports (due 90 days after
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        beginning discharge), and semi-annual (June and December) compliance reports, the due dates,
        and subsequent received dates, and the completion dates. The database is also updated to
        include notes in the comments area.

        I. Send copies of reports to FODs Pretreatment Inspector and Central Records
        The senior pretreatment staff then forwards copies of the baseline monitoring reports, 90-day
        compliance reports, and semi-annual (June and December) compliance reports to FOD
        pretreatment investigator in either TCEQ Region 4 or 12 Office for compliance review and the
        original copies of the reports to Central Records.

        J. FOD Pretreatment Inspectors monitor compliance and inspect SIUs
        The FOD pretreatment investigator in either TCEQ Region 4 or 12 Office monitors compliance
        with the reporting requirements and effluent limits (categorical effluent guidelines pretreatment
        standards for categorical industrial users and local limits for noncategorical SIUs) and inspects
        these SIUs as needed.




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      1.6.2.1 Pretreatment Enforcement Determination
        The Water Quality Pretreatment Program follows the TCEQ’s enforcement procedures.
        Enforcement responses are issued directly by pretreatment program staff for violations following
        the TCEQ’s Criteria for Initiation of Formal Enforcement Action for Air, Water, and Waste
        Violations (EIC). The EIC includes criteria for TPDES violations and pretreatment program
        specific violations. Additionally, the pretreatment program uses the Violation Review Action
        Criteria (VRAC) Guidelines included in the TPDES Memorandum of Agreement between the
        TCEQ and the EPA Region 6. The VRAC lists the types of pretreatment program violations,
        noncompliance/problem, circumstances/severity, response/consequence, and TCEQ category (A,
        B, or C) for each violation.

        The EIC includes violations that are divided into three categories: A, B, C.
        Category A violations require automatic initiation of formal enforcement action when discovered.
        Category B violations require a Notice of Violation (NOV) at the first occurrence. Then, Category
        B violations require initiation of formal enforcement action if the violation is not corrected by an
        established NOV deadline or if the violation is documented at two consecutive investigations
        within the most recent 5-year period, unless an extension or EIC variance has been approved.
        Category C violations may require initiation of formal enforcement action if the entity receives a
        notice of violation for the same violation 3 consecutive times within the most recent 5-year period,
        including the notification for the current violation. Decisions about whether formal enforcement
        action will be initiated for a third time Category C violation will be made by the section manager
        for the staff who is considering the enforcement action.

        Pretreatment program staff prepare and mail Notice of Enforcement letter to the permittee and
        prepares the Enforcement Action Referral (EAR) form via the Consolidated Compliance and
        Enforcement Data System (CCEDS) and submits it to the Enforcement Division. Pretreatment
        program staff prepare and issue notices of violation (NOV) for the Category B and C violations
        and then enters the violations and NOV in CCEDS.

        A violation may be resolved as an Area of Concern (AOC) and will not count toward a permittee’s
        compliance history if it meets all four criteria below.
        1. The violation falls into Category C;
        2. The violation does not involve a potential harm/impact;
        3. The violation is corrected within 14 calendar days from the investigation date; and
        4. The violation was not documented at the same regulated entity in the prior 12 months.

        If all documented violations meet the AOC criteria, then Pretreatment Program staff will only send
        a General Compliance letter that includes each AOC in the summary of investigation findings.

        The pretreatment program prepares enforcement responses for TPDES permit requirements for
        new program development, industrial user survey requirements, TBLLs
        reassessment/certification requirements, substantial program modification requirements (initial
        submission and subsequent deadlines), annual report requirements (due date, newspaper
        publication date, influent and effluent sampling requirements) and for alleged violations identified
        during audits.

        A. Prepare NOV letter
        Determination of the proper letter sent to the permittee is made using the EIC and VRAC
        specifically for the pretreatment program and the EIC. Pretreatment program staff may prepare
        and issue NOV, NOE, and EAR, as applicable.

        The NOV is sent when there are outstanding alleged violations of federal and state laws identified
        during the audit or records review. This NOV for Category C and B violations
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        notifies the permittee that they must develop a compliance schedule that adequately addresses
        each of the outstanding alleged violations.

        The pretreatment coordinator assigned with the responsibility for oversight of the permittee’s
        pretreatment program prepares the appropriate NOV.

        B. Route for peer review
        The pretreatment coordinator routes the NOV for peer review to senior pretreatment staff.

        C. Revisions needed?
        If revisions are needed, the pretreatment coordinator makes the requested revisions to the NOV.
        Return to step A.

        If revisions are not needed, continue with step D.

        D. Route to team leader for briefing and signature
        The pretreatment coordinator routes the NOV for review by the Storm Water & Pretreatment
        Team Leader. The pretreatment coordinator briefs the team leader on the reasons for the NOV.

        E. Revisions needed?
        If revisions are needed, the pretreatment coordinator makes the requested revisions to the NOV.
        Return to step A.

        If revisions are not needed, continue with step F.

        F. Mail NOV letter to permittee
        The pretreatment coordinator routes the NOV to the administrative staff to prepare for the Storm
        Water & Pretreatment Team Leader’s signature and mail to the permittee.

        G. Send copy of NOV letter to Enforcement, Region, EPA PT staff, and Central Records file
        A copy of the NOV is sent to EPA, FOPs, Enforcement Division, and Central Records.

        H. Enter compliance dates in the Excel tracking spreadsheet
        The delegated senior pretreatment staff enters the date the NOV is mailed to the permittee for the
        alleged violations and the due date for the response, if applicable.

        I. Enter NOVs in CCEDS
        The pretreatment coordinator enters the violations and the NOV in CCEDS using the WQ
        Pretreatment Program Generic Checklist.

        J. Response received by deadline?
        If the permittee’s response to the NOV is received by the due date, the pretreatment coordinator
        reviews the response for completeness and adequacy following the applicable pretreatment task
        process. The process ends here.

        If the permittee’s response to the NOV is not received by the due date or is not submitted at all,
        then the pretreatment coordinator escalates to the next appropriate enforcement response.
        Continue with step N.

        K. Is response adequate?
        Review the permittee’s response to determine if it includes all required information. If the
        permittee’s response is adequate continue to step L. If the permittee’s response is not adequate
        continue with step A.

        L. Enter compliance dates in the Excel tracking spreadsheet
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        The delegated senior pretreatment staff enters the date the NOV compliance date.

        M. Enter violations and NOV in CCEDS.
        The pretreatment coordinator enters the date the violations and NOV date in CCEDS.

        N. Does it qualify for an NOE/EAR or NOV?
        The pretreatment coordinator escalates the enforcement response based on the type of NOV that
        was sent previously for the addressed alleged violations. If applicable, another NOV is issued
        and process returns to step B.

        If the EIC’s Category A criteria is met, then the next enforcement response is a NOE. If
        applicable, the pretreatment coordinator prepares the NOE to be mailed to the permittee.
        Continue with step O.

        O. Prepare NOE letter
        The pretreatment coordinator prepares the NOE specifying the alleged violations which lead to
        the Category A violations for formal enforcement.

        P. Route for peer review
        The pretreatment coordinator routes the NOE for peer review to senior pretreatment staff

        Q. Revisions needed?
        If revisions are needed, the pretreatment coordinator makes the requested revisions to the NOE
        and the process returns to step O. If no revisions are needed, continue with step O.

        R. Route to team leader for briefing and signature
        The pretreatment coordinator routes the NOE for review to the Storm Water & Pretreatment
        Team Leader. The pretreatment coordinator briefs the team leader on the reasons for the NOE.

        S. Revisions needed?
        If revisions are needed, the pretreatment coordinator makes the requested revisions to the NOE
        and the process returns to step O. If no revisions are needed, continue with step R.

        T. Mail NOE letter to permittee
        The pretreatment coordinator routes the NOE to the administrative staff to prepare for the Storm
        Water & Pretreatment Team Leader’s signature and mail to the permittee.

        U. Send copy of NOE letter to Region, EPA PT staff, and Central Records file
        A copy of the NOE is sent to EPA, FOPs, Enforcement Division, and Central Records.

        V. Enter compliance dates in the Excel tracking spreadsheet
        The delegated senior pretreatment staff enters the date the NOE is mailed to the permittee for the
        alleged violations and the compliance schedule due date for the response, if applicable.

        W. Enter NOE and Create EAR in CCEDS
        The pretreatment coordinator enters the violations and the NOE in CCEDS using the WQ
        Pretreatment Program Generic Checklist and create the EAR.

        X. Generate draft EAR from CCEDS
        The pretreatment coordinator generates the draft EAR form from CCEDS and prints it out.

        Y. Research for supporting documents & prepare EAR form
        The pretreatment coordinator prepares the backup or supporting documentation for the EAR
        package to be submitted to the Enforcement Division. Preparation includes performing a
        comprehensive records review and coordination with the FOP’s pretreatment compliance
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        investigator to support the alleged violation(s). The EAR will include all of the related alleged
        violations that have not been corrected within the past five years.

        Z. Route for peer review
        The pretreatment coordinator routes the EAR for peer review to senior pretreatment staff

        AA. Revisions needed?
        If revisions are needed, the pretreatment coordinator makes the requested revisions to the EAR
        and the process returns to step W. Otherwise, if no revisions are needed, continue with step Z.

        BB. Route to team leader for briefing and signature
        The pretreatment coordinator routes the EAR for review to the Storm Water & Pretreatment Team
        Leader. The pretreatment coordinator briefs the Storm Water & Pretreatment Team Leader on
        the reasons for the EAR.

        CC. Revisions needed?
        If revisions are needed, the pretreatment coordinator makes the requested revisions to the EAR
        and the process returns to step W. Otherwise, if no revisions are needed, continue with step BB.

        DD. Route to Section Manager for briefing and signature
        The pretreatment coordinator routes the EAR for review to the Section Manager. The
        pretreatment coordinator briefs the Section Manager on the reasons for the EAR.

        EE. Revisions needed?
        If revisions are needed, the pretreatment coordinator makes the requested revisions to the EAR
        and the process returns to step W. Otherwise, if no revisions are needed, continue with step DD.

        FF. Update the Excel tracking spreadsheet
        The delegated senior pretreatment staff enters the date the EAR is sent to Enforcement Division
        for the alleged violations.

        GG. Generate final approved EAR from CCEDS
        The pretreatment coordinator generates the final approved EAR form from CCEDS and prints it
        out.

        HH. Final approval and signature of the EAR form from PT Team Leader
        The pretreatment coordinator signs and routes the final approved EAR form for signature by the
        supervisor.

        II. Route EAR to Enforcement for consideration for formal enforcement action
        The pretreatment coordinator submits the EAR to the Enforcement Division for consideration for
        formal enforcement actions.

        Pretreatment program staff (pretreatment coordinator, senior pretreatment staff acting as the
        enforcement liaison, and team leader) assist the Enforcement Coordinator with questions and
        responses to the proposed enforcement order, participate in meetings with the permittee and with
        internal staff. If requested, review and respond to the permittee’s response to the final
        enforcement order requirements and conditions related to the TPDES pretreatment program.




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      1.6.2.2 Pretreatment Extension Request
        A permittee may submit an extension to an established TPDES permit required due date for
        information pertaining to any of the pretreatment program activities, i.e. reassessments or
        reevaluations of technically based local limits (TBLLS), annual reports, substantial modifications,
        newly developing pretreatment program Activities 2-7 for Option 2 permits, nonsubstantial
        modifications, industrial waste surveys (Activity 1 for Option 2 permits), categorical
        determinations, responses to pretreatment program audits and municipal pollution prevention
        assessments, and responses to any notice of deficiency (NOD) or other type of enforcement
        actions. In some cases and based on a case-by-case basis, the first request for an extension
        may be granted under a general letter extending the deadline up to 60 days from the required due
        date. Subsequently a second extension request or other first time requests (based on a case-by-
        case basis) may be granted under a notice of violation (NOV) extending the deadline up to 30 or
        60 days from the required due date. If a third extension request is received, the permittee may be
        referred to formal enforcement through a notice of enforcement (NOE) and subsequent
        enforcement action referral (EAR).

        A. Receive extension request and assign to pretreatment coordinator
        The extension request must be received prior to the TPDES permit required due dates for
        information pertaining to any of the pretreatment program activities in order for the extension
        process to be accomplished before the due date.

        If the extension request is not received by the due date(s), the assigned pretreatment coordinator
        will draft an enforcement letter to the permit signatory, as applicable. (See Item entitled,
        “Pretreatment Enforcement Determination”)

        B. Enter request in the Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the
        pretreatment coordinator assigned to review the request to grant an extension to the required due
        dates, and subsequent received dates, and the completion dates. The database is also updated
        to include notes in the comments area.

        The extension request for the pretreatment activity is routed to the delegated senior pretreatment
        staff who assigns the activity to the pretreatment coordinator to conduct an administrative and
        technical review of the extension request and prepare a NOD or enforcement letter, as
        applicable. Information must be submitted to enable the assigned pretreatment coordinator to
        evaluate the extension request for administrative circumstances and/or technical complexity.

        C. Review request
        The assigned pretreatment coordinator conducts an administrative and technical review of the
        extension request and prepares a NOD or enforcement letter, as applicable. There must be
        sufficient information to enable the assigned pretreatment coordinator to evaluate the extension
        request for administrative circumstances and/or technical complexity.

        D. Grant request?
        If the extension request received does not address the administrative circumstances and/or
        technically complexity, the assigned pretreatment coordinator will telephone the permittee to
        submit in the information before the required due date so that the pretreatment coordinator may
        draft a response regarding the extension request to the permit signatory. The process goes to
        step I.

        If the extension request, received in a timely manner, addresses the warranted administrative
        circumstances and/or technically complexity, the assigned pretreatment coordinator may draft an
        extension granting letter to the permit signatory. Continue with step E.
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        E. Prepare Extension Granted letter
        In general the first request for an extension may be granted under a general letter extending the
        deadline up to 60 days from the required due date. Subsequently a second extension request
        may be granted under a NOV extending the deadline up to 30 to 60 days from the required due
        date. If a third extension request is received, the permittee may be referred to formal
        enforcement through a NOE and subsequent EAR.

        The extension granting letter will need to state the deficiencies and due dates for the required
        revisions to the pretreatment activity, as applicable.

        F. Route to Team Leader for signature
        The assigned pretreatment coordinator routes the extension letter or enforcement letter for each
        extension request, as applicable, to peer review.

        If editorial comments or corrections are not needed, the peer review staff signs off on the routing
        form under “final” and forwards each letter directly to the Storm Water & Pretreatment Team
        leader, as applicable. If editorial comments or corrections are needed, the peer review staff signs
        the routing form under “draft” with comments and reroutes the letter back to the assigned
        pretreatment coordinator.

        Once the pretreatment coordinator completes all requested revisions to the NOD or enforcement
        letter for each extension request, as applicable, and the routing form is signed off under “final”,
        the peer review staff forwards each letter to the Storm Water & Pretreatment Team leader.

        G. Mail letter to customer & send copy to the region, central records and others on list
        The assigned pretreatment coordinator emails the final letter to the administrative staff who
        prepares the letter for certified mailing. The administrative staff sends the final letter for signature
        of the assigned pretreatment coordinator and Storm Water & Pretreatment Team leader for
        signature as applicable. The administrative staff attaches all hard copies of attachments and
        sends copies to the courtesy copy and blind copy list as well as Central Records.

        Copies of all formal enforcement letters are sent to the Regional office where the pretreatment
        investigator is located and where the permittee is located. Continue with step H.


        H. Update permit record in the Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the date the
        NOD or enforcement letter for each extension request, as applicable, is mailed, the due dates,
        and subsequent received dates, and the completion dates. The database is also updated to
        include notes in the comments area.

        If needed for NOVs, then the pretreatment coordinator also enters the NOV granting the NOV in
        CCEDS.

        I. Prepare Extension Denied letter
        The assigned pretreatment coordinator will need to verbally discuss or send an email to the
        delegated senior staff, then the Storm Water & Pretreatment Team Leader, if it is determined that
        an extension request will be denied.

        The extension denial letter will need to state the deficiencies and due dates for the required
        revisions to the pretreatment activity, as applicable.

        Please refer to Item F and G above for routing through peer review, Storm Water & Pretreatment
        Team Leader and administrative mail-out of letter.
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        J. Refer to Enforcement
                 rd
        After a 3 extension request is received or the pretreatment coordinator determins it is necessary
        to proceed with the enforcement determination process, the process may continue with step K. If
        the enforcement determination process is not necessary, the process ends.




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1.7     Transfers/Endorsements (Administrative) Application
        Transfer and administrative endorsements are submitted when the permittee has changed their
        name, changed the mailing address, and/or when the facility has been purchased by another
        entity. By rule when a permittee is transferring their permit, they are to provide notice 30 days in
        advance of the transfer. If a transfer application is received 30 days in advance, one of the
        deficiencies in the letter is to notify us after the transfer has occurred. If only a letter indicating a
        transfer has or will occur is received, a letter with the transfer application is mailed to the
        permittee. The most common path for transfers and address changes occur after the annual
        billing is mailed is A-X. If the application is administratively complete the path is A-M, Q-X. The
        path for names changes and address changes with pending applications is shown as A-E, Y, Z.
        Currently, there is difficulty getting a complete response for approximately 30% of the transfer
        applications. The path for this 30% goes through either A-P, AA, BB, CC, Q-X or A-P, AA-EE.

        A. Request received
        An application to change the name, change the address, or transfer the permit is received from
        the permittee or their representative via mail.

        B. Log receipt into Paradox (transfer-endorsement.db)
        The permittee’s name, permit number, date of receipt of the application, and various other
        information is logged into Paradox. The table name is transfer-endorsement.db.

        C. Is a permit application pending?
        Staff must determine whether a permit or registration application for that facility is pending. The
        databases, TRACS, WQ\A-mainwq.db, or CAFO\A-mainwq.db, are used to determine whether an
        application is pending. If there is a permit application pending, continue with D, otherwise,
        continue with H.

        D. Find out who has the file
        If a permit or sludge registration application is pending, staff must determine where in the process
        the permit or sludge registration application is. The databases, TRACS, WQ\A-mainwq.db, or
        CAFO\A-mainwq.db, are used to determine who may have the permit file if an application is
        pending. If the permit or sludge registration application is in CCO, staff will call the applicant to
        ask if they want the permit application remanded from CCO and process the transfer or
        endorsement and then re-file the application. It is rare that they choose to have the permit or
        sludge registration application file pulled from CCO since it would require the applicant to
        republish the Notice of Application and Preliminary Decision.

        E. Is request for transfer?
        Staff will determine whether or not a transfer application is required. For name changes, staff will
        verify with the Texas Secretary of State that it is a name change. If a transfer application is
        required, continue with H. If a transfer application is not required, continue with F.

        F. Is there a 210 authorization?
        Staff will determine whether a 210 authorization is associated to this application. If a 210
        authorization is required, continue with G. Otherwise, continue with Y.

        G. Make a copy of the application
        If the application includes a 210 authorization, a copy of the application will be made.

        H. Get file
        Once it is determined that a permit or sludge registration application is not pending, staff requests
        the file from Central Records through the “Central Records File Request Form” online interface.
        A daily log of files requested from Central Records is maintained in Word. At least three days a
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        week, Central Records delivers files to the Applications Review and Processing Team. If a permit
        or sludge registration application is pending and the request is a transfer or the applicant has
        requested we process the action prior to the permit application being processed, we will retrieve
        the file from the permit writer or CCO. If there is a domestic 210 authorization associated to the
        permit, we will retrieve the file from the file cabinets. If there is an industrial 210 authorization, we
        will request the file from Central Records.

        I. Run report from Paradox
        Once a week a report is generated from Paradox. All requests received the previous week or
        those not yet assigned will be assigned.

        J. Assign to staff
        Transfer, name changes, and address changes are assigned to staff on a weekly basis.

        K. Log staff assignment into Paradox (transfer-endorsement.db)
        The staff member assigned to process the transfer or administrative endorsement application
        places their name in Paradox, transfer-endorsement.db.

        L. Review application
        For all transfers, name changes, and address changes, the reviewer ensures the permit number
        corresponds to the correct permittee. They will check for outstanding fees, ensure the signature
        is an original, and ensure the correct individual signed the application. If it is an address change
        or transfer, they will confirm the address with the United States Postal Service. If it is a name
        change, they will confirm that it is a name change with the Texas Secretary of State. If it is a
        transfer, they will confirm the charter number with the Texas Secretary of State and confirm it is
        not a name change, confirm the tax identification number with the State Comptroller of Texas,
        ensure the date of the transfer was provided, ensure the owners of the land and plant are
        provided, lease agreements and/or deed requirements to ensure the established requirements
        are in the documents and, if appropriate, are recorded in the correct county.

        M.         Is there a deficiency?
        Staff will review the application to determine whether the application is administratively complete.
        If there are administrative problems with the application, continue with N. If it is administratively
        complete, continue with Q.

        N.      Prepare and send NOD
        The reviewer prepares a letter identifying the deficiencies in the application and the letter is peer
        reviewed prior to the letter being sent by certified mail to the applicant.

        O.      Update Paradox (transfer-endorsement.db)
        The reviewer enters the date the letter is mailed to the applicant into Paradox, transfer-
        endorsement.db.

        P.        Complete response received?
        The reviewer will track when a response is due. If a response is not received within the required
        time frame, the reviewer may process the application as if an incomplete response was received.
        If the transfer application is not signed by the current permittee, the “new” owner is required to
        submit proof of ownership and the transfer is handled as an involuntary transfer requiring a letter
        be sent to the current permittee at the last known address giving 30 days to comment or request
        a hearing. If both parties for sludge registrations do not sign the transfer application, the
        application is considered a request for a cancellation and is processed as such. If a complete
        response was received, continue with Q. If a complete response was not received, continue with
        AA.

        Q. Prepare order(s)
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        The reviewer will prepare the order and the transmittal letter. Both will be peer reviewed by a co-
        worker.

        R. Update Paradox, TRACS, and PCS or ARTS
        Update the information on the order in TRACS, ICIS (previously PCS), and several Paradox
        tables. The Paradox transfer-endorsement.db is updated and the record closed out. If the
        application was a transfer or name change, the Paradox table, Agpermit.db or WQPermits.db, is
        updated. If a permit or registration application is pending and it is a name change or transfer, the
        name is updated in WQ\A-mainwq.db, CAFO\A-mainwq.db, or Sludgeap.db. If there is a 210
        authorization, you will update the ARTS for industrial reclaimed water and the paradox table 210
        reuse.db for the domestic reclaimed water.

        S. Is this order for a 210 Authorization?
        Staff will determine whether the order is for a 210 authorization. If this order is for a 210
        authorization, continue with T. Otherwise, continue with U.

        T. Applications Team mails order
        Applications Review and Processing Team mails a copy of the order and the cover letter to the
        permittee and region. The original order and a copy of the letter are placed in the file.

        U. Run report from Paradox and file with CCO
        A report is generated from Paradox, transfer-endorsement.db, of all transfers and endorsements
        that are ready to be filed with CCO. The report is generated and compared with the orders ready
        to go to CCO to ensure the accuracy of the report. The report, the orders with the corresponding
        cover letters, and the file or a copy of the permit are filed with CCO. The report is also sent to the
        region, division directors and section managers, team leaders of the permitting teams, Water
        Quality Compliance Team, CCO, field operations, General Counsel, EPA Region VI, and
        Permitting and Remediation Support.

        V. CCO enters in CID

        W. CCO mails order
        CCO mails a copy of the order and cover letter to the permittee, region, and various other entities
        on their mailing lists. The original order and a copy of the letter are placed in the file.

        X. Return file to Central Records and domestic 210 to the file cabinet

        Y. Make changes to documents in file
        Staff revises the name and/or permit mailing address on the route sheets in the file. The
        application is then placed in the file and given to the permit writer for the permit to be updated.
        The permit writer will update the draft permit to include the new name and/or address.

        Z. Update Paradox, TRACS, and PCS
        Staff updates the information on the order in TRACS, ICIS (previously PCS), and several Paradox
        tables. The Paradox transfer-endorsement.db is updated and the record closed out. If the
        application was a transfer or name change, the Paradox table, Agpermit.db or WQPermits.db,
        and WQ\A-mainwq.db, CAFO\A-mainwq.db, or Sludgeap.db are updated.

        AA. Follow-up with phone call or letter
        If a response is not received, the reviewer will call the applicant, if a correct phone number can be
        found, to find out the status of the response. If the correct working phone number cannot be
        located, a certified letter will be sent stating the application will not be processed until a response
        is received.

        BB. Update Paradox
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        Staff places a comment in the Paradox table, transfer-endorsement.db, regarding when the call
        was made or letter was mailed.

        CC. Complete response received?
        The reviewer will determine whether the application is now administratively complete. If a
        complete response was received, continue with Q. Otherwise, continue with DD.

        DD. Notify applicant that process has been terminated
        If the applicant has not addressed all the deficiencies or has not responded, the reviewer will
        prepare and mail a letter notifying the applicant that the application has not be processed due to
        the failure of providing the necessary information.

        EE. Update status in Paradox (transfer-endorsement.db)
        The reviewer will update the Paradox table, transfer-endorsement.db, to indicate the date the last
        letter (described in X) was mailed, enter a comment that the application was withdrawn because
        the applicant failed to address the deficiencies, and historicalize the record. Continue with step
        X.




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1.8     General Endorsements (Technical) Application
        The Executive Director can choose to revise/endorse an issued permit to incorporate non-
        substantive permit corrections. For changes to the permit language, the process is typically
        initiated by the Wastewater Permitting Section; however, it may be a result of a request from a
        permittee. An endorsement may be issued for the following reasons: to correct a clerical or
        typographical error in the permit; to describe more accurately the outfall or disposal location or
        the discharge route for any waste authorized for disposal under the permit; to describe more
        accurately the character, quality, or quantity of any waste authorized for disposal under the
        permit; or to state more accurately or update any provision in a permit without changing the
        authorizations or requirements addressed by the provision.

        Endorsement processing begins with the path of A through K, with a possible loop of I to J and
        then back to I if the General Counsel does not respond. If the endorsement is not approved by
        the General Counsel, the path progresses to M, and then directly to the end because it is not
        needed. If it is approved, it continues on to steps N through W. If no changes are going to be
        required to the TRACS and/or PCS database, the path will continue to the end. Otherwise, the
        path will go from W, to X, and then to Z, before reaching the end.

        A. Identify need for general endorsement to permit
        Staff from the Wastewater Permitting Section will determine whether an endorsement is required
        to correct or clarify a provision in the permit. This is often done as a result of a question or
        request from an applicant, but the permit writer may recognize a change that is required after a
        permit is issued. If an endorsement is determined to be needed, staff will consult with their team
        leader and section manager before proceeding. The section manager may consult his or her
        management, if necessary. If management agrees that an endorsement is warranted, staff will
        proceed with the process.

        B.       Retrieve permit file from Central Records
        When it is determined that an endorsement is needed, the Wastewater Permits Section will fill out
        a Central Records request form for a file to be pulled from Central Records. The file will be given
        to the permit writer who will be processing the endorsement.

        C.       Prepare general endorsement memo with supporting docs
        The permit writer will complete an Interoffice Memorandum (IOM) to the General Counsel and the
        Public Interest Counsel requesting permission to issue the Endorsement. The Wastewater
        Permit Section uses a shell document for this memo, and the permit writer completes the specific
        information related to the endorsement. The supporting documents include revised permit pages
        and may also include additional supporting documentation. The permit writer initials the memo
        next to his or her name.

        D.       Route to team leader for sign-off
        After completing the IOM, the permit writer routes the IOM and supporting documents to the team
        leader. The team leader reviews the information, and approves the memo by initialing the IOM
        next to his or her name. The team leader will return the memo to the permit writer.

        E.      Make five copies of memo and supporting docs (keep one in working file)
        The permit writer makes five copies of the IOM, the revised permit pages, and any other
        supporting documentation.

        F.       Hand deliver original and 2 copies to General Counsel having a copy stamped received
        for saving in WQ Div. records
        The permit writer hand delivers the original and two copies of the IOM, the revised permit pages,
        and any additional attachments to the General Counsel’s office.
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        A copy of the IOM package is time-stamped by the General Counsel’s office, and is retained by
        the permit writer. Alternatively, the General Counsel’s office may make a copy of the original
        IOM, and then return the copy of the IOM stamped with the received date to the permit writer.

        G.       Hand deliver a copy to Public Interest Counsel and have a copy stamped received for
        WQ Div records
        After delivering the IOM package to the General Counsel, the permit writer then delivers one copy
        of the IOM package to the Public Interest Counsel’s (PIC) office.

        Acopy of the IOM package is time-stamped as received by the PIC’s office, and is retained by the
        permit writer. Alternatively, the PIC’s office may make a copy of the original IOM, and then return
        the copy of the IOM stamped with the received date to the permit writer.

        H. Permit writer places stamped copies in working & original permit file
        The permit writer will make two copies each of the IOM packages that were stamped “Received”
        by the General Counsel’s office and the PIC’s office. One copy of each stamped IOM package is
        placed into the original permit file, and the second copy of each is placed in the permit writer’s
        working file. The remaining copies are retained for future processing as part of the Endorsement
        Package.

        I. Response received from PIC and GC?
        The PIC will inform the General Counsel if it has any objections to the endorsement. The
        General Counsel will respond to the IOM within five working days, and the response will either
        approve or deny the endorsement. The response is typically by e-mail. If a response was not
        received, continue with step J. If a response was received, continue with step K.

        J. Contact PIC &/or GC for response (from K)
        The TCEQ rule regarding endorsements (30 TAC § 50.45(c)) provides the General Counsel with
        five working days to provide a response. If the General Counsel has not responded within five
        working days, then the permit writer will contact the General Counsel’s office to request a
        response. Return to I.

        K. Place copy of response in working & original permit file
        The permit writer saves the e-mail containing the approval/denial notification of the endorsement
        proposal, and also makes three hard copies of the e-mail. One copy of the email (or other
        response) is placed in the original permit file and one copy is placed in the permit writer’s working
        file. The third copy is retained for future steps.

        L. Approved by PIC & GC?
        The General Counsel will either approve or deny the endorsement request. If the endorsement
        request is approved, the permit writer will move forward with the endorsement order, path P
        through N or W through Y. If the endorsement request is denied, the permit writer will proceed to
        M.

        M. Return docs & file to Central Records
        If the endorsement request is denied, the endorsement is not necessary, and the permit writer will
        make sure that all of the records related to the request, including the denial determination, are
        included in the original permit file. The permit writer will return the original permit file to Central
        Records. This is the end of the process for denied endorsement requests.

        N. Prepare endorsement order
        After receiving approval to proceed with an endorsement, the permit writer will draft an
        endorsement order. The template for this order is located in the same shell document mentioned
        in step C of this process. The permit writer sends the draft order to his or her team leader for final
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        approval.

        O. Draft letter to permittee
        The permit writer will finalize the letter that will go to the permittee, and this letter will be prepared
        for the signature of the Director of the Water Quality Division. The template for this letter is
        located in the same shell document mentioned in step C of this process. This letter may also be
        sent to the team leader for approval before the entire package is routed to the Division Director.
        When the letter is ready for signature, the permit writer will email the letter to the administrative
        staff to review the transmittal letter and print it on letterhead. It will then be added to the
        endorsement order and the other information to be routed to the Division Director.

        P. Route through management to Division Dir
        The permit writer submits the following information to his or her team leader, who routes the
        package to the Division Director, as well as through the Section Manager, if requested. The
        Endorsement package includes the following documents: copies of the IOMs to the General
        Counsel and the Public Interest Counsel (stamped “RECEIVED”); the revised permit pages and
        the attachments that were originally routed as part of the IOM package to the General Counsel’s
        office and the PIC’s office; a copy of approval notification received by the Water Quality Division;
        the letter to be signed by the Division Director (see step 6); and the endorsement order itself.

        Q. Division Dir signs endorsements and stamps issued date
        The team leader and section manager will review the package and then will give the package to
        the Customer Information & Assistance (CIA) team. The CIA team will place the package into a
        tracking folder and will give the package to the Water Quality Division Director’s Executive
        Assistant to process through the ED Sub-delegation procedures, similar to the procedures for
        approving an individual, uncontested permit. The Division Director signs the transmittal letter and
        the endorsement page.

        R Enter in Paradox (Edsub.db)
        After the Division Director signs the appropriate documents, he or she will return the package to
        the CIA team. The CIA team then records the signature date into a tracking database (Paradox
        Edsub.db) and then delivers the package to the Chief Clerk’s office

        S. File with CCO for mailing
        The CCO has the package at this time, and prepares the package for mailing.

        T. CCO enters in CID
        After receiving the package from the Water Quality Division, the CCO will enter the date of the
        endorsement into its database.


        U.      CCO mails order
        The CCO uses the appropriate mailing list to transmit the endorsed permit to the permittee and
        any other interested persons.

        V. CCO sends file to Central Records and copy of endorsement order to permit writer
        After the endorsement is mailed out to the permittee, the CCO completes its portion of the
        process by sending the original permit file, including a copy of all relevant documents, to Central
        Records. The CCO sends a copy of the final endorsement to the permit writer via interagency
        mail.

        W.      Changes to TRACS or ICIS?
        The permit writer, after receiving the final endorsement, must determine whether the changes to
        the permit require changes to the TRACS or PCS database. Likely reasons that would result in a
        change to one or both of these databases include an endorsement that corrected a numeric
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        effluent limit or an outfall number or location. If no changes are required, the process is
        considered completed. If changes are required, the permit writer must proceed with steps X and
        Y.

        X.     Route copy of endorsement to WQ Applications Team
        The permit writer routes a copy of the endorsement to the Water Quality Applications Team.

        Y. Enter changes in TRACS &/or ICIS
        The Water Quality Applications Team receives a copy of the endorsement, then makes the
        necessary changes to the TRACS and PCS databases as needed.




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1.9     Cancellation Application
        Cancellation applications are received throughout the year. A cancellation application is used by
        a permittee to a voluntarily request to cancellation their permit or authorization. A cancellation
        request can only be processed if there are no other applications pending. If an applicant submits
        a cancellation application during the processing of an individual permit application, the applicant
        is notified that they must request to withdraw their current application and allow the permit to
        expire, if the permit expiration date has past. The most common path used to process a
        cancellation application is A-R, U-Y. The next common path is A-Q, CC, DD, EE, R, U-Y or A-Q,
        CC, DD, EE, U-Y. If staff from Field Operations has concerns regarding a cancellation
        application, the path is A-Y or A-Q, CC, DD, GG, and then R-Y. There is only a small chance that
        an application will be withdrawn for failure to respond to the deficiencies as outlined in A–Q, CC-
        GG, Y or A-O, CCZ-GG, Y. If a domestic 210 authorization is connected to the permit, steps I and
        J are included in the path.

        A. Request for cancellation received
        A cancellation application is received from the permittee or their representative.

        B. Log receipt into Paradox (transfer-endorsement.db)
        The permittee’s name, permit number, date of receipt of the application, and various other
        information is logged into Paradox. The table name is transfer-endorsement.db.

        C. Request file from Central Records
        As applications are received, staff determines where the file is located. Approximately 98% of the
        time, the file is in Central Records. Files are requested from Central Records through the
        “Central Records File Request Form” online interface. A daily log of files requested from Central
        Records is maintained in Word.

        D. Retrieve files from Central Records
        At least three days a week, Water Quality Applications Team staff retrieves files from Central
        Records.

        E. Run report from Paradox
        Once a week, a report is run from Paradox. All requests received the previous week or those not
        yet assigned will be assigned.

        F. Assign to staff
        Cancellation requests are assigned to staff on a monthly basis unless the number of cancellation
        requests received dictates that it occurs more or less frequently.

        G. Log staff assignment into Paradox (transfer-endorsement.db)
        The staff member assigned to process the cancellation application enters their name in Paradox,
        transfer-endorsement.db.

        H. Review application
        The reviewer ensures the permit number corresponds to the correct permittee. They will check
        for outstanding fees, ensure the signature is an original, ensure the correct individual signed the
        application, and an adequate reason for canceling the permit is provided. An adequate reason
        for canceling the permit is the facility has been closed or the flow has been diverted to another
        facility.

        I. Domestic 210 Authorization?
        The reviewer will determine whether a Domestic 210 authorization is associated with the permit
        by noting the answer to the question regarding 210 authorization. If a Domestic 210 authorization
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        is associated with the permit, continue with J. Otherwise, continue with L.

        J. Retrieve 210 file from file cabinet

        K. Send notification of cancellation e-mail to TCEQ staff and EPA
        The e-mail contains the permit number, EPA identification number, permit type, permittee name,
        region, county, and comments, if applicable. The e-mail gives two weeks from the date the e-mail
        was sent for staff to comment. The e-mail is sent to the program manager, enforcement, Water
        Quality Compliance Monitoring Team, Environmental Law, field operations, team leaders of the
        teams permitting the site, revenues, Water Quality Assessment Team, CCO, and EPA Region IV
        for comments. This allows staff at TCEQ to inform the Water Quality Applications Team with
        written comments if there is any reason not to cancel the permit.

        L. Is there a deficiency?
        Staff must decide whether the application is administratively complete. If there is a deficiency in
        the application, continue with M. If there are no administrative problems with the application,
        continue with R.

        M. Prepare and send NOD
        The reviewer prepares a letter identifying the deficiencies in the application and the letter is
        mailed to the applicant.

        N. Update Paradox (transfer-endorsement.db)
        The reviewer enters the date the letter is mailed to the application into Paradox, transfer-
        endorsement.db.

        O. Is response received?
        The reviewer will keep track of when a response is due. If no response is received within the
        required time frame, the reviewer may process the application as if an incomplete response was
        received. If a response is received, continue with P. If no response is received, continue with Z.

        P. Review response
        The reviewer will review the response to ensure all deficiencies have been addressed.

        Q. Is response complete?
        The reviewer will determine whether the application is now administratively complete. If the
        application is now complete, continue with R. Otherwise, continue with Z.

        R. Comments received?
        Two weeks after the e-mail was sent, the reviewer will note whether or not comments were
        received on any of the cancellations identified in the e-mail. If comments were received, continue
        with S. If no comments were received, continue with U.

        S. Mail response letter
        If comments are received, the reviewer prepares and mails a letter to the applicant identifying the
        commenter and their phone number. The letter will instruct the applicant to contact the
        commenter regarding their cancellation request.

        T. Okay to continue?
        Each month the cancellation requests on “hold” are added to the e-mail sent to the commenters
        requesting an update on the status of the “hold.” The cancellation application remains on hold
        until approval from the commenter is received. If approval from the commenter is received,
        continue with U. Otherwise, return to step S.

        U. Prepare order and cover letter
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        Staff prepares the cancellation order and the cover letter for the permit, and if applicable,
        to the 210 authorization. All documents are peer reviewed.

        V. Mail order(s) and letter(s)
        Staff sends a copy of the cancellation order and the original cover letter for both the permit and
        210 authorization by first class mail to the permittee using the last address on file with a copy of
        all documents sent to the Region office, QC Manager, and person who updates Homeland
        Security DB. The original order and copy of the letter are placed in the appropriate file. Staff
        stamps cancelled on the current permit and file. The 210 authorization will be marked with a star
        on the label.

        W. Update Paradox, TRACS, and ICIS
        The permit is cancelled in TRACS and a note is placed in the comments indicating the permit was
        cancelled. The permit is placed inactive in ICIS, the date the permit was cancelled is entered in
        the Paradox table, transfer-endorsement.db and the record is closed out. The status of the
        permit (cancelled) and the date the permit was cancelled are entered in the appropriate Paradox
        table. For the CAFO permits and registrations, the Paradox table is Agpermit.db and for the
        remaining water quality permits, the Paradox table is WQPermits.db. If applicable, the 210
        reuse.db will be updated to reflect the authorization has been cancelled.

        X. Error in ICIS
        When entering the permit cancellation date in ICIS, the system may not accept the date. An error
        is displayed if a conflict with DMR dates exists. If an error is displayed, enforcement is notified to
        update ICIS. If no error is given, proceed to next step.

        Y. Enforcement Updates ICIS
        Enforcement staff responsible for managing DMR data in ICIS makes the necessary updates that
        will allow cancellation of the permit.

        Z. ARP Team Cancels the permit in ICIS
        The ARP team proceeds with cancellation of the permit in ICIS.

        AA. Remove permit from WQ Applications Team working file
        The copy of the permit maintained in the Water Quality Applications Team working files is
        retrieved and put in the recycle bin.

        BB. Return file to Central Records and 210 file to file cabinet.
        Return the file to Central Records and the 210 file to the file cabinet. The Cancellation
        Application process ends here.

        CC . Follow-up with phone call or letter
        If a response is not received and a good phone number can be found, the reviewer will call the
        applicant to find out the status of the response. If a good phone number cannot be located, a
        letter will be sent stating the cancellation application will not be processed until a response is
        received.

        DD. Update Paradox
        Staff places a comment in the Paradox table, transfer-endorsement.db, regarding when the call
        was made or letter was sent.

        EE. Is response complete?
        The reviewer will determine whether the application is now administratively complete. If the
        application is now administratively complete, continue with R. Otherwise, continue with CC.

        FF. Notify applicant that process has been terminated
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        If the applicant has not addressed all the deficiencies or has not responded, the reviewer will
        prepare and mail a letter notifying the applicant that the permit has not been cancelled. The letter
        is reviewed by the Team Leader.

        GG. Update status in Paradox (transfer-endorsement.db)
        The reviewer will update the Paradox table, transfer-endorsement.db, to show the date the last
        letter (described in X) was mailed, place a comment that the application was withdrawn because
        the applicant failed to address the deficiencies, and historicalize the record. Continue with step
        Y.




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    1.10 Process to Withdraw an Application
            A. Request to withdraw application
            Receive request to withdraw application.

            B. File in CCO?
            Is file in CCO? If yes, continue with C. If not, go to D.

            C. Remand from CCO
            Go to Remand from CCO Process, and then continue with D.

            D. Will withdrawal cancel the permit?
            Staff determines if withdrawing application will cancel permit.

            E. Prepare letter of acknowledgement
            Prepare letter acknowledging request to withdraw application and if appropriate cancel permit.

            F. Mail letter to applicant and send copy of letter to staff, region, and central records file
            Mail letter to applicant and staff.

            G. Give copy of the letters (from applicant and staff) along with file to Applications Review and
            Processing Team.

            H. Enter information into database
            Information will be entered in TRACS, Paradox, PCS.

            I. Return to Central Records
            File and application is returned to Central Records.




2   General Permit Process
            A general permit is written to regulate a specific industry type.

            A. General Permit Development Process
            The need for a general permit to regulate a specific industry type may be identified resulting in the
            development of a new general permit. The general permits have a term of five years. An
            amendment and/or renewed can be initiated before the permit expires, which may require
            renewal of an active authorization under a general permit.

            B. General Permit Authorization Process
            An entity that qualifies for coverage under a general permit may be required to submit a Notice of
            Intent (or other form of application) to TCEQ or to prepare and retain certain information at the
            regulated site.

            C. GP Billing
            The active authorizations under a general permit may be subject to the water quality annual fee
            assessed September 1 of each year. The annual fee amount is specified in each general permit
            or in 30 TAC Chapter 205 (“General Permits for Waste Discharges”).

            D. Billing Address/Name Change Request
            A billing account is established for each authorization subject to billing. The general permits
            require the operator to notify the program when a change in billing information occurs.
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        E. Bankruptcy Notification
        The bankruptcy coordinator notifies agency staff when fees owed by an entity cannot be collected
        due to bankruptcy case, which can result in placing a hold on a billing account and/or initiating an
        adjustment for the amount owed.

        F. Dispute Request
        A dispute request received for the water quality annual fee assessed to an operator holding an
        authorization under a general permit. The dispute may result in the adjustment of the operators
        account.

        G. Undeliverable Statements
        The billing statement returned as undeliverable by the U.S. Postal Service are processed to
        determine if a billing address change or a hold on an account is needed.

        H. Fees paid and Termination completed?
        If an NOT has been submitted and the permittee does not have a balance on their water quality
        account the process is complete. If an NOT has not been submitted and/or a balance is owed on
        their water quality account the process continues.

        I. MSGP Bench Mark Reporting
        The bench mark reporting required under the Multi Sector General Permit may be required to be
        submitted to the program in March of the first few years of operation.

        J. Change in Monitoring Requirements
        A general permit may allow a permittee to request a reduction in monitoring frequency after
        establishing compliance within a specific period.

        K. Notice of Change
        The general permits require the operator and/or owner to submit notice of change when
        information provided on the original Notice of Intent form changes.

        L. NOT submitted?
        If a Notice of Termination is submitted proceed to step M. If a Notice of Termination has not been
        submitted the process continues back to step A, through the renewal process. The authorization
        may result in expiration if coverage is not continued through the submittal of a new Notice of
        Intent.

        M. Notice of Termination
        The general permits require the operator and/or owner to submit notice of termination when
        coverage is no longer needed or required.

        N. Renew or Amend GP
        The general permit term is 5 years and renewal must be initiated 90 days prior to the renewal for
        current authorizations to remain active beyond the expiration if the permit renewal is not issued
        before the expiration date. The general permit may also be amended as needed and it may or
        may not include renewal of the term. The general permit will specify if current authorizations
        holders must submit a new NOI to continue their authorization. If the general permit is not
        renewed, the general permit process ends. All authorizations under a general permit will expire
        on the general permit expiration date.




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2.1     General Permit Development Process
        A general permit (GP) is written to regulate a specific industry type. The need for a general
        permit to regulate a specific industry type may be identified resulting in the development of a new
        general permit. The general permits have a term of five years. An amendment and/or renewal
        can be initiated before the permit expires, which may require renewal of an active authorization
        under a general permit.

        General permits may be developed for situations where a number of different dischargers are
        engaged in the same or similar types of operations, discharge the same types of waste, are
        subject to the same effluent limitations or operating conditions, and are subject to the same or
        similar monitoring requirements.

        A. Identify the need for GP
        The need for a new GP or amendment of an existing GP may be determined by rule making,
        TCEQ management, request from a specific industry, federal guidelines or a recommendation by
        staff. The need for a renewal of an existing GP will be based on the expiration date of the
        existing permit and whether or not the agency intends to continue the GP.

        B. Assign permit writer
        The team leader assigns the new, renewal or amendment of the GP to a permit writer.

        C. New or renewal/amendment?
        If the GP is new, go to H; if the GP is a renewal or amendment, continue with D.

        D. Update stakeholder list, if needed
        The permit writer will work with the Customer Information Assistance (CIA) team to review the
        current stakeholder list and update names and contact information if stakeholder involvement is
        expected during the GP development process.

        E. Generate renewal letter, if needed
        Generate a letter in BOE XI to all active authorization holders notifying them that the agency
        intends to renew or amend the current GP. Water Quality Division (WQD) management will
        determine the need for this letter to be generated.

        F. Mail renewal letter to active authorization holders and copy to file
        Mail the letter to active authorization holders and send a copy of each letter to the central records
        file for each permit authorization.

        G. Update ARTS
        Update ARTS to reflect the date the letter was sent; then proceed to P via interconnect-A.

        H. Prepare memo requesting development of the GP
        The permit writer prepares a memo for the section manager which discusses the need for the GP
        and a request to begin working on the GP.

        I. Route memo to Section Manager
        The memo requesting development of the GP is sent through the permit writer’s team leader and
        then forwarded to the section manager for approval or denial.

        J. Brief management of the proposed GP
        An executive summary which discusses the need for the proposed GP is prepared by the permit
        writer and reviewed by the team leader and the section manager. Briefings are offered to the
        division director, deputy director, executive director and the commissioners. All briefings are
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        scheduled through the WQD rules liaison. The division director will be briefed by the team leader
        and/or the permit writer. The deputy director, ED, and the commissioners will be briefed by the
        division director or the special assistant of the division director along with the appropriate staff
        member(s).

        K. Approval to proceed with development?
        Approval or denial is given by the division director, deputy director, executive director and the
        commissioners. If approved, continue to L; if not, go to the end via interconnect- H.

        L. Obtain Permit # from EPA if TPDES or create numbering sequence
        If this is a TPDES GP, then the permit writer will determine the permit number to be used for the
        GP. The permit writer may use an existing list from the EPA if the permit authorizes a waste to
        be included on the list. For GPs that authorize a direct discharge into surface water, the permit
        number will begin with “TXG” for wastewater or “TXR” for storm water, and for GPs authorizing
        only land application of wastewater, the permit number will begin with “WQG.” There may be
        some exceptions to this practice if the land application is regulated under the TPDES program,
        such as in the CAFO program. If the recommended permit number is not included on the list, the
        permit writer will develop a unique number for the new GP.

        The permit writer will contact the EPA to request approval of the chosen permit number.
        Approval may be granted by email or other means.

        M. Request Creation of Records Series with Central Records
        Contact the Records Series Reviewer for the WQD to coordinate with the Central File Room to
        create a new file series. Complete Form RMD103, obtained from the Central File Room, to
        provide necessary information to create the new file series.

        N. Develop stakeholder list, if needed
        The permit writer will work with the Customer Information Assistance (CIA) team to develop a list
        of affected persons who may be considered stakeholders in the permit development process.
        Stakeholders include individuals, governmental entities, industries, environmental groups, etc.

        O. Update web page of decision to develop GP, if needed
        Permit writer composes the information for the web site update and passes the information to the
        appropriate administrative staff person, who will update the web page. Proceed to P via
        interconnect-A.

        P. Prepare time line & GP outline
        A specific time line including conception to issuance will be prepared by the permit writer.

        Q. Stakeholder process required?
        If there is significant public interest, WQD management may make the decision to hold a
        stakeholder meeting.       If WQD management decides to hold a stakeholder meeting, go to R. If
        not, go to W.

        R. Schedule stakeholder meeting
        The permit writer determines a date for the stakeholder meeting based on staff availability, the
        time line, and meeting room availability. Once meeting room and date are set, the permit writer
        and WQD management discuss agenda and goals of the upcoming stakeholder meeting. A
        meeting agenda is prepared and invitation letters are prepared for stakeholders.

        S. Mail out or email notice of meeting to stakeholders
        Invitation letters are sent to the CIA team to prepare for mail out no less than two weeks before
        the meeting date. Outreach staff are notified of the meeting date, time and location.

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        T. Update web page of meeting
        Notice of the meeting is posted to the web. If it is a new stakeholder group, a new site must be
        set up through Agency Communications net edit staff. The meeting agenda is posted as soon as
        it is available.

        U. Hold stakeholder meeting
        Outreach staff prepares sign-in sheets, meeting handouts, and agenda packets for stakeholders.
        Outreach staff will set up the conference room, handle registration of the meeting and reserve
        audio/visual that is needed. Outreach staff will take notes to prepare summary of the meeting.
        Summary is completed within two weeks of the meeting and posted on the web with the list of
        meeting attendees.

        V. Additional stakeholder meeting required?
        WQD Management will decide if an additional stakeholder meeting is needed. If no, go to W, if
        yes, return to R.

        W. Develop draft permit and fact sheet
        Permit writer prepares the draft permit and fact sheet.

        X. Route draft to WQ Assessments for review
        The permit writer routes the draft GP to the WQ Assessment Section for review of language that
        is applicable to water quality.

        Y. Complete WQ Assessments review
        WQ Assessment staff evaluates the potential water quality impacts of discharges under the draft
        permit. The WQ Assessment Section sends any recommended permit conditions that are
        needed to ensure that the GP protects water quality standards to the permit writer.

        Z. WQ Assessment comments?
        If yes, go to AA, if no, BB.

        AA. Permit writer makes changes to draft
        Changes may be made to the draft permit based on the recommendations of the WQ
        Assessments review.

        BB. Permit writer routes to team leader for review
        The permit and fact sheet are routed to the team leader for review. The team leader will review
        the permit and fact sheet for both technical and general content.

        CC. Team leader comments?
        If no go to EE, if yes go to DD.

        DD. Permit writer makes changes to draft
        Changes, based on the team leader’s review, are made to the permit and fact sheet.

        EE. Permit writer routes to Legal and other internal divisions for review
        The permit is sent by email to the assigned staff attorney, field operations support division,
        administrative review and processing team, and any other internal divisions for review.

        FF. Comments?
        If no comments, go to HH. If there are comments, go to GG.

        GG. Permit writer makes changes to draft
        The permit writer will discuss comments with the team leader and make revisions to the permit
        and fact sheet based on team leaders input. After revisions have been made, go to HH.
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        HH. Permit writer routes to Section Manager for review

        II. Comments?
        If there are comments, go to GG. If no comments, go to JJ (via inter-connect Q).

        JJ. Brief TCEQ Management
        Permit writer prepares a concept memo and routes the concept memo, draft permit, and fact
        sheet to the WQD rules liaison. Briefings are offered to the division director, deputy director,
        executive director and the commissioners. All briefings are scheduled through the WQD rules
        liaison. The division director will be briefed by the team leader and/or the permit writer. The
        deputy director, ED, and the commissioners will be briefed by the division director or the special
        assistant of the division director along with the appropriate staff member(s).

        KK. Comments?
        If there are comments, go to LL. If no comments, go to MM.

        LL. Permit writer makes changes to draft
        The permit writer will make revisions to the briefing paper, permit and/or fact sheet. Return to JJ
        as often as needed. After revisions have been made and no further comments are received, go
        to MM.

        MM. Significant public interest?
        If there is significant public interest, or if directed by WQD management, a public meeting is held,
        go to OO. If there is no significant public interest, proceed to NN.

        NN. Draft notice without public meeting
        The permit writer will draft the notice of intent and preliminary decision and route it to the
        assigned staff attorney for review. The notice will not include a public meeting, but will instruct
        the public that they may request a public meeting. Proceed to VV via inter-connect C.

        OO. Draft notice with public meeting
        The permit writer will coordinate with the Office of Public Assistance to identify a date, time and
        location for a public meeting. The permit writer will draft the notice of intent and preliminary
        decision and route it to the assigned staff attorney for review. The notice will include the date,
        time and location of the public meeting.

        PP. Make draft permit available to stakeholders for review
        The permit writer drafts a letter notifying stakeholders that the draft permit will be made available
        on the web for review and comment. The letter will identify a deadline for submitting comments.
        Letters are sent to the CIA team to prepare for mail out no less than two weeks before the draft is
        posted on the web. The draft permit is posted on the web until the end of the comment period
        identified in the letter.

        QQ. Stakeholder comments received?
        If there are any stakeholder comments, go to RR; otherwise, go to VV via inter-connect C.

        RR. Review stakeholder comments and make changes as needed
        The permit writer will discuss comments received with WQD management and make changes to
        the draft permit based on WQD management input.

        SS. Brief TCEQ Management
        Permit writer updates the concept memo to include revisions made in response to stakeholder
        comments and routes the concept memo, draft permit, and fact sheet to the WQD rules liaison.
        Briefings are offered to the division director, deputy director, executive director and the
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        commissioners. All briefings are scheduled through the WQD rules liaison. The division director
        will be briefed by the team leader and/or the permit writer. The deputy director, ED, and the
        commissioners will be briefed by the division director or the special assistant of the division
        director along with the appropriate staff member(s).

        TT. Comments?
        If there are comments, go to UU. If no comments, go to VV via inter-connect C.

        UU. Permit writer makes changes to draft
        The permit writer will make revisions to the concept memo, permit and/or fact sheet. Return to
        SS as often as needed. After revisions have been made and no further comments are received,
        go to VV via inter-connect C.

        VV. EPA review required?
        If EPA review is required continue with XX, if not, the draft permit will follow paths FFF and QQQ
        simultaneously via inter-connect D.

        XX. Send draft permit package to EPA for review
        A copy of the permit draft and fact sheet are mailed to the EPA via certified mail. The date EPA
        received the package is entered into Paradox based on the date of the certification card. The
        certification card is attached to the EPA letter and the original letter is sent to Central Records.

        YY. EPA approval?
        If the EPA approves the permit, a letter of approval or letter with changes and/or
        recommendations is sent to the WWP section manager, continue with ZZ. If the permit is not
        approved, return to SS via inter-connect E.

        ZZ. EPA requires significant changes?
        If the EPA requires significant changes, go to AAA. If no changes or no significant changes are
        required, continue to BBB.

        AAA. Permit writer makes changes to draft
        The permit writer will discuss EPA requested changes with WQD management and make
        changes to the draft permit based on WQD management input.

        BBB. Permit writer drafts proposal memo
        The permit writer will draft the proposal memo, which requests authorization to initiate public
        participation (publish notice).

        CCC. Brief TCEQ Management
        Permit writer routes the proposal memo, draft permit, and fact sheet to the WQD rules liaison.
        Briefings are offered to the division director, deputy director, executive director and the
        commissioners. All briefings are scheduled through the WQD rules liaison. The division director
        will be briefed by the team leader and/or the permit writer. The deputy director, ED, and the
        commissioners will be briefed by the division director or the special assistant of the division
        director along with the appropriate staff member(s).

        DDD. Comments?
        If there are comments, go to EEE. If no comments, the draft permit will follow paths FFF and
        QQQ simultaneously via inter-connect D.

        EEE. Permit writer makes changes to draft
        The permit writer will make revisions to the concept memo, permit and/or fact sheet. Return to
        CCC as often as needed. After revisions have been made and no further comments are
        received, the draft permit will follow paths FFF and QQQ simultaneously via inter-connect D.
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        FFF. Get newspaper bids
        The public notice must be published in at least one newspaper with statewide circulation. WQD
        management may request that the notice be published in additional newspapers. The permit
        writer will coordinate with the WQD purchaser to solicit bids from the newspaper(s).

        GGG. File draft permit package with CCO
        The CIA staff fills out the proper memo, including instructions on which newspapers will be used
        to publish the notice and publication payment information. They will also make copies of the
        notice, fact sheet, and draft permit for the Chief Clerk’s Office. The date that the permit is filed
        with CCO is entered into TRACS and Paradox.

        HHH. CCO and Texas Register Team has the notice published in newspaper(s) and Texas
        Register
        CCO staff provides the notice to the newspaper(s) and the Texas Register for publication.

        III. CCO provides permit writer with the date notice was published
        CCO staff provides the permit writer the dates of publication for the newspaper(s) and Texas
        Register.

        JJJ. Public comments received?
        If no, proceed to WWW via inter-connect F; if yes, proceed to KKK.

        KKK. Public meeting requested?
        If there is a public meeting requested, go to LLL; otherwise proceed to NNN.

        LLL. Legal/OPA schedule public meeting
        The public meeting time and place is scheduled by the legal/OPA staff. Legal and OPA will
        coordinate with permitting staff regarding the public meeting schedule.

        MMM. Hold public meeting
        The permit writer along with legal/OPA will conduct and attend the public meeting. Attendees are
        allowed to provide both oral or written comment. The meeting is taped and transcripts or
        comments are provided to the permit writer and other TCEQ staff.

        NNN. Permit writer drafts response to comments
        The permit writer will draft responses to the comments and forward them to legal.

        OOO. Legal reviews response to comments
        Legal will review the response to comments, possibly meet with the permit writer, and
        prepare the public comments for filing with the CCO.

        PPP. Permit writer makes changes to draft permit if needed
        The permit writer will make changes to the draft permit identified in the response to comments
        document.

        QQQ. (Via interconnect-D) Update/develop application forms
        The NOI, NOT, and NOC forms are drafted by staff per the requirements of the permit.

        RRR. Request development/update of application & DB for tracking, reports, and billing
        A request is made for the development/update of the application and DB (database) for tracking,
        reporting, and billing.

        SSS. Continue coordination with FOPs
        Copies of the draft is sent to the FOP to assist with site inspection and other field duties.
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        TTT. Request fee codes from revenue
        An email is sent to Revenue for a fee code to be entered in the database.

        UUU. Develop authorization processing procedures
        Processing procedures are developed based on the NOI and other forms created for this GP.
        Handouts are created for training and data entry.

        VVV. Train staff to process authorizations
        Management, including the support staff manager, will make a decision on who will process the
        NOIs, NOTs, NOCs, and other forms or requests. The staff chosen will be trained on how to
        enter the data in the database and determine if the forms are completed correctly. Go to WWW
        via interconnect-F.

        WWW. Permit writer draft adoption memo and schedules commission agenda
        The permit writer drafts the adoption memo, identifying changes made in response to comments,
        and coordinates with the WQD rules liaison to schedule a commission agenda date for adoption.

        XXX. Brief TCEQ Management
        Permit writer routes the adoption memo, response to comments document, draft permit, and fact
        sheet to the WQD rules liaison. Briefings are offered to the division director, deputy director,
        executive director and the commissioners. All briefings are scheduled through the WQD rules
        liaison. The division director will be briefed by the team leader and/or the permit writer. The
        deputy director, ED, and the commissioners will be briefed by the division director or the special
        assistant of the division director along with the appropriate staff member(s).

        YYY. Comments?
        If there are comments, go to ZZZ. If no comments, go to AAAA.

        ZZZ. Permit writer makes changes to draft
        The permit writer will make revisions to the response to comments document, permit and/or fact
        sheet. Return to XXX as often as needed. After revisions have been made and no further
        comments are received, proceed to AAAA.

        AAAA. Legal files RTC and Permit writer files draft permit changes with CCO
        Legal (staff attorney) will file the response to comments with the CCO and draft the resolution.
        The permit writer will file the change to the draft permit with the CCO. A memo to the CCO will
        need to accompany the permit for changes to be made.

        BBBB. Prepare agenda backup material
        The permit writer puts together the agenda back up package which includes the draft permit, fact
        sheet, resolution, and RTC. The agenda back up is routed through the team leader, section
        manager, and legal for review. The permit writer will provide the agenda back up package to the
        admin support staff.

        CCCC. File agenda backup with CCO
        Admin support staff files the agenda back up package and 11 copies of the backup package with
        the CCO. Copies are made for the permit writer, team leader, and the section manager. A copy
        of the letter indicating the agenda date is sent to the division director.

        DDDD. Formal approval at Commissioner’s agenda
        The permit writer and team leader along with the section manager and staff attorney will attend
        the agenda to respond to any questions or comments that the commissioners may have.

        EEEE. Legal/Program makes final changes to permit
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        If any changes need to be made based on comments at the agenda, legal and programming staff
        will work together to make the changes before it is issued.

        FFFF. Post general permit and RTC on web
        The permit writer will provide a copy of the RTC, issued permit and fact sheet and new/updated
        application forms to the admin support staff to be posted on the web.

        GGGG. New or renewal/amendment?
        If the permit is a renewal/amendment go to JJJJ. If the GP is a new permit, HHHH.

        HHHH. On GP effective date implement application forms, DB changes, reports and billing
        On GP effective date implement application forms, database changes, reports and billing.

        IIII. General Permit Authorization Process
        Follow the General Permit Authorization Process, then proceed to end via inter-connect H.

        JJJJ. NOI Renewal Required?
        If you go to KKKK; if no, go to HHHH.

        KKKK. Generate Notice of Intent to Renew letter
        A letter is generated by the permit writer to notify active authorization holders that the permit has
        been renewed/amended along with instructions on how to renew their authorization and the
        deadline to submit a renewal NOI.

        LLLL. Mail Renewal Notification letter with NOI to active authorization holders and copy to file

        MMMM. Update authorizations in ARTS
        Updates are entered into the ARTS database.

        NNNN. Application pending under old GP?
        If there are pending applications submitted prior to the effective date of the renewed/amended
        GP, go to OOOO; otherwise go to PPPP.

        OOOO. Complete processing of forms under old GP
        Complete processing of any pending applications submitted prior to the effective date of the
        renewed/amended GP.

        PPPP. On GP effective date implement application forms, DB changes, reports and billing
        On GP effective date implement application forms, database changes, reports and billing.

        QQQQ. General Permit Authorization Process
        Follow the General Permit Authorization Process, then proceed to RRRR via inter-connect G.

        RRRR. Confirm all NOIs and NOTs received by renewal deadline have been processed

        SSSS. Generate expiration procedure to identify expired permits
        Generate expiration procedure to identify authorization holders that failed to submit a NOI or NOT
        by the renewal deadline.

        TTTT. Generate expiration notification letter in BOE XI report

        UUUU. Update authorizations in ARTS
        Update ARTS to reflect authorizations that expired.

        VVVV. Mail expiration notification letter to customer and copy to file
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        Mail expiration notification letter to authorization holder that failed to submit a NOI or NOT by the
        renewal deadline. Put a copy of the letter in each Central records file.

        WWWW. Update required in ICIS?
        If no, the process ends; if yes, go to XXXX.

        XXXX. Forward copy of expiration notification letter to WQ Applications Team
        The WQ Applications Team is notified of the expired authorization.

        YYYY. Update authorizations in ICIS
        The ICIS database is updated to show expiration, and the process ends.




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      2.1.1.1 General Permit Authorization
              (Initial, Renewal, Significant Expansion, Notice of Change, Termination)


      2.1.1.2 GP Authorization Process
        The Storm Water and Wastewater General Permits are issued to regulate specific industry types.
        The general permits require some of the entities that qualify for coverage to submit a Notice of
        Intent, No Exposure Certification or a Waiver form (Application) for coverage.

        Most of the general permits provide provisionsal coverage within ‘X’ number of days from the
        submit date (the submit is the date mailed to TCEQ). The number of days is specified in the
        general permit. The applications are reviewed for administrative completeness. Once the
        application is complete, a certificate is issued acknowledging coverage on the ‘effective’ date.
        These will follow paths A-H, DD, QQ, Z, and BBB-GGG.

        The MS4 NOI, Aquaculture Production NOI, and Cafo NOI and Significant Expansion require
        approval by the ED before coverage begins. A certificate is issued indicating the ‘effective’ date
        as the date the ED approved coverage. The MS4 and CAFO applications include the paths for
        technical review and public participation through Q-R, and VVV-WWWWW, in additional to the
        administrative review processes in A-H. The Aquaculture Production NOI requires approval after
        but it follows the paths as those with provisional coverage: A-H, DD, QQ, Z. It then continues
        with LLL – PPP before it continues with BBB-GGG.

        Some of the processes include automated letter generation while others do not.
        A. Receive application
        Most applications are received through the mail. For Construction MSGP and CAFO general
        permits, some application types can be submitted electronically through the TCEQ’s ePermitting
        online application forms For MSGP, the NOI and NEC (new and renewal) applications are in
        epermits. For Contstruction, the NOI (new and renewal) are in epermits. For CAFO, the NOI for
        existing facilities that are currently coveraged under the gp is in epermits.
        B. Assign application to a reviewer
        The application is assigned to staff that performs the administrative review.

        C. Complete admin review checklist and create file folder
        A checklist specific to each application form is used to determine if an application is considered
        administratively complete. A file folder is also created.

        D. Quarry GP NOI?
        If the application is for coverage under the Quarry GP, the application copy is routed for financial
        assurance review.

        E. Route copies of NOI to Financial Adminstration

        F. Financial Assuranc review is performed
        G. Initial entry in ARTS
        The application is entered in the ARTS database. A permit number is assigned to the
        authorization at this time. Most permit numbers are assigned using an automated system in the
        database. A few wastewater general permit authorization numbers are assigned and maintained
        manually in a log book (until they can be automated).

        H. Poor performer?
        The combination of the Operator name and site are researched central registry to determine the
        compliance rating. If the compliance rating is poor, proceed to step I. If the compliance rating is
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        other than poor, proceed to step DD.

        I. CAFO, MS4, or Quarry?


        J. Prepare poor performer denial determination memo
        A memo is prepared requesting a review to consider denial of the authorization based on the
        compliance history rating of Poor.
        K. Update status in ARTS
        ARTS is updated to show that the permit file is being transferred to the technical staff to process
        the denial request.

        L. Route permit file to technical staff
        The permit file is sent to the technical staff handling the specific type of general permit
        authorizations.

        M. Update status in ARTS
        The technical staff updates ARTS to show that they received the permit file and to enter the
        technical staff assigned.

        N. Technical staff review request to proceed with denial
        The technical staff reviews the compliance history information to determine if the authorization
        should be denied.

        O. GP auth denied or approved?
        If the technical staff decide to deny the GP authorization, continue with step P. If the technical
        staff decides to continue with the approval process, continue with step CC.

        P. Technical staff prepares denial letter
        Technical staff prepreres a denial letter specifying the reason for denia and provides alternative to
        obtaining coverage under the general permit. If the facility is in operation a compliance date for
        submitting additional information may be provided.

        Q. Route denial letter to team leader for review
        Team leader reviews the response to determine adequate authority and supporting
        documentation exists to deny coverage.

        R Revisions needed?
        If revisions are needed the process continues at step P. If no revisions are needed the process
        continues at step S.

        S. Route denial letter to Section Manager for review and signature
        Section Manager reviews the response to determine adequate authority and supporting
        documentation exists to deny coverage.

        T. Revisions needed?
        If revisions are needed the process continues at step P. If no revisions are needed the process
        continues at step U.


        U. CIA Team mails letter & copies technical staff
        The CIA Team mails the original letter and makes copies for technical staff.

        V. ARP Team updates status in ARTS
        The Applications Review and Processing Team updates ARTS to reflect coverage was denied. If
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        the application denied is for a new or renewal permit, the application and permit record is end
        dated on the date of the letter and status is changed to Denied. If the application is a CAFO
        Significant expansion, the permit is not affected by the denial of the application. Only the
        proposed changes to the authorization are denied. The permit remains active since this
        application type is not a continuance of the current authorization.

        W. Send file to Central Records
        A copy of the letter is placed with the application in the permit file and it is returned to the central
        file room.

        X. Prepare poor performer denial letter
        The ARP Team prepares the denial letter for division directors signature.

        Y. Route letter for division Director’s signature
        Division Director signes the denial letter.

        Z. Signed letter is mailed by CIA Team
        The CIA Team mailes the denial letter and gives a copy to reviewer.

        AA. Update ARTS
        The Applications Review and Processing Team updates ARTS to reflect coverage was denied. If
        the application denied is for a new or renewal permit, the application and permit record is end
        dated on the date of the letter and status is changed to Denied. If the application is a CAFO
        Significant expansion, the permit is not affected by the denial of the application. Only the
        proposed changes to the authorization are denied. The permit remains active since this
        application type is not a continuance of the current authorization.

        BB. Send file to Central Records
        A copy of the letter is placed with the application in the permit file and it is returned to the central
        file room.

        CC. Route file back to admin reviewer to continue processing
        Route file back to admin reviewer to continue processing and continue with step DD.


        DD. Is application administratively complete?
        The checklist is used to determine if the application is administrative complete. If the application
        is administrative complete, proceed to step SS. If it is not, continue with step G.

        EE. NOD letter or other (call/fax/email)?
        If the program and permit is set up to use system generated NOD letters, proceed to step I. If it is
        not, proceed to step H.

        F. Contact applicant for additional information
        The applicant is called to obtain the information missing in the application. Most deficient items
        can be resolved by phone. The phone call is documented on a TCEQ Telephone memo to the
        file and placed in the permit file. If an original signature is required, the information must be
        mailed in to the program. Continue with step L.

        GG. Generate the NOD letter crystal report
        The NOD letter for the specific general permit authorization type is generated through a crystal
        report and printed, or composed.

        HH. Prepare and mail letter
        The NOD letter is prepared for mailing. The letter must be sent certified mail and gives a due date
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        of 30 days from the date of the letter.

        II. Run the NOD letter update in ARTS
        The update procedure for the specific general permit authorization type, NOD letter is run from
        ARTS to update the permit records showing the letter was mailed. ARTS may also be manually
        updated.

        JJ. Is response received?
        If the response is received, proceed to step K. If it has not been received, proceed to step PP.

        KK. Financial Assurance Response required?
        If a response to financial assurance deficiencies is included, the process continues with step MM.
        If no response is expected, the process continues with step OO.

        LL. Route copies of NOI to Financial Administration
        A copy of the response is routed to Financial Administration.

        MM. Financial Assurance Review is Performed
        Financial Administration reviews the response to determine if it is acceptable.

        NN. Financial Assurance Approved?
        If financial assurance is not approve the process continues at step FF. If it is approved it
        continues at step OO.

        OO. Is response complete?
        If the response is complete, proceed to step D. If the response is not complete, proceed to step
        PP.

        PP. Send another NOD letter?
        If another NOD letter is to be sent, return to step E. If not, proceed to step QQ.




        .

        QQ. Is application complete?
        If the application complete enough to proceed with processing, the process continues with step
        ZZ.

        RR. Final call to applicant to resolve deficiencies
        The applicant is called to resolve deficiencies. The phone call is documented on a TCEQ
        Telephone memo to the file.

        SS. Is response received?
        If the response is received, proceed with step TT. If the response is not received, proceed with
        step UU.

        TT. Update NOD status in ARTS
        The status of the pending NOD is updated in ARTS to show received.
        UU. Update ARTS for coverage denial
        The ARTS database is updated for to generate an administrative denial letter. This administrative
        denial letter is only used when the applicant fails to respond to a notice of deficiency letter. If the
        general permit provides provisional coverage based on the postmarked date then the provisional
        coverage ends on the date of the denial letter.
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        VV. Generate/compose Denial letter crystal report
        The administrative denial letter is generated through a crystal report and printed.

        WW. Prepare and mail administrative denial letter
        The administrative denial letter is prepared and mailed to the applicant.

        XX. Run Denial letter update in ARTS or manually update ARTS
        The automated update procedure for an administrative denial letter is run in ARTS for the specific
        general permit authorization type or ARTS is updated manually.

        YY. Send permit file to Central Records
        The permit file containing all related application documents and the administrative denial letter
        are sent to the agency central file room for filing under the record series for wastewater general
        permits. This ends the process.



        ZZ. Is operator provisionally covered?
        If the general permit states that provisional coverage begins “X” days after the postmarked date,
        then proceed with step BBB. If the general permit requires approval of coverage, proceed with
        step AAA. Most applications follow path BBB.

        AAA. Is technical review required?
        If technical revivew is required, the process continues with step QQQ. If it is not it continues with
        step BBB.

        BBB. Construction or Multi-Sector GP?
        If the application is for coverage under the construction or mulit-sector general permit the the
        process continues with step CCC. If not, it continues to step HHH.

        CCC. Update tracking status for acknowledgment in ARTS
        The ARTS database is updated for generating an acknowledgment certificate.

        DDD. Generate acknowledgment certificate and labels from ARTS upon management approval
        A notice is sent to management for approval to generate the certificates. Upon approval,
        acknowledgment certificate and corresponding mailing labels are generated through a crystal
        report (or manually) and printed.

        EEE. Prepare and mail acknowledgement certificates
        The acknowledgment certificate and generic cover letter are mailed to the operator and/or owner.
        A copy is placed in the permit file.

        FFF. Run acknowledgment updates in ARTS or manually update
        The automated update procedure is run from ARTS to change the status showing coverage has
        been acknowledge.

        GGG. Send permit file with copy of certificate to Central Records
        The permit file containing all related application documents and the acknowledgment certificate
        are sent to the agency central file room for filing under the record series for wastewater general
        permits. This ends the process.

        HHH. Aquaculture GP?
        If the authorization type is for coverage under an aquaculture GP the process continues with Step
        LLL. If it is not aquaculture, the process continues with step III.
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        III. Approve or deny?
        If the permit application is approved, continue with step JJJ. If the permit is denied, continue with
        step CCC.

        JJJ. Prepare list of permits ready for approval and send to Section Manager

        KKK. Section Manager reviews list
        Section Manager will review the list of permit to ensure they are eligible for coverage.



        LLL. Send copies of application to TDA & TPWD for review
        Copies of the application are send to the TDA and TPWD for review.

        MMM. Update tracking status in ARTS
        The date the copies of application are sent is entered in ARTS to begin tracking their 40 day
        review period as required in agreement.

        NNN. Additional information required?
        TDA or TPWD may indicate the application is incomplete or may have additional questions to
        complete their review. If more information is reqruied, continue with step OOO. If no additional
        information is required, the process continues with step III.

        OOO. Contact applicant for additional information
        Contact applicant by phone, fax, email or letter (if necessary) for additional information.

        PPP. Complete response received?
        If a complete resdponse is received the process continues with step LLL. If it is not, the process
        continues with step OOO.


        QQQ. Update tracking status in ARTS
        The ARTS database is updated to show the file is being transferred to the technical staff for
        review.

        RRR. Route permit file to Technical staff
        The permit file with the application is routed to the technical staff for review. Copies are also
        forwarded to TDA and TPWD.

        SSS. Assign to permit writer
        The permit writer is assigned, usually by the team leader, to the permit application for review.

        TTT. Update tracking status in ARTS
        The ARTS database is updated to show the permit file was received by the technical staff and the
        technical staff assignment is entered.

        UUU. Permit writer reviews application for completeness and determines if other reviews are
        needed
        The permit writer reviews the application for completeness. They ensure all technical items have
        been supplied as required in the general permit and application.

        VVV. Are other reviews needed?
        If the application is not technically complete, proceed with step III, OOO, UUU and AAAA. If the
        application is technically complete, continue with step GGGG.
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        WWW. Is a TMDL review required?
        If a TMDL review is required, proceed with step JJJ. If TMDL review is not required, proceed with
        step GGGG.

        XXX. Route permit file to staff for TMDL review
        The permit file with the technical report is routed to staff for TMDL review.

        YYY. Update tracking status in ARTS
        The ARTS database is updated to show that the permit file is being sent to the TMDL staff for
        review.

        ZZZ. TMDL review is completed
        The TMDL staff review the technical information completing the TMDL review process.

        AAAA. Update Paradox with completion of review
        The staff enters completion of the review for the permit file in the Paradox database.

        BBBB. Return to permit writer with review results
        The permit file with a TMDL review results memo is sent back to the permit writer for further
        review. Continue with step GGGG.

        CCC. WQA No discharge Process
        The permit file with the technical report is routed to the ground water staff for review. In some
        cases if the ground water information in the technical report is complete when assigned to the
        permit writer, the file may be routed for review at an earlier point.
        the application




        DDDD. WQA Discharge Process
        An application authorizing a direct discharge may require review, plotting of outfalls or segment
        determination, which would follow the WQ dischare process.

        EEEE. Is the application technically complete?
        If the application is not technically complete, proceed with step FFFF. If the application is
        technically complete, proceed with step NNNN.

        FFFF. Call or prepare and send NOD letter
        A deficiency letter will be mailed or a phone call will be made to the applicant requesting the
        information needed for technical completeness.

        GGGG. Update tracking status in ARTS
        The ARTS database is updated to show that a call or letter was sent for technical deficiencies.

        HHHH. Is response received?
        If the response is received proceed with step IIII. If the response is not provided, proceed with
        step KKKK.

        IIII. Review technical response
        The technical staff reviews the response to determine if the information is complete.

        JJJJ. Is response complete?
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        If the response is complete, proceed with step MMMM. If the response is not complete, proceed
        with step IIIII.

        KKKK. Prepare and send coverage technical denial letter
        Prepare a denial letter indicating the application is deficient and route it to the CIA team for
        mailing.

        LLLL. Update tracking status in ARTS
        Technical review updates ARTS to show the letter was mailed. The ARP Team is notified to
        update ARTS to update the application status as denied and the permit status as denied if it
        results in ending coverage.

        MMMM. Send permit file to Central Records
        A copy of the denial letter with the application is placed in the permit file and returned to central
        records.

        . NNNN. Prepare documents for filing with CCO
        The permit writer prepares the documents (including technical summary) based on the
        information provided by the applicant.

        OOOO. Route for peer or management review

        PPPP. Updates needed?
        If updates are needed, return to step NNNN. If updates ate not needed, continue with step
        RRRR.

        QQQQ. Send to applicant for review

        RRRR. Comments received from applicant?
        If comments were received from the applicant, go to step NNNN. If there were no comments, go
        to step SSSS.

        SSSS. Send permit file to CIA team for filing with CCO

        TTTT. Prepare permits for filing with CCO

        UUUU. File permits with CCO
        The permit is filed with the Chief Clerk office for processing of public notice.

        VVVV. CCO enters in CID to track notice process
        The Chief Clerk office staff enters the permit record in the CCO tracking system, CID, to track the
        processing of the public notice.

        WWWW. Were public comments received?
        If public comments were received, proceed with step XXXX. If public comments were not
        received, proceed with step EEEEE.

        XXXXX. Update ARTS
        The ARTS database is updated to show that comments were received.

        YYYY. Review comment letters received
        The comment letters are routed from CCO to the permit writer and legal for review. The permit
        writer and legal staff completes the review of the comment letters.

        .
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        ZZZZ. Is a public meeting needed?
        If it is determined that a public meeting is needed, proceed with the Public Meeting Process (step
        AAAAA). If a public meeting is not needed, proceed with step BBBBB.

        AAAAA. Public Meeting Process
        A public meeting is scheduled by OPA. Notice of the meeting is mailed to people on the standard
        mailing list in CCO for the permit. The permit writer and other agency staff attend the public
        meeting. Comments provided at the public meeting are included with the other written comments
        received. After the public meeting process is complete, the process continues with step EEEEE.

        BBBBB. Are changes to the application needed?
        If changes to the application are needed, proceed with step FFFFF. If no changes are necessary,
        proceed with step EEEEE.

        CCCCC. Request additional information from applicant
        The applicant is contacted to provide additional information to support the proposed authorization.

        DDDDD. Review response
        The response is reviewed to determine if adequate for providing coverage.


        EEEEE. Approve or deny coverage under GP?
        If coverage under the general permit is approved, proceed to step FFFFF. If the coverage is
        denied, proceed to step HHHHH.

        FFFFF. Prepare Final Technical Summary
        The permit writer prepares the final technical summary. The technical summary may require
        further clarification of technical issues.

        GGGGG. ED Sub-Final Action (GP & IP)
        The process continues through the Executive Directors sub-delegation final action process as
        used for the individual authorization process.

        HHHHH. Permit writer prepares denial letter
        The permit writer prepares a denial letter based on incomplete technical information.

        IIIII. Route denial letter to Team Leader for review and signature
        The denial letter is routed to the team leader for review and signature.

        JJJJJ. Mail denial letter to applicant
        The denial letter is mailed to the applicant.

        KKKKK. Update ARTS
        The ARTS database is updated to reflect the status of denial of coverage.

        LLLLL. Send permit file with denial letter to Central Records
        The permit file containing all related application documents and the denial letter are sent to the
        agency central file room for filing under the record series for wastewater general permits. This
        ends the process.

        MMMMM. CCO enters in CID
        For applications that will be approved, the Chief Clerks office enters the record in the CID
        database to show final mailout of the authorization.
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        NNNNN. CCO Final Processing
        The CCO Final Docs Team process the final authorization by mailing it to the parties listed in the
        standard mailing list. A standard mailing list is used and maintained by the CCO for certain
        authorization types.

        OOOOO. Entry required in PCS?
        If entry of the authorization is required in PCS, proceed with step PPPPP. If the entry is not
        required in ICIS, proceed with step RRRRR.

        PPPPP. Enter Permit records and limits in ICIS
        The permit record and limits are entered into ICIS.

        QQQQQ. Notify Enforcement for DMRs
        The Enforcement staff are notified by email when the permit entry in ICIS is complete so that
        DMRs may be generated.

        RRRRR. MTO Requested?
        If a Motion to Overturn the final action by the ED is received, proceed with step TTTTT. If a
        Motion to Overturn is not received, proceed with step SSSSS.

        SSSSS. Send permit file to Central Records
        The permit file containing all related application documents and the acknowledgment certificate
        are sent to the agency central file room for filing under the record series for wastewater general
        permits. This ends the process.

        TTTTT. Motion to Overturn Process
        The issued permit is scheduled at agenda for commission consideration of the motion to overturn.

        UUUUU. MTO Granted?
        The commission makes the decision on whether the motion to overturn is granted. If the motion
        is granted, the commission may remand the permit application back to the ED with instructions for
        further review, etc. In this case, continue with step VVVVV. If the motion is not granted, continue
        with step SSSSS

        VVVVV. Have permit limits been entered in PCS?
        If permit limits have been entered in PCS, proceed with step SSSSS. If permit limits have not
        been entered in ICIS, proceed with step WWWWW.

        WWWWW. Overturn of General Permit authorization process
        If the commission grants the motion to overturn, the application may be remanded to the program
        area for further review and instructions on issues to be reviewed. This process is the same for an
        individual permit




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      2.1.1.3 Notice of Change Application Process
        The permittee is required to a Notice of Change when any information originally supplied on the
        current NOI. The request may be submitted by a letter generated by the permittee, or by
        submission of a Notice of Change (NOC) form provided by the TCEQ. NOC requests are
        forwarded to the team that is responsible for processing the NOIs and other forms for a particular
        general permit. Most NOC requests follow paths A – U. MS4 and CAFO may require a technical
        review which includes paths V – QQ. A. Receive Notice of Change request
        The request for NOC is received by the team responsible for handling NOIs and other permit-
        related forms
        B. File needed?
        Some changes require that the original file be obtained so that information can be reviewed to
        make the request. However, many requests can be processed without the file, based on the
        information that is included in the ARTS database.

        C. Retrieve permit file from Central Records
        If the original file is needed, the team that received the NOC will request that the file be forwarded
        from the Central Records file room.

        D. Review Change Request for admin completeness
        The person processing the NOC request will review the request for completeness. Typically the
        NOC must be signed in accordance with TCEQ rules, in a similar manner as the NOI. The
        reviewer will ensure that the person signing the NOC is authorized to do so, and will determine
        whether any required certification statements were included in the NOC. The reviewer will also
        review the requested information to determine whether it is complete. For example, if the NOC is
        to provide a different mailing address, then the reviewer will determine that the address is
        verifiable through the U.S. Postal Service (USPS).

        E. Request admin complete?
        The reviewer will determine whether the NOC contains all of the required information. If so, then
        the NOC will continue with step H. An example of when an NOC may not contain complete
        information would be if the NOC appears to be requesting a change that is not allowed under the
        general permit. For example, in most cases, a change in the permittee is not allowed. The old
        entity must terminate their permit and the new entity must submit an application for coverage. If
        an NOC request is made that cannot be processed because it the rules do not allow it (such as
        changing ownership or moving the site to a different geographic location), then the reviewer
        would handle the request as an incomplete or invalid application.

        F. Call applicant to resolve deficiencies
        If additional information is needed, then the reviewer will contact the applicant to request the
        needed information

        G. Response received
        Generally the response to deficient items will be handled during a phone call. An applicant may
        also mail or fax required information to the reviewer.

        H. Technical review required
        For MS4 and CAFO, a notice of change to involves changes to technical information originally
        supplied in the NOI may require a technical review to determine if the change can be made
        through the NOC.

        I. Does request qualify for Notice of Change?
        After receiving an administratively complete NOC (including information that may have been
        requested if the original information was not complete), the reviewer will determine whether the
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        request can be processed as an NOC. If it can, then the process will continue with step I. If it
        can not, such as when an applicant has made a request to change ownership or move the site to
        a different geographic location, then the reviewer will determine that the NOC is not justified and
        the process will go to step R.

        It is possible, although not very common, that a request could only partially qualify to be
        processed as an NOC. In this case, the reviewer will continue with step J for that part of the
        request that can be processed, but may also go to step S to inform the applicant that a portion of
        the request could not be accomplished.

        J. Update ARTS
        Once it is determined that the NOC is appropriate, then reviewer will update the permit with the
        new information into the ARTS database.

        K. New acknowledgment certificate required?
        If the information that changed is printed on the certificate, then it is likely that a new certificate
        would need to be mailed. NOCs that would not change information on the certificate may include
        a change in the phone number or other contact information for the applicant, a change in the SIC
        code (for the MSGP for storm water), the number of acres disturbed (for the CGP for storm
        water), or a correction to the receiving water. Changes that may require a revised certificate
        include a correction to the spelling of the company name, a change to the project/site name, or a
        correction to the company address.

        L. Generate NOC certificate
        If a new certificate is required, the reviewer will generate a new certificate. This will be
        accomplished with ARTS if the templates are included in ARTS. For some general permits and
        authorizations by rule, the updated certificate will be produced by the reviewer using a shell
        document in Word.

        M. Prepare and mail NOC confirmation letter & revised certificate
        Along with the revised certificate, the reviewer will mail a copy of a letter confirming that the NOC
        was processed. The documents will be mailed to the applicant, and a copy retained for the file.

        N. Final updates in ARTS
        The reviewer will make all of the NOC revisions in ARTS.

        O. Update required in ICIS?
        Some changes may require changes to ICIS. If so, then the reviewer will continue to step O.

        P. Notify Enforcement if new DMRs are needed
        If changes to ICIS are required, then the Enforcement Division must be made aware of the
        upcoming changes. The reviewer will contact Enforcement by phone or email to notify that group
        of the recent changes.

        Q. Forward copy of NOC letter to coder
        If changes to ICIS are required, the reviewer will route the copy of the NOC confirmation (and
        revised certificate, if needed) to the coder.

        R. Update authorizations in ICIS
        The coder can update the ICIS database with the information required from the NOC. They will
        retain the copy of the letter in their team=s files.

        S. Call applicant to inform of GP requirements
        If the NOC request can not be processed, then the reviewer will call the applicant to inform them
        that the NOC will not be processed. Based on the specific request, the reviewer may inform the
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        applicant of the available options. For example, changes can be made without an NOC if the
        information that has changed was not part of the original NOI (such as a change in the type of
        best management practice that is used to control pollutants in storm water runoff). However, a
        change of the operator or a change in the facility location can only be accomplished through
        submission of a notice of termination (NOT) and submission of a new NOI.

        T. Document phone call on phone memo
        When the reviewer contacts the applicant on the telephone to discuss that an NOC can not be
        processed, the reviewer will complete a Telephone Memo to File (TMF) that includes information
        on the date and time of the call, the person who was called, and the specific information that was
        discussed. The reviewer will also sign the TMF.

        U. Send permit file/documents to Central Records
        The reviewer collects all relevant documents, including the NOC request, letters requesting
        additional information, acknowledgment letters, revised certificates, TMFs, and other
        communications. These documents are properly coded, using the permit identification number,
        and are routed to Central Records.

        V. Update tracking status in ARTS
        Enter the date the permit file is transferred for technical review.

        W. Route permit file to Technical staff
        The permit file is taken to the appropriate permitting team leader for assignment.

        X. Assign to permit writer
        The team leader or senior staff member will assign the application to a permit writer.

        Y. Update tracking status in ARTS
        The permit writer assignment and date assigned are entered in ARTS.

        AA. Permit writer reviews application to determine eligibility for proposed changes and technical
        completeness.
        The permit writer will review the technical information in the application to determine if sufficient
        information is provided to determine eligibility. And if the change is allowed through the NOC the
        application is returned to the ARP Team for further process. If the change is not allowed the
        permit writer may ask for more information or clarification before making a decision to deny the
        request.

        BB. Contact applicant for additional information
        The applicant is usually contacted by phone or email for additional information needed to support
        the requested change through the NOC process.
        CC. Update tracking status in ARTS
        ARTS is updated to show the applicant was contact for additional information.

        DD. Is response received
        If a response is received the process continues with step EE. If a response is not received the
        NOC request may be denied.

        EE. Review technical response
        The technical response is review to determine elibility.

        FF. Is response complete
        If the response is not complete the NOC request may be denied, continuing to step JJ. If it is
        complete the process continues to step GG.

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                GG. Does request qualify for Notice of Change
                If the requested change cannot be made through a notice of change the process continues with
                step JJ. If it can be made, the process continues with step HH.
                HH. Update tracking status in ARTS
                The application tracking record is updated to show technical review is complete and the file is
                transferred back to the ARP Team for completing the approval process.

                II. Return the application to the ARP Team to complete the process
                The permit file with the application is returned to the ARP Team for further processing.

                JJ. Technical staff prepares denial letter
                The permit writer will prepare a denial letter that specifies the reason for the denial and provides
                other permitting options if applicable.

                KK. Route the denial letter to the team leader for review
                The draft letter is routed to the team leader for review and concurrence.

                LL. Revisions needed
                If revisions are needed the process returns to step JJ. If no revisions are needed the process
                goes to step MM.

                MM. Route denial letter to Section Manager for review and signature
                The draft letter is routed to the Section Manager for review and concurrence.

                NN. Revisions needed?
                If revisions are needed the process returns to step JJ. If no revisions are needed the process
                goes to step OO.

                OO. CIA Team mails letter & copies technical staff
                The CIA Team mailes the letter to the applicant and gives a copy to technical staff to place with
                the application.

                PP. ARP Team updates status in ARTS
                The ARP team updates the status of the application using the date of the denial letter as the
                denied date. The permit remains active but the application status is updated to show denied.

                QQ. Send file to Central Records
The reviewer collects all relevant documents, including the NOC request, letters requesting additional information,
acknowledgment letters, revised certificates, TMFs, and other communications. These documents are properly
coded, using the permit identification number, and are routed to Central Records.




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      2.1.1.4 Notice of Termination Application Process
        A permittee is required to submit a Notice of Termination (NOT) Form, when the authorization is
        no longer needed by the entity. This may mean that the permittee has ceased the activity
        requiring the authorization or is no longer the owner or operator. The General Permit defines the
        requirements when an NOT must be submitted. An authorization is not eligible to terminate if it
        has expired. A termination is effective on the date the NOT is submitted to TCEQ unless the
        general permit requires a review to determine eligibility such as confirmation that alternative
        authorization is obtained or closure of ponds is approved. NOTs are sent to the team that is
        responsible for processing the NOIs and similar forms under a particular general permit. Many
        NOTs will contain the correct information, and will follow the path: A, B, C, D, E, G, H, I, J, K, and
        L. Based on whether changes are needed to the ICIS database, the process will go either from L
        to Q, then to the end (if no changes are required to ICIS) or from L to M, N, and then to the end.


        A.       Receive Notice of Termination request
        The request to terminate is received by the team responsible for handling NOIs and other permit-
        related forms. For storm water general permits, the NOTs are currently handled by Texas State
        University, which is contracted by the TCEQ to process storm water forms. Most NOTs under
        wastewater general permits are currently handled by the Applications Review and Processing
        (ARP) Team in the Water Quality Division. A NOT will be submitted either on a form provided by
        the TCEQ, or by letter provided by the permittee. If the TCEQ makes a form available under a
        general permit, NOTs must be submitted on the approved form in order to be considered. If the
        TCEQ does not make a form available, a NOT letter may be accepted, provided that it meets the
        requirements of the general permit.

        B.      File needed?
        Often the NOT can be processed without the original file, particularly if the permittee knows its
        authorization number. However, the NOT request may need to be confirmed using the
        information from the original file.         If the file is needed, go to step C. If the NOT can be
        processed without the original file, go to step D.

        C.        Retrieve permit file from Central Records
        If the original file is needed, then the person in charge of reviewing the NOT request will request
        the file from Central Records.

        D.      Review NOT request for admin completeness
        The reviewer will perform an administrative review of the NOT. Some general permit processing
        procedures make use of an NOT Checklist, which will be used if available. The administrative
        review will consist of making sure that the following information is included and is correct:
        TPDES Permit Number, Operator Name and Address; Project/Site Location Information; and
        signature certification. The reviewer will compare the NOT form with the current record in the
        ARTS Tracking Application to make sure the permit number, site location, and owner or operator
        are the same. Items that may contribute to an incomplete NOT request are an incorrect
        signatory, leaving site information off of the NOT, or providing incorrect information on the
        operator.

        E.         Request admin complete?
        If all of the information is complete and correct, the process will continue to step G. If additional
        information is needed, the process will go to step F.

        F.        Call applicant to resolve deficiencies
        If additional information is needed, the reviewer will call the permittee by telephone to attempt to
        resolve the deficiencies. Many deficiencies can be corrected with verbal information provided
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        over the phone. If written information is required, such as may be the situation with a signature,
        then the reviewer will inform the permittee how to provide the information. The reviewer will
        complete a Telephone Memo to File (TMF), which will include the date and time of the call, the
        person called, and the information discussed in the call. The reviewer will also sign the TMF and
        add it to the original file.

        G.      Proceed with NOT process?
        Following the verification that the request is complete, or the telephone call and receipt of any
        additional information, the reviewer will determine whether it is appropriate to proceed with the
        termination request. If so, then the process will continue to step H; if not, then the process will
        proceed to step Y.

        H.      Initial entry in ARTS
        The reviewer will enter the information into ARTS regarding the termination. For all but the CAFO
        general permits, the reviewer will change the AApplication Status@ to Aterminated,@ and will enter
        the termination date per the NOT postmark date for delivery to the TCEQ, or the date stipulated in
        the general permit for which coverage is being terminated.

        Does the NOT require technical approval?
        If the NOT requires approval, the NOT must be reviewed by the technical team to determine if the
        permit can be terminated and the process continues with step J. If no approval is required, then
        the NOT is effective on the postmarked date and the process continues with step S.

        J.      Route to technical team
        If the NOT requires approval, then file will be routed to the technical team.

        K.       Technical team determines eligibility for NOT approval
        If the reason that the NOT was requested is due to closure of the facility, the technical team will
        review the documentation provided.

        L. Is all required documentation complete?
        For CAFO, if there is a closure plan and a certification that pond has been closed (from the
        engineer), all of the documentation is present and the process continues with step O. If the
        certification that the pond has been closed is missing, continue with step M and send an NOD. If
        all documentation (the closure plan and the certification that the pond has been closed) is
        missing, continue with step P and write a denial letter.

        M. Send NOD
        If the required documentation is not present or not correct, send an NOD to the applicant.

        N. Response received and complete?
        If there was a response and it was complete (all required documentation was supplied), continue
        with step O. If response was not complete, continue with step P.

        O. Technical team determines approval or denial of NOT request
        The technical team reviews the NOT application and accompanying documentation and
        determines if the NOT application is approved or denied. If the NOT was approved, go to step R.
        If the NOT was denied, continue with step P.

        P. Technical team writes denial letter
        The Technical team writes a denial letter and the process continues with step Q.

        Q. Return to WQ Admin Team to complete processing of denial
        The WQ Admin team continues to complete the processing of the denial. The process continues
        with step CC.
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        R. Return to WQ Admin Team to complete processing or approval
        The WQ Admin team continues to complete the processing of the approval. The process
        continues with step S.

        S.      Generate NOT confirmation letter
        The reviewer will generate a letter to be mailed to the permittee, which will be accomplished by
        using ARTS or a shell document in Word.

        T.       Final updates in ARTS
        Additional processing may be required to update all of the fields in ARTS to reflect the date that
        the letter was mailed. This may be automatic for some permits, and may be manual for others.

        U.      Prepare and mail NOT confirmation letter
        The NOT confirmation letter must state the date that the NOT was effective. The letter will be
        mailed to the applicant, and a copy will be retained for the file.

        V.       Update required in ICIS?
        If the permit was originally included in the ICIS database, then the record of the NOT must also
        be entered into ICIS so that additional sampling forms are not mailed, and the permittee will not
        be required to continue reporting. In this case, continue with step W. If the permit was not
        included in ICIS, then this step will not apply and the process continues with step CC.

        W. Forward copy of termination notification letter to WQ Applications Team
        If the record of termination needs to be included in ICIS, the reviewer will forward the copy of the
        termination letter to the Water Quality Applications Team for further processing.

        X.       Update authorizations in ICIS
        The Water Quality Applications Team will update the permit authorization status to Aterminated@
        in the ICIS database. This will ensure that the permittee does not continue to receive report
        forms and will keep the TPDES record of active permits updated. Continue with step CC.

        Y.       Call applicant to inform of GP requirements
        If the permit is not eligible to be terminated, or if the applicant did not respond to a request for
        additional information, then the reviewer will contact the applicant by phone to let him or her know
        that the authorization will not be terminated because additional information was not submitted or
        a denial letter would be mailed.

        Z.      Document phone call on phone memo
        When the reviewer contacts the applicant on the telephone to discuss that an NOT can not be
        processed, then the reviewer will complete a Telephone Memo to File (TMF), that includes
        information on the date and time of the call, the person who was called, and the specific
        information that was discussed. The reviewer will also sign the TMF.

        AA. Have requirements been met?
        If the applicant submits the required documents after telephone call, then the process continues
        to Step U; otherwise the process will go to Step T.

        BB. Return file to WQ Admin Team
        The file is given to the WQ Admin Team when the requirements are met. The process then goes
        to Step H.

        CC. Send permit file / documents to Central Records
        The reviewer collects all relevant documents, including the NOT, letters requesting additional
        information, acknowledgment letters, revised certificates, TMFs, and other communications.
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            These documents are properly coded, using the permit identification number, and routed to
            Central Records.




3   Maintenance Processes




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3.1        Reporting for Permit, Registration, and Authorization (IP & GP)

    3.1.1 MSGP Benchmark Reporting
        Analytical results of sampling conducted in accordance with benchmark requirements in the Multi
        Sector General Permit (MSGP) are compiled on a reporting form and submitted to TCEQ once
        per year for recording and analysis. The sampling or reporting requirement or frequency may be
        revised during each renewal of the general permit. For example, a waiver for sampling may be
        allowed if results are less than the benchmark levels for a certain number of years. These annual
        reports are submitted by certain regulated industrial facilities based on their Standard Industrial
        Classification (SIC) code(s) or industrial activity code(s). Within 20 of the regulated industrial
        sectors, there are certain sub-sectors that require monitoring for a specific pollutant or set of
        pollutants (e.g., Zinc, Chemical Oxygen Demand, Total Suspended Solids, etc.). Benchmark
        sampling is generally required to be conducted during each year of the general permit, but the
        specific requirements may change as the general permit is reissued.

        The typical path that occurs for benchmark reporting is A through H, to the end. If the reports are
        incomplete and the permit writer determines that additional information will not be requested, then
        the path skips step E, F, and G, as the data will not be useful for the purposes of characterizing
        the discharges from each industry that is required to conduct benchmark testing. In some cases,
        the permit writer will request additional information from the permittee in order to utilize data that
        would otherwise be not useful (step E).

        A. Benchmark data received
        The TCEQ’s Wastewater Permitting Section receives reports directly from entities regulated
        under the MSGP. These reports are typically due on March 31 of the year following the sampling
        requirement. The reports are required to be submitted on a form provided by the executive
        director.

        B. Review for completeness
        Each benchmark report form is reviewed by the Storm Water & Pretreatment Team to ensure that
        the information provided is complete. Items to review may include permit holder information (e.g.,
        operator name, site information, and sample location), inclusion of results for the correct
        parameters, and quality of data provided for each sample (e.g. no apparent data entry errors or
        missing values).

        C. Report complete?
        If the benchmark report is complete and the data can be used for technical analysis, then the data
        can be submitted for entry into an Excel spreadsheet or into an alternative spreadsheet or
        database. If the report is complete, continue with F. If the report is not complete, continue with
        D.

        D. Request data
        If determined to be necessary, the permit writer will request additional data from the permittee.
        This may be accomplished by phone, email, or letter. If additional information is submitted, then
        the permit writer will review the information again for completeness (go back to B).

        E. Enter in spreadsheet
        Valid benchmark data is entered into an Excel spreadsheet or into an alternative spreadsheet or
        database for tracking the results of pollutant analysis by permittees, and for subsequent analysis
        by TCEQ. Currently this data is entered into an Excel spreadhseet. This data is organized by
        SIC code, and the annual average result is recorded for each pollutant by SIC code.

        F. Technical staff evaluates sector data
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        Analysis of the benchmark data is performed, and may include the following: 1) Parameter
        averages by sector (Mean); 2) Parameter ranges (High, Median, Low) by sector; 3) Parameter
        percentile ranks (99%, 85%, 50%, 15%, etc.); 4) Sectors or SIC codes exceeding benchmark
        values; 5) Sectors or SIC codes below benchmark values. Staff may evaluate data on a pollutant
        by pollutant basis, or on a sector by sector basis, depending on the amount and quality of the
        information received. This information may be used to develop a revised MSGP (e.g., in the
        future, benchmark monitoring could possibly be removed for some or all sectors or SIC codes).

        G. Send data to Central File Room
        Following the entry of benchmark data into the database, or following a review of the data where
        it is determined the report is incomplete, the benchmark reports are submitted to the Central File
        Room. This step may occur immediately after data evaluation (Step G), or may occur following
        final issuance of the renewal MSGP. Before the files are submitted to the Central File Room,
        they are retained in the Wastewater Permitting Section.

        Where the permit number is known or can be located, the data/forms are routed to the specific
        folder representing the discharge that the report describes. Each benchmark report should be
        properly coded using the following convention, which is subject to change:
                 IGP / TXR05#### / CO

        If the permit number is not known, which is most common if the benchmark record itself is
        incomplete, then the file is coded for storm water general correspondence in Central File Room .
        These codes are subject to change:
                 GCC / {county} / {date} / CO
                          Or
                 GCN / {company name} / {date} / CO




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    3.1.2 Springs and Seeps Monitoring Plan

                 A. Permit Requires Spring & seep Monitoring Plan (SSMP) to be submitted by deadline
                    specified in permit
                 The permit requires a springs and seeps monitoring plan (SSMP) to be submitted by
                 deadline specified in permit.

                 B. Receive SSMP.

                 C. Log in & enter assignment into groundtrack db.

                 D. Assign to staff geologist.
                 The SSMP is assigned to a staff geologist for review.

                 E. Review the SSMP.
                 The staff geologist reviews the SSMP.

                 F. Is the SSMP complete?
                 If the SSMP is complete, go to step G. If not, go to step J.

                 G. Update groundtrack db.

                 H. Send Letter Approving SSMP (will result in submittal of any Spring & Seep data
                 Generate letter approving the SSMP (this will result in the permittee submitting any
                 springs and seeps data. Springs and seeps data are only submitted if springs or seeps
                 are identified).


                 I.   Spring & Seep Monitoring Report
                 When groundwater data are received, see Springs and Seeps Monitoring Report
                 Reviews Work Flow Diagram and associated text.


                 J.   Prepare NOD(S) or Determine Approach
                 Prepare notice of deficiency(ies) (NODs) or determine approach to resolve deficiencies.
                 NODs may be sent via letter, phone call, or e-mail. A 30-day deficiency notice may be
                 sent initially, followed by a 14-day notice if inadequate response is received. If
                 deficiencies are not resolved at the staff level, management may be asked to facilitate
                 resolution.

                 K. Update groundtrack db
                 The status is updated in the groundtrack.db.

                 L. Is response received & complete?
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             If yes, go to step G. If no, go to step J. If deficiencies are not resolved at the staff level,
             management may be asked to facilitate resolution




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      3.1.2.1 Springs and Seeps Monitoring report
                     A. Receive Spring & Seep Montiioring report (Submitted only when Springs/Seeps
                        are Identified)
                     Receive a spring and seep monitoring report as specified in the permit. A spring and
                     seep monitoring report is submitted only when springs/seeps are identified at a site.
                     If springs/seeps are not identified, no report is submitted.


                     B. Log in & enter assignment into groundtrack db.

                     C. Assign report to staff geologist.
                     The spring and seep monitoring report is assigned to a staff geologist for review.

                     D. Review the report.
                     The staff geologist reviews the spring and seep monitoring report.

                     E. Is Spring & seep montoring Report acceptable and complete?
                     If the spring and seep monitoring report is complete, go to step F. If not, go to step
                     H.

                     F. Update groundtrack db.

                     G. Send original to central records
                          The original documents are coded and sent to the central records for filing in the
                          permit compliance file.


                     H. Send Letter approving Spring & Seep results, including any additional actions, or
                        prepare internal memo to WQA Team files
                     Generate letter approving the spring and seep monitoring report, including any
                     additional actions, or prepare internal memo to Water Quality Assessment (WQA)
                     Team files. Additional actions may include any changes to the spring and seep
                     sampling program.


                     I.   Prepare NOD(s) or Determine Approach
                     Prepare notice of deficiency(ies) (NODs) or determine approach to resolve
                     deficiencies. NODs may be sent via letter, phone call, or e-mail. A 30-day deficiency
                     notice may be sent initially, followed by a 14-day notice if inadequate response is
                     received. If deficiencies are not resolved at the staff level, management may be
                     asked to facilitate resolution.

                     J.   Update status in groundtrack db.

                     K. Is response received & complete?

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                     If yes, go to step F. If no, go to step H. If deficiencies are not resolved at the staff
                     level, management may be asked to facilitate resolution.




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    3.1.3 Groundwater Monitoring Plan
                 A. Permit Requires groundwater montoring Plan (GWMP) to be submitted by deadline
                    specified in permit.
                 The permit requires a groundwater monitoring plan (GWMP) to be submitted by deadline
                 specified in permit.

                 B. Receive GWMP

                 C. Log in & enter assignment into groundtrack db.

                 D. Assign GWMP to staff geologist.
                 The GWMP is assigned to a staff geologist for review.

                 E. Review the GWMP.
                 The staff geologist reviews the GWMP.

                 F. Is the GWMP complete?
                 If the GWMP is complete, go to step G. If not, go to step J.

                 G. Update groundtrack db.

                 H. Sned letter approving GWMP (will result in Submittal of groundwater Data)
                      Generate letter approving the GWMP (this will result in the permittee submitting
                      groundwater data).


                 I.   Groundwater Monitoring Report
                 When groundwater data are received, see Groundwater Monitoring Report Reviews Work
                 Flow Diagram and associated text.


                 J.   Prepare NOD(s) or Determine Approach
                 Prepare notice of deficiency(ies) (NODs) or determine approach to resolve deficiencies.
                 NODs may be sent via letter, phone call, or e-mail. A 30-day deficiency notice may be
                 sent initially, followed by a 14-day notice if inadequate response is received. If
                 deficiencies are not resolved at the staff level, management may be asked to facilitate
                 resolution.

                 K. Update status in groundtrack db.

                 L. Is response received & complete?
                 If yes go to step G. If no, go to step J. If deficiencies are not resolved at the staff level,
                 management may be asked to facilitate resolution.


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      3.1.3.1 Groundwater Monitoring Report
        A.       Received groundwater Monitoring report
        Receive a groundwater monitoring report as specified in the permit.


        B.       Log in & enter staff assignement into groundtrack db.

        C.       Assign report to staff geologist.
             The groundwater monitoring report is assigned to a staff geologist for review.

        D.       Review Groundwater Monitoring report.
             The staff geologist reviews the groundwater monitoring report.

        E.       Is the report acceptable and complete?
             If the groundwater monitoring report is complete, go to step F. If not, go to step H.

        F.       Update groundtrack db.

        G.        Send Letter Approving groundwater results, including any additional actions, or prepare
             internal memo to WQA Team files
        Generate letter approving the groundwater monitoring report, including any additional actions, or
        prepare internal memo to Water Quality Assessment (WQA) Team files. Additional actions may
        include any changes to the groundwater sampling program, and may include groundwater
        contamination notices.


        H.       Send to central records
        Send original documents to central records for filing with the permit compliance file.


        I.       Prepare NOD(s) or Determine Approach
        Prepare notice of deficiency(ies) (NODs) or determine approach to resolve deficiencies. NODs
        may be sent via letter, phone call, or e-mail. A 30-day deficiency notice may be sent initially,
        followed by a 14-day notice if inadequate response is received. If deficiencies are not resolved at
        the staff level, management may be asked to facilitate resolution.

        J.       Update status in groundtrack db.

        K.       Is response received & complete?
             If yes, go to step F. If no, go to step H. If deficiencies are not resolved at the staff level,
             management may be asked to facilitate resolution.




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    3.1.4 Annual Cropping Plan
        Annual Cropping Plans may be required by a land application permit because many crops cannot
        be continually grown on a land application area because disease problems will result. Therefore,
        the crops need to be changed on a periodic basis.

             A. Receive an an Annual Cropping Plan as specified in the permit.


             B. Log in & enter assignment into groundtrack db.

             C. Assign report to staff agronomist.
                  The Annual Cropping Plan is assigned to a staff agronomist for review.

             D. Review Cropping Plan
                  The staff agronomist checks the permit wording to determine the parameters required by
                  the permit and then reviews the plan to determine whether the report meets the permit
                  requirements and whether any problems are observed. The problems may include the
                  inability of the chosen crop to utilize the nitrogen applied by the permittee as per the
                  permit.

             E. Is the report acceptable and complete?
                  If the monitoring report is complete, go to step F. If not, go to step H.

             F. Update groundtrack db.

             G. Send email acknowledging plan, including any additional actions, and prepare internal
                memo to WQA Team files
             Generate e-mail acknowledging the cropping plan to be sent to the pertinent permit team
             leader, including any additional actions, and prepare internal memo to Water Quality
             Assessment (WQA) Team files. The internal memo for the WQA Team files should include a
             copy of the e-mail to the permit team leader along with a summary of the plan and any
             information obtained from e-mails or phone calls with the permittee that might aid future
             reviews of the reports. Additional actions may include any suggestions to the permit team
             leader regarding changes to the permit provisions when the permit is renewed or amended.


             H. Sent to central records
                  The original documents are sent to central records for filing in the permit compliance file.


             I.   Prepare NOD(s) or Determine Approach
             Prepare notice of deficiency(ies) (NODs) or determine approach to resolve deficiencies.
             NODs are usually resolved by phone call, or e-mail. A 30-day deficiency notice may be sent
             if needed, followed by a 14-day notice if inadequate response is received. If deficiencies are
             not resolved at the staff level, management may be asked to facilitate resolution.



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             J.   Update groundtrack db.

             K. Is response received & complete?
                  If yes, go to step F. If no, go to step I. If deficiencies are not resolved at the staff level,
                  management may be asked to facilitate resolution.




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    3.1.5 Soils Monitoring Report
             A. Receive Soils Monitoring Report
             Receive a soils monitoring report as specified in the permit.


             B. Log in & enter assignment into groundtrack db.

             C. Assign report to staff agronomist.
             The groundwater monitoring report is assigned to a staff agronomist for review.

             D. Review the report.
             The staff agronomist checks the permit wording to determine the parameters required by the
             permit and then reviews the soils monitoring report to determine whether the report meets the
             permit requirements and whether any problems are observed.

             E. Is the report acceptable and complete?
             If the soils monitoring report is complete, go to step F. If not, go to step H.

             F. Update groundtrack db.

             G. Send email to appropriate team leader & prepare internal memo to WQA Team files
             Generate e-mail acknowledging the soils monitoring report to be sent to the pertinent permit
             team leader, including any additional actions, and prepare internal memo to Water Quality
             Assessment (WQA) Team files. The internal memo for the WQA Team files should include a
             copy of the e-mail to the permit team leader along with a summary of the results and any
             information obtained from e-mails or phone calls with the permittee that might aid future
             reviews of the reports. Additional actions may include any suggestions to the permit team
             leader regarding changes to the soil sampling and analysis permit provisions when the permit
             comes in for renewal or amendment, and may include concerns resulting from the data.


             H. Send to central records
                  Send the original documents to central records for filing in the permit compliance file.
             I.   Prepare NOD(s) or Determine Approach
             Prepare notice of deficiency(ies) (NODs) or determine approach to resolve deficiencies.
             NODs are usually resolved by phone call, or e-mail. A 30-day deficiency notice may be sent
             if needed, followed by a 14-day notice if inadequate response is received. If deficiencies are
             not resolved at the staff level, management may be asked to facilitate resolution.

             J.   Update status in groundtrack db.

             K. Is response received & complete?
             If yes, go to step F. If no, go to step I. If deficiencies are not resolved at the staff level,
             management may be asked to facilitate resolution.

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    3.1.6 Irrigation Monitoring Report
             A. Receive Irrigation Monitoring Report
             Receive an irrigation monitoring report as specified in the permit.


             B. Log in & enter assignment into groundtrack db.

             C. Assign report to staff agronomist.
                  The irrigation monitoring report is assigned to a staff agronomist for review.

             D. Review the report.
                  The staff agronomist checks the permit wording to determine the parameters required by
                  the permit and then reviews the monitoring report to determine whether the report meets
                  the permit requirements and whether any problems (irrigation above permitted rates) are
                  observed.

             E. Is the report acceptable and complete?
                  If the monitoring report is complete, go to step F. If not, go to step H.

             F. Update groundtrack db.

             G. Send email acknowledging results, including any additional actions, and prepare internal
                memo to WQA Team files
             Generate e-mail acknowledging the monitoring report to be sent to the pertinent permit team
             leader, including any additional actions, and prepare internal memo to Water Quality
             Assessment (WQA) Team files. The internal memo for the WQA Team files should include a
             copy of the e-mail to the permit team leader along with a summary of the results and any
             information obtained from e-mails or phone calls with the permittee that might aid future
             reviews of the reports. Additional actions may include any suggestions to the permit team
             leader regarding changes to the permit provisions when the permit is renewed or amended,
             and may note any irrigation above permitted rates.


             H. Send to Central Records
                  Send original documents to central records for filing with the permit compliance file.


             I.   Prepare NOD(s) or Determine Approach
             Prepare notice of deficiency(ies) (NODs) or determine approach to resolve deficiencies.
             NODs are usually resolved by phone call, or e-mail. A 30-day deficiency notice may be sent
             if needed, followed by a 14-day notice if inadequate response is received. If deficiencies are
             not resolved at the staff level, management may be asked to facilitate resolution.

             J.   Update status in groundtrack db.



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             K. Is response received & complete?
                 If yes, go to step F. If no, go to step H. If deficiencies are not resolved at the staff level,
                 management may be asked to facilitate resolution.




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    3.1.7 Soil Importation Plan
        Soil Importation Plans may be required by a Subsurface Drip Chapter 222 permit when there is
        the potential for the natural soils in proposed dispersal zones to be too shallow than the required
        12 inches below the drip emitters.

             A. Receive a Soil Importation Plan
             Receive a Soil Importation plan as specified in the permit.


             B. Log in & enter assignment into groundtrack db.

             C. Assign report to staff agronomist.
                  The Annual Cropping Plan is assigned to a staff agronomist for review.

             D. Review Soil Importation Plan
                  The staff agronomist checks to determine whether the plan adequately describes the
                  imported soil and method of mixing of the imported and natural soils.

             E. Is the report acceptable and complete?
                  If the plan is complete, go to step F. If not, go to step I.

             F. Update groundtrack db.

             G. Send Letter approving plan including any additional actions, and prepare internal memo
                to WQA Team Files
             An official letter approving the plan is is prepared and sent to the permittee, to pertinent
             region, and a copy of the memo included in the Water Quality Assessment (WQA) Team files
             for that permit along with a copy of the report. The original report along with a copy of the
             official approval letter is filed with Central Records.


             H. Send to Central Records
                  Original documents are sent to central records for filing in the permit compliance file.


             I.   Prepare NOD(s) or Determine Approach
             Prepare notice of deficiency(ies) (NODs) or determine approach to resolve deficiencies.
             NODs are usually resolved by phone call, or e-mail. A 30-day deficiency notice may be sent
             if needed, followed by a 14-day notice if inadequate response is received. If deficiencies are
             not resolved at the staff level, management may be asked to facilitate resolution.

             J.   Update status in groundtrack db.

             K. Is response received & complete?
                  If yes, go to step F. If no, go to step H. If deficiencies are not resolved at the staff level,
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                 management may be asked to facilitate resolution.




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    3.1.8 Nutrient Utilization Plan (NUP) Process
        §321.32(34) defined a Nutrient utilization plan (NUP) as “A plan developed to evaluate and
        address site-specific characteristics of a land management unit to ensure that the beneficial use
        of manure, litter, or wastewater is conducted in a manner to prevent adverse impacts on water
        quality.”
        An NUP is required when (A) a level greater than 200 ppm of extractable phosphorus (reported
        as P) in Zone 1 for a particular LMU; or (B) a level greater than 350 ppm of extractable
        phosphorus in Zone 1 (zero to six-inch depth) for an LMU where the average annual rainfall is 25
        inches or less, erosion control is adequate to keep erosion at the soil loss tolerance (T) or less,
        and the closest edge of the field is more than one mile from a named stream; or (C) if ordered by
        the commission to do so in order to protect the quality of waters in the state. [§321.40(k)(3),
        §321.42(n) and §321.42(o) and §321.47(h)]
        After a NUP is implemented, the operator shall land apply in accordance with the NUP until soil
        phosphorus is reduced below the critical phosphorus level or five years as defined by
        §321.36(d)(2). Thereafter, the operator of a CAFO shall implement the requirements of the
        nutrient management plan certified in accordance with §321.36(d). All other CAFOs must follow
        the NMP requirements. [§321.40(k)(3)].
        NOTE: As stated above, all NUPs are approved for individual LMUs, not for all fields in a facility.
        A.       NUP Received.
        For a CAFO, land application under the terms of the NUP may begin 30 days after the plan is
        filed with the executive director, unless before that time the executive director has returned the
        plan for failure to comply with all the requirements of this subsection. [§321.47(h)(4)]

        B.       Is the site permitted by TCEQ?
        If Yes, proceed to step D, otherwise proceed to step C.


        C.       Owner, Facility Name and County is recorded in database.
        If the site is unpermitted, the site name, owner and county is used for tracking.
        Unpermitted locations are sorted by county in Central Records.


        D.Log in & enter assignment into groundtrack db.
        Date is recorded starting 30 day tracking.


        E.       Assign an agronomist to review the NUP.
        F.       NUP reviewed.
        NUP is checked for
                     a. date, signature and certification number of the CNMS that approved the NUP;
                     b. a signed and dated producer’s signature page or statements indicating that the
                        permit holder has been made aware of the contents of the NUP;
                     c. a map of the affected LMUs on a topographic map to be able to clearly see
                        named streams and/or named water bodies within 2,000 feet of the LMUs;
                     d. laboratory copies of the soil analyses for the affected LMUs for the depths 0 to 6
                        inches and 6 to 24 inches. If manure is left on the surface of the soil, the soil
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                         analysis required will be for the soil depth increments 0 to 2 inches, 2-6 inches
                         and 6 to 24 inches;
                     e. laboratory copy (ies) of the waste analysis (wastewater and/or manure);
                     f. the phosphorus index (PI) worksheets for the affected LMUs or a PI Index by
                         Field table; and
                     g. a print output of the NRCS 590-633 spreadsheet tool or equivalent for the
                         affected LMUs.
        The inputs in the spreadsheet tool are compared to the data provided and the permitted
        application rates (if a permitted site).


        G.       Is the NUP technically complete?
        If all the required data above is provided and the input into the spreadsheet tool is correct, go to
        L. If not, go to H.


        H.       Communicate issues to the applicant (actually to his consultant (certified CNMS)).
        The presence of any deficiencies in information or incorrect entries in the spreadsheet tool is
        communicated to the CNMS by e-mail or phone.


        I.       Date when information is requested is entered into groundtrack db.
        This resets the 30-day clock as stated in §321.47(h)(4).


        J.       Response received.


        K.       Date when information is received is entered into groundtrack db.
        This resets the 30-day clock as stated in §321.47(h)(4). Return to step G.


        L.       Prepare NUP approval letter.
        When all entries in the NUP are correct and all data is obtained, an NUP approval letter is sent to
        the CIA team for formatting.
        M.       The approval letter is routed for review and approval.
        Upon resolution of all deficiencies, the CNMS reviewing agronomist will sign the approval letter
        and give it to the WQA Team leader for review. Upon approval by the WQA Team leader, the
        approval letter will be mailed to the permittee and a blind cc to the corresponding TCEQ regional
        office. If an approval letter exists for a specific farm site, the latest approval NUP letter will
        contain a statement indicating that the latest NUP supersedes the NUP previously approved.


        N.       Route the final approval letter to Admin staff for mailing.


        O.      The date of approval is entered in groundtrack db and the date along with permit number,
        permittee name and LMUs with approved NUPs is entered in NUP approval.xls.



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        P.       Copy of letter with NUP report documents to the permit file and to the regional office.
        Make photocopies of pertinent information in the application file, emails, phone memos, etc. into
        a standard file and label the file with the permit number and facility name. File by permit type
        (i.e., municipal, industrial, CAFO, sludge, etc.) and file by permit number in the appropriate
        WQAT Grd-W files. A copy of the signed approval letter and the complete NUP is sent to the
        pertinent regional office. After the agronomist’s review is completed, the original document as
        amended is coded and forwarded to Central Records.


        Q. Send to central records & keep copy in WQA file
        The original is sent to the central records permit compliance file and a copy is retained in the
        WQA working file.




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    3.1.9 Bio-monitoring Reporting
        Whole Effluent Toxicity (WET) or biomonitoring testing is required to be conducted by all major
        municipal and industrial facilities and any minor facilities which have been assessed as likely to
        discharge potential toxicants. Biomonitoring reports are required to be submitted to the Water
        Quality Standards Implementation Team for technical review.

        A. Receive biomonitoring report
        The permittee is required by the permit to send the biomonitoring reports (but not the DMRs) to
        the Water Quality Standards Implementation Team at MC 150. If the appropriate staff member=s
        name is not specified on the envelope, the reports are randomly distributed between the
        biomonitoring coordinators.

        B. Review report for acceptability and validity
        The biomonitoring coordinator staff member assigned to the specific permittee will review the
        report for meeting the acceptability and validity criteria specified in the permit.



        C. Is report acceptable?
        The staff member reviews the report to determine if test should be accepted or declared invalid.
        If test is accepted, proceed to E. If test is invalid, go to U.

        D. Submit correct report

        E. Enter record of receipt in Access database (WET)
        The staff member enters the date the valid/acceptable report was received into the database. If
        an invalid test result was submitted, the biomonitoring coordinator will note that in the comments
        section of the database.F. Is the Data Acceptable


        G. Enter reported values in Access database (WET)
        The staff member enters the data into the database (pass/fail, NOECs or LC50s).

        H. Send reports to Central Records
        The staff member properly codes the report and then sends it Central Records. Process ends
        here.

        I. Notify permitee that retesting is needed
        The permittee is notified that retesting is necessary.

        J. Enter comment and due date in Access database (WET)
        A comment is noted to indicate the notification for retesting and a due date for response is
        entered in the database.

        K. Staff determines if reports are past due (generated quarterly)
        All staff members are required to track assigned permits for biomonitoring to determine if any are
        past due. The report isgenerated quarterly to determine reporting compliance.

        L. Is biomonitoring report past due?
        The staff members will ascertain reports that are past due. If report is past due, continue with
        step I. Otherwise, go to step A.

        M. Contact permittee to request report
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        The staff member will contact permittees that have reports that are past due.

        N. Enter note in Access indicating request made
        The staff member will enter into the database the date the request for the past-due report was
        made to the permittee and how the request was made (e.g., letter, phone call, etc.).

        O. Report received?
        If yes, go to step B. If not, go to step L.

        P. Is report or retesting 90 days past due?
        The staff member determines whether or not the report is more than 90 days past due. If it is 90
        days past due, go to step M. If not, go to step I.

        Q. Prepare NOV letter
        If the permittee has been contacted at least twice and still has not responded by sending in the
        past due report, the staff member will prepare a notice of violation letter that cc=s the
        enforcement section.

        R. Route to team leader for review
        After the letter is prepared, the staff member routes it to the team leader for review.

        S. Route to Section Manager for review & signature
        After the letter is prepared and the staff member has routed it through the team leader for review,
        it goes to the section manager for review and signature.

        T. Admin staff mails NOV letter to permittee
        An administrative staff member puts the signed letter in a properly addressed envelope, places it
        in the outgoing mail bin (most definitely not the interoffice one). From there, staff in the mailroom
        ensure that the letter is mailed to and received by the permittee.

        U. Copy of NOV letter is sent to Central Records and work file
        An administrative staff member makes a copy of the NOV letter and places it in the appropriate
        biomonitoring staff member=s inbox. That staff member then places the appropriate code at the
        top of the copy of the NOV letter and puts that in the basket to go to central records.

        V. Update Access database (WET) and enter violation in CCEDs
        The staff member updates the database with the date of the NOV letter and enters the violation in
        CCEDs.

        W. Report received by due date of NOV letter?
        If yes, go to step B. If not, go to step T.

        X. Enter Enforcement Referral in CCEDs
        If the report is not received by the due date cited in the NOV letter, the staff member will then
        refer the case to enforcement. Continue with step A.




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    3.1.10 Sludge Reporting (Quarterly & Annually)
        The Municipal Permits Team of Wastewater Permitting Section is responsible for receiving and
        processing sludge reports. Annual Reports are to be submitted as specified in sewage sludge
        disposal and processing permits, Class B sludge permits, domestic septage registrations, and
        water treatment plant sludge registrations. A quarterly report is required for Class B Sludge
        Permits only. The most common path for sludge reports is A-J, and loops D, L and M are used if
        the report submitted is incorrect or incomplete. The loops D-E and K-M are repeated no more
        than two times.

        A. Receive sludge report
        Sludge reports are received by the receptionist, date stamped and routed to the designated
        Municipal Permits Team member for further processing.

        B. Review report for validity and acceptability
        The sludge report is reviewed to make sure that the Annual or Quarterly Sludge Summary Report
        Form is properly filled out and the report is for an active permit.

        C. Is more information needed?
        The annual or quarterly report including all required information is reviewed for accuracy and
        completeness. If more information is necessary, the permittee/registrant is contacted, step D.
        Otherwise, continue with step F.

        D. Contact permittee/registrant for additional information
        If more information is required, the Permittee/Registrant is contacted.

        E. Response received?
        If a response is not received from the Permittee/Registrant, continue to step D. Otherwise,
        continue to step B.

        F. Is sludge report for quarterly or annual reporting?
        The report is verified to determine whether it is an annual report or quarterly report. If quarterly
        report, proceed to step G. If annual report, continue with step H.

        G. Enter Information in IDA database
        Information that is submitted with each quarterly report is entered in the IDA Application database
        under the appropriate permit number. Data entry can be located at the following:
        (http://prs.tceq.state.tx.us/ida/index.cfm?fuseaction=login.home).

        H. Enter reported value and customer information in Paradox (Sludge_FY##.db)
        If the information submitted in the annual report is complete and accurate,            the data such
        as date of receipt, sludge quantity, fees (calculated by TCEQ), any reported changes to address
        or contact information is entered into the Paradox database file titled ASludge_FY##.db@ (where
        ## represent the last two digits of the fiscal year). After the data is entered for each received
        report, the Astatus of billing@ field for that record is flagged as AComplete@. If the report is not
        received, the flag remains as APending@.
        I. Send report to Central Records file
        Each report should have the summary sheet on top with the permit or registration number coded
        in the top right hand corner. The report is routed to Central Records to be included with the
        reports section of the file.
        J. Generate a list of permittees/registrants that failed to report
        The list of permittees and registrants who have not submitted annual reports is generated from
        this database using the Astatus of billing@ field data. This list includes the permit or registration
        number, the contact name, the operator name, and the mailing address.
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        K. Prepare sludge reporting notification letter
        The Municipal Permits Team Leader prepares a letter for notifying the permittees or registrants
        who have failed to submit annual report.

        L. Mail sludge reporting notification letter
        The Municipal Permits Team leader provides the sludge reporting notification letter from step L
        and the list of permittees or registrants from step J to the Customer Information & Assistance
        Team of the Water Quality Division for processing and mail-out.

        M. Update record in Paradox (Sludge_FY##.db)
        After receiving confirmation of mail out of the sludge reporting notification letter, the designated
        person in the Water Quality Division enters the date the letters were mailed in the ADef Letter
        Send@ field in the Sludge_FY##.db (where ## denotes the last two digits of fiscal year) for each
        permit or registration that was on the mail-out list.




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    3.1.11 Site Specific Standards Request
        Site specific standards may be may be required by an existing permit condition or initiated by the
        permittee. A site specific standard is typically requested when the permittee has reason to
        believe that the existing local receiving water body conditions are markedly different from the
        default assumptions used to calculate the effluent limitations. Preliminary data is submitted to
        support the study plan and demonstrate that the development of a site specific standard is
        warranted prior to authorization being provided to the permittee to perform the study.


        A. Standards Implementation Team receives Study Plan
             The study plan is submitted to the Standards Implementation (SI) Team for review. The date
             received is entered into the database. The study plan will describe sampling objectives,
             sampling methodology, sampling frequency, protocols, and timeline for submitting
             information.


        B. Log in & enter assignment into permlog.db


        C. Review Study Plan
             Technical staff perform a complete evaluation of the proposed site specific study.

        D. Is the study plan complete?

        E. Request Additional Information from Permittee
             If No, then additional information is requested from the permittee. Date of request for
             additional information is listed in database.


        F. Evaluate Study Plan
             If Yes, then the study plan is evaluate to determine if the plan and preliminary data
             demonstrate that the development of a site specific standard is warranted.


        G. Receive Final Study Plan and Data from Permittee
             The final study report and data is submitted by the permittee to the SI Team for review.


        H.   The date of receipt of the final study report is entered into the permlog database.


        I.   SI Team Prepares Memo Approving or Denying Request
             The SI Team and a memorandum is approving or denying the request is provided for the file
             and to the permittee.


        J.   Update record in permlog.db
             The date of the memo is entered into the database.
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        K.   Study File is filed in SI Team Files
             The final study file is retained in the SI Team files for reference if an application is submitted
             to modify the permit based on the results of the study request.




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    3.1.12 Closure Plan of CAFO RCS Process
        When a permitted Concentrated Animal Feeding Operation (CAFO) terminates their permit, the
        permittee must first close any Retention Control Structures (RCSs) associated with the permit by
        completing the process of a RCS closure plan (closure plan). Additionally, a permittee may wish
        to terminate coverage of one or more of their RCSs, which would also actuate the closure plan
        process.

        A. Closure plan received
        The closure plan is received by the CAFO team.

        B. Review Plan
        The CAFO technical staff reviews the closure plan for technical completeness.

        C. Is Plan complete
        If the plan is complete, the process continues with step F. If not, it goes through the NOD
        process in step D.

        D. Contact permittee for more information
        The permittee is usually contacted by phone or email. A deadline may be given for receiving the
        response.

        E. Response Received
        If the response is received the process returns at step B to review the plan. If it is not received,
        the process returns to step D to contact the permittee.

        F. Draft Acknowledge letter of closure plan
        A letter acknowledging the receipt of the Closure Plan is drafted by CAFO team..

        G. Route letter to CIA Team
        The acknowledgement letter is routed to the CIA Team for formatting on TCEQ letter head and
        mailing to permittee.

        H. Hard copy filed in central records and mailed to permittee
        A hard copy of the acknowledgement letter is filed with the CAFO team.

        I. Certification of closure received
        Once the closure plan has been completed, the permittee will submit a certification of closure by
        a licensed Texas professional engineer to the CAFO team.

        J. Draft Acknowledge letter of closure certification
        CAFO team drafts a letter to acknowledge receipt of the closure certification.

        K. Route letter to CIA Team
        The letter is routed to the CIA Team for formatting on TCEQ letter head and mailing to permittee.

        L. Hard copy filed in central records and mailed to permittee
        A hard copy of the certification of closure is filed with the CAFO team.

        M. Is the permit being terminated?
        If the permittee is terminating their permit, go to the Notice of Termination process. If the
        permittee is closing their RCS(s) but not terminating their permit, go to the Notice of Change
        process.

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        N. Notice of Termination
        The Notice of Termination may not be approved until the closure plan is accepted.

        O. Notice of Change
        The authorization will need updated to remove an RCS. A NOC is required for this change.




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    3.1.13 Closure Plan of Industrial Facilities
        The closure of Industrial facilities (Solid Waste Management Units) is handled by Remediation.
        The Applications Review and Processing Team receives a cancellation application and follows
        the path outlined in the Cancellation Application process.

        A. Remediation process for closure of industrial facilities
        Remediation follows their process for closure of industrial facilities.

        B. Remediation sends copy of final letter documenting closure of facility to ARP team
        ARP team receives a copy of the final letter documenting the closure of the industrial facility from
        Remediation.

        C. ARP team receives cancellation application and follows Cancellation Application process
        The Applications Review and Processing team receives a cancellation application for an industrial
        facility and follows the Cancellation Application process.




    3.1.14 Closure Plan of Domestic/Municipal Wastewater Treatment Plants
        The Municipal Permits Team is responsible for receiving and reviewing closure plan and final
        closure reports for Municipal Wastewater Treatment Plants. The types of closures include
        lagoons, drying beds and package plants. All closure plans follow the path of
        A-Q.

        A. Receive closure plan
        Closure plans for TCEQ permitted Municipal Wastewater Treatment Facilities are submitted to
        the Municipal Permits Team. The types of closures include lagoons, sludge drying beds and
        package plants.

        B. Enter facility data in Quatro Pro (closure database.qpw)
        The permit writer enters the closure number, wastewater treatment plant permit number, plant
        name, contractor (consultant) name, region number, and the date the closure plan was submitted
        in Quattro Pro spreadsheet.

        C. Review the closure plan
        The permit writer will review the closure plan to ensure the following has been submitted
        correctly: the necessary maps, lagoon/structure cross section, estimated volume of wastes in
        lagoon/structure, historical use of the lagoon/structure, procedures used for the closure of the
        lagoon/structure, the time table for closure and a description and location of the soil sampling
        points. The closure plan is also organized in a labeled folder.

        D. Is the closure plan complete?
        If the closure plan meets all necessary items for closure, a closure plan approval letter is drafted.
        If the closure plan is complete, go to step H. If the closure plan is not complete, go to step E.

        E. Prepare and mail deficiency letter
        The first time the Technical Reviewer identifies deficiencies in the closure plan, a letter is
        prepared identifying the deficiencies and is routed to the Customer Information & Assistance
        Team for editing and mail-out. The letter is sent by mail to the consultant with the appropriate
        TCEQ region office also receiving a copy.

        F. Response received and complete?
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        The permit writer will review each response that is submitted. There is no time limit for the
        response. If a response was received and is complete, go to step H. If the response was not
        complete, go to step G.

        G. Contact consultant
        If the response is incomplete, the permit writer will contact the applicant or their representative to
        inform them of the remaining deficiencies. Return to step F.


        H. CIA Team prepares and mail closure plan approval letter
        The permit writer drafts the closure plan approval letter and routes to Customer Information &
        Assistance Team for editing and mail-out.

        I. Enter data in Quatro Pro (closure database.qpw)
        The permit writer enters the date the approval letter was mailed to the applicant in Quattro Pro
        spreadsheet.

        J. Receive final closure report from permittee
        The permit writer reviews the final closure report to ensure that a summary of the closure and soil
        analysis has been submitted correctly.

        K. Does closure report need to be routed to Remediation Division?
        The permit writer determines if the final report needs to be routed to the Remediation Division. If
        yes, proceed to step L. Otherwise, proceed to step Q.

        L. Route to Remediation Division
        An interoffice memo to the Remediation Division is attached to the entire closure file (which
        includes all information pertaining to the closure plan and the closure report) and mailed via
        interoffice mail.

        M. Enter data in Quatro Pro (closure database.qpw)
        The permit writer enters the date the entire closure file is routed to Remediation Division.

        N. Remediation Division Review
        Remediation Division staff reviews the sampling analysis and procedures of the closure report
        and compares them to the Texas Risk Reduction Program (TRRP) regulations. This process is
        outside of water quality division permitting processes.

        O. Remediation Division routes determination back to permit writer
        When the Correction Action Section has completed review of the closure report, the closure file is
        routed back to the permit writer via interoffice mail. A summarized memo of the review is
        included with comments or recommendations made during the review.

        P. Enter data in Quatro Pro (closure database.qpw)
        The permit writer enters the date the file is received back from the Remediation Division and any
        necessary comments.

        Q. CIA Team prepares and mail closure report approval letter & copies region
        The permit writer receives the closure file and memo from the Remediation Division, drafts the
        closure report approval letter and routes to Customer Information & Assistance Team for editing
        and mail-out. The letter is sent via mail to the consultant with the appropriate TCEQ region office
        receiving a copy.

        R. Send closure file to Central Records
        The permit writer sends the closure file to be included in the Central Records file.
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    3.1.15 Pretreatment POTW Annual Report
        The pretreatment program staff reviews TPDES Pretreatment Program POTW annual reports.
        The annual reports are required to be submitted by POTWs with an approved pretreatment
        program as required by 40 CFR 403.12(i) and TPDES permit. All POTWs with approved
        Pretreatment Programs shall provide the Approval Authority (TCEQ) with a report that briefly
        describes the POTW's program activities, including activities of all participating agencies, if more
        than one jurisdiction is involved in the local program. The report required by this section shall be
        submitted no later than one year after approval of the POTW's Pretreatment Program, and at
        least annually thereafter, the month that the report is due is specified in the TPDES permit
        pretreatment section.

        The reports include wastewater treatment plant(s) influent and effluent monitoring data, significant
        industrial user (SIU) inventory, and enforcement actions taken. The pretreatment program staff
        prepare and respond to notices of deficiency (NOD), NOVs, or comments letters based on the
        review findings.

        The pretreatment coordinator e-mails the Pretreatment Performance Summary (PPS) summary
        sheet to be entered into the EPA ICIS database. This is completed only for those programs
        under TCEQ’s enforcement authority. The pretreatment coordinator updates the industrial user
        (IU) information into the SIU Paradox database. The reports are assigned by the delegated
        senior pretreatment staff to the central office pretreatment coordinator, entered into the Excel
        Pretreatment Fiscal Year spreadsheet, including related correspondence. All reports for a
        particular program are assigned to the pretreatment coordinator responsible for the program.

        A. Generate list of facilities with approved pretreatment programs
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the list of
        POTWs with approved pretreatment programs and identify the records of receipt of required
        Annual Report and respective due dates.

        B. Is annual report past due?
        If the response is received by the due date, the delegated senior pretreatment staff will receive
        the Annual Report and assign the review of the Annual Report to the pretreatment coordinator
        who will notify the delegated senior pretreatment staff to update the Excel spreadsheet. Go to
        step D.

        If the response is not received by the due date, the assigned pretreatment coordinator will draft a
        notice of violation (NOV) for missing TPDES permit schedule due dates to the permit signatory
        following the Pretreatment Enforcement Determination process. Continue with step C.

        C. Pretreatment Enforcement Determination
        The pretreatment coordinator prepares an enforcement action, i.e. NOV, notice of enforcement
        (NOE), or enforcement action referral (EAR), as applicable. The purpose of the enforcement
        action is to set a schedule of compliance with any inadequate portion of the Annual Report, as
        needed.

        D. Receive paper annual report and Influent/Effluent data
        The Annual Reports may be received by the Storm Water & Pretreatment Team Leader or
        pretreatment coordinator who forwards the reports to the delegated senior pretreatment staff to
        update the Excel spreadsheet.


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        E. Enter record of receipt in the Excel spreadsheet with receipt date
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the record of
        receipt of the Annual Report, the due dates, and subsequent received dates, and the completion
        dates. The database is also updated to include any applicable notes in the comments area.

        F. Assign to Pretreatment Coordinator
        The delegated senior pretreatment staff assigns the Annual Report to the pretreatment
        coordinator to conduct an administrative review and prepare a comment, enforcement, or
        completion letter, as applicable. Information must be submitted to enable the assigned
        pretreatment coordinator to evaluate the Annual Report for administrative and technical
        completeness.

        G. Update the Excel spreadsheet with assignment
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the
        pretreatment coordinator assigned to review the Annual Report, the due dates, and subsequent
        received dates, and the completion dates. The database is also updated to include notes in the
        comments area.

        H. Input data & generate Texas Toxicity report
        The pretreatment coordinator runs a Texas Toxicity (TEXTOX) report to compare the numbers on
        the Annual Report monitoring data tables with the calculated daily average effluent limits from the
        TEXTOX model.

        I. Pretreatment Coordinator completes evaluation of reported data
        The assigned pretreatment coordinator reviews the Annual Reports for administrative
        completeness of the reports which must include influent and effluent monitoring data, significant
        industrial user inventory, enforcement actions taken, and be signed and certified by the permit
        signatory.

        J. Notify Enforcement of receipt for entry into ICIS
        The assigned pretreatment staff sends an email to the Water Quality Compliance Monitoring
        Team leader to assign an enforcement staff to update the ICIS database with the Annual Report
        Pretreatment Performance Summary (PPS) summary sheet information.

        K. Is report complete?
        The assign pretreatment coordinator needs to review each Annual Report for administrative and
        technical completeness. When the assigned pretreatment staff have determined that the Annual
        Report is administratively complete, the pretreatment staff will need to conduct the technical
        review for technical completeness. Go to step S.

        If the Annual Report received is not administratively or technically complete, the assigned
        pretreatment coordinator will draft a NOD to the permit signatory. Go to step L.

        If the Annual Report received is not received by the due date(s), the assigned pretreatment
        coordinator will draft an enforcement letter to the permit signatory, as applicable. Go to step L.

        If the Annual Report received is administratively complete, go to step S.

        L. Prepare and send NOD letter
        The assigned pretreatment staff drafts a NOD letter to the permit signatory, stating the
        deficiencies and due dates for the required revisions to the Annual Report, as applicable.

        The assigned pretreatment coordinator routes the NOD letter for the Annual Report, as
        applicable, to peer review.

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        If editorial comments or corrections are not needed, the peer review staff signs off on the routing
        form under “final” and forwards each letter directly to the Storm Water & Pretreatment Team
        leader, as applicable. If editorial comments or corrections are needed, the peer review staff signs
        the routing form under “draft” with comments and reroutes the letter back to the assigned
        pretreatment coordinator.

        Once the pretreatment coordinator completes all requested revisions to the enforcement letter for
        the Annual Report and the routing form is signed off under “final”, the peer review staff forwards
        each letter to the Storm Water & Pretreatment Team leader.

        If editorial comments or corrections are not needed, the Storm Water & Pretreatment Team
        leader signs off on the routing form under “final” and forwards each letter back to the assigned
        pretreatment coordinator for administrative preparation for certified mailing. If editorial comments
        or corrections are needed, the Storm Water & Pretreatment Team leader signs the routing form
        under “draft” with comments and reroutes the letter back to the assigned pretreatment
        coordinator.

        The assigned pretreatment coordinator emails the final letter to the administrative staff who
        prepares the letter for certified mailing. The administrative staff sends the final letter for signature
        of the assigned pretreatment coordinator and Storm Water & Pretreatment Team leader for
        signature as applicable. The administrative staff sends copies to the courtesy copy and blind copy
        list as well as Central Records.

        M. Update the Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the NOD
        requirements for the Annual Report, the due dates. The database is also updated to include
        notes in the comments area.

        N. Response received?
        If the response is received by the due date, the delegated senior pretreatment staff will receive
        the response and assign the review of the response to the pretreatment coordinator who will
        notify the delegated senior pretreatment staff to update the Excel spreadsheet.

        If the response is not received by the due date, the assigned pretreatment coordinator will draft a
        NOV for missing TPDES permit schedule due dates to the permit signatory.

        O. Pretreatment Enforcement Determination
        The pretreatment coordinator prepares an enforcement action, i.e. NOV, NOE, or EAR, as
        applicable. The purpose of the enforcement action is to set a schedule of compliance with any
        inadequate portion of the Annual Report, as needed. Return to step D.

        P. Update the Excel spreadsheet
        The delegated senior pretreatment staff updates the Excel spreadsheet to indicate the receipt of
        the NOV requirements for the Annual Report. The database is also updated to include notes in
        the comments area.

        Q. Review response
        The assigned pretreatment coordinator will review each Annual Report to determine technical
        completeness, i.e. the reports must include influent and effluent monitoring data, significant
        industrial user inventory, and enforcement actions taken.

        R. Is response complete?
        If there are errors in the submitted Annual Report, if additional data is needed, or if there are
        revisions needed to comply with federal, state and local law, the pretreatment coordinator will
        prepare an additional enforcement letter, as applicable.
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        If the response received is not complete, the assigned pretreatment coordinator will draft a NOV
        for noncompliance with the NOD previously sent to the permit signatory. Go to step O.

        If the response is complete, then the pretreatment coordinator e-mails the Water Quality
        Compliance Monitoring Team leader to assign an enforcement staff to update the EPA ICIS
        database with the Annual Report PPS summary sheet information. Continue with step S.

        S. Update SIUs in Paradox (siupret.db)
        The assigned pretreatment coordinator enters the updated SIU information into the SIUPRET.db
        Paradox database

        T. Prepare and file annual report memo in pretreatment working file
        If the numbers on the Annual Report monitoring data tables exceed the calculated daily average
        effluent limits from the TEXTOX model, the pretreatment coordinator will draft a memo to the
        pretreatment working file. The memo includes details of which parameters were exceeded that
        year. If the influent levels exceed the wastewater treatment plant maximum allowable headworks
        loading (MAHL) (which parameters and how much the MAHL is exceeded), those levels are
        included on the memo. If there is not an MAHL developed for the parameter and the influent
        levels exceed 0.1 mg/L, this is included in the memo. This information is summarized in the
        future when the POTW’s TPDES permit comes up for renewal for possible recommendation to
        the permit writer for an effluent monitoring permit requirement.

        U. Send a copy of annual report to Central Records
        The assigned pretreatment coordinator codes the Annual Report documents and forwards a copy
        to the Central Records file and files the Pretreatment team’s files and working files in the Team’s
        file cabinets.

        V. Send a copy of annual report to the region
        The assigned pretreatment coordinator forwards a copy of all documents to the Pretreatment
        Investigator in either the TCEQ Region 4 or Region 12 Office, as applicable.




    3.1.16 IP Pretreatment TBLL Reassessment Review Process
        The issued TPDES POTW permits may allow a permittee with an approved pretreatment program
        to submit a written certification that a technical reassessment of their technically based local limits
        (TBLLs) has been performed, and that the evaluation demonstrates that existing TBLLs attain the
        Texas Surface Water Quality Standards [30 TAC Chapter 307] to maintain the quality of water in
        the state, are adequate to prevent pass through of pollutants, inhibition of or interference with the
        treatment facility, worker health and safety problems, and sludge contamination. This technical
        reassessment package must include the TBLLs Reassessment Form (TCEQ-20221) and the
        TBLLs certification statement. This information is due within 60 days of the effective date of the
        TPDES permit.

        Once the permittee has been identified and the Option 3 permit requirement has been determined
        and logged in, then the next step is to wait for the information to be submitted by the permittee to
        begin the review process.

        A. Receive TBLL Reassessment form
        The permittee submits the package for the reassessment of their existing TBLLs. The submittal
        needs to include the TBLLs Reassessment Form (TCEQ-20221) completed for each wastewater
        treatment plant in the POTW’s service area and needs to be signed by the authorized signatory.

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        B. Assign to PT coordinator
        The delegated senior pretreatment staff assigns the TBLLs reassessment package to the
        pretreatment coordinator who prepared the pretreatment Option 3 permit language. The staff that
        prepared the Option 3 permit language is typically the assigned pretreatment coordinator
        responsible for oversight of that approved pretreatment program.

        C. Enter received and assignment dates in the Excel spreadsheet
        The delegated senior pretreatment staff enters in the spreadsheet the date that the TBLLs
        reassessment package was received and the date assigned to the pretreatment coordinator.

        D. PT Coordinator completes review of TBLL Reassessment form
        The pretreatment coordinator reviews the TBLLs reassessment package for administrative and
        technical completeness and accuracy.

        E. Prepare decision letter
        The pretreatment coordinator prepares the decision letter to be mailed to the permittee. Based
        on the review, the letter may be a NOD or comments letter. If the submittal was late, then a NOV
        will be issued following the Pretreatment Enforcement Determination process.

        F. Schedule and hold peer review meeting
        The pretreatment coordinator schedules a peer review meeting with senior staff to review the
        decision letter and the TBLLs reassessment spreadsheets and supporting information for
        technical accuracy.

        G. Revisions required?
        If revisions are required from the peer review, the pretreatment coordinator makes the requested
        revisions. Return to step E.
        If no revisions are required from the peer review, continue with step H.

        H. Route to Team Leader for review and signature
        The pretreatment coordinator routes the decision letter for review to the Storm Water &
        Pretreatment Team Leader and for signature.

        I. Revisions required?
        If revisions are required from the Teal Leader review, the pretreatment coordinator makes the
        requested revisions. Return to step E.
        If no revisions are required from the Teal Leader review, continue with step J.

        J. Update compliance dates in the Excel spreadsheet
        The delegated senior pretreatment staff enters in the spreadsheet the date that the TBLLs
        reassessment/certification package was accepted as complete. If the letter was a NOD, NOV, or
        comments letter, then the due date for the response is also entered in the Excel spreadsheet.

        K. Mail letter to permittee
        The pretreatment coordinator routes the resulting letter to the administrative staff to prepare for
        the Storm Water & Pretreatment Team Leader’s signature and to mail the permittee.

        L. Send copy of letter to Region, EPA, and Central Records
        A copy of the decision letter is sent to EPA, the regional office where the POTW is located and
        where the pretreatment inspector is located, and Central Records.

        M. Acceptance, Denial, or Deficient?
        Did the review and decision of the submittal require a substantial modification, more information
        for further evaluation, or was the TBLLs reassessment accepted?
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        If the pretreatment coordinator’s decision, based on the review, determined that the TBLLs
        reassessment/certification will not be accepted, then letter mailed to the permittee outlined the
        reasons for denial of the TBLLs reassessment/certification. Instead, the pretreatment coordinator
        determined that the permittee will be required to redevelop the existing TBLLs and will now trigger
        the TBLLs package to be submitted 12 months from permit issuance. The TBLLs redevelopment
        package will then be reviewed following the Pretreatment Program New
        Development/Modification process. Continue with step N.

        If the pretreatment coordinator’s decision, based on the review, determined that the submittal was
        deficient and more information is necessary, then more information is requested via a NOD or
        comments letter as applicable. The letter will have a due date to submit the required information.
        The process goes to step O.

        If the pretreatment coordinator’s decision, based on the review, determined that the TBLLs
        reassessment/certification package is adequate and complete, then a letter mailed to the
        permittee accepting the TBLLs reassessment/certification. The TBLLs reassessment/certification
        is adequate for 12 months or until the next TPDES permit issuance or until information is known
        that will trigger redevelopment of the existing TBLLs. The process ends here.

        N. Pretreatment Program New Development/Modification Process
        The pretreatment coordinator may deny the permittee’s TBLLs reassessment/certification. The
        determination will be based on the review of the TBLLs reassessment package which may
        indicate that the existing TBLLs are not to adequate to maintain the quality of water in the state,
        are not adequate to prevent pass through of pollutants and inhibition of or interference with the
        treatment facility, are not adequate to prevent worker health and safety problems, and are not
        adequate to prevent sludge contamination. If the TBLLs reassessment/certification is denied,
        then the permittee will be required to redevelop their existing TBLLs and submit the substantial
        modification within 12 months from the date of permit issuance.

        The substantial modification will be reviewed by the pretreatment coordinator according to the
        Pretreatment Program New Development/Submodification Process.

        O. Received information by due date?
        If the pretreatment coordinator determines that more information is needed from the permittee to
        complete the review of the TBLLs reassessment package, then a NOD or comments letter is
        prepared. The NOD will include the due dates for submittal of the information.
        If the requested information is received, return to step A.
        If the requested information is not received then the Pretreatment Enforcement Determination
        process will need to be followed. Continue to step P.

        P. Pretreatment Enforcement Determination
        If the permittee does not submit the TBLLs reassessment information by the due date, then the
        pretreatment coordinator prepares an NOV, or NOE, or EAR, as applicable. The purpose of the
        enforcement action is to set a schedule of compliance for the completion of the permit
        pretreatment requirements, as needed.




    3.1.17 IP Pretreatment TBLL Reassess Compliance Monitoring Process
        The issued TPDES POTW permits may allow a permittee with an approved pretreatment program
        to submit a written certification that a technical reassessment of their technically based local limits
        (TBLLs) has been performed, and that the evaluation demonstrates that existing TBLLs attain the
        Texas Surface Water Quality Standards [30 TAC Chapter 307] to maintain the quality of water in
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        the state, are adequate to prevent pass through of pollutants, inhibition of or interference with the
        treatment facility, worker health and safety problems, and sludge contamination. This technical
        reassessment package must include the TBLLs Reassessment Form (TCEQ-20221) and the
        TBLLs certification statement. This information is due within 60 days of the effective date of the
        TPDES permit.

        A. Run report from A-mainwq.db to identify POTWs permits with Option 3 requirement
        The delegated senior pretreatment staff generates the Pretreatment Option 2-3 report from the
        Paradox a-mainwq.db database every two weeks to determine which TPDES permits for
        approved pretreatment programs have been issued with the Option 3 pretreatment requirement to
        reassess/certify the existing TBLLs.

        B. Does permit have reassessment requirement?
        The senior pretreatment coordinator reviews the report to identify the permits issued with the
        Option 3 pretreatment language requirement to reassess/certify the existing TBLLs.

        If the permit has the TBLLs reassessment requirement, continue with step C.
        If not, go to step F.

        C. Has a reassessment occurred in the previous year?
        If the TPDES POTW permit allows the permittee to reassess/certify their existing TBLLs, then the
        senior pretreatment coordinator reviews the Excel spreadsheet to determine how long it has been
        since the permittee reassessed/certified their existing TBLLs.

        If a TBLLs reassessment has occurred in the last year, the process ends here. The permittee
        does not need to submit another reassessment within one year, unless conditions at the
        wastewater treatment plants have triggered significant changes that will impact the TBLLs.
        If a TBLLs reassessment has not occurred in the last year, continue with step D.

        D. Send reminder notification to permittee of reassessment or submod
        The senior pretreatment coordinator assigns to the pretreatment coordinator that reviewed that
        Option 3 permit to prepare the TBLLs reassessment letter, which includes the TBLLs
        Reassessment form. The letter is sent to the Administrative staff to prepare for signature by the
        pretreatment coordinator and to mail to the permittee. This letter is not required to be sent if the
        permittee already has downloaded the information from the TCEQ’s website.

        E. Update reassessment/submod dates in the Excel spreadsheet
        The delegated senior pretreatment staff creates a record in the Excel spreadsheet to include the
        TPDES permit number, name of municipality, permit issued date, TBLLs reassessment due date,
        extension due date, and the name of the pretreatment coordinator who drafted the pretreatment
        permit language and assigned to review the TBLLs reassessment results submitted by the
        permittee. Continue with step H.

        F. Is a submod pending?
        If the issued TPDES POTW permit does not have the requirement to reassess the existing TBLLs
        or to redevelop new TBLLs as a substantial modification, then the pretreatment coordinator
        reviews the Excel spreadsheet to determine if the permittee has already submitted a substantial
        modification.

        If a substantial modification is pending and it includes the redevelopment of TBLLs, then the
        process continues with step L. No need to require permittee to reassess the TBLLs if they have
        already redeveloped them and approval is pending.
        If a substantial modification is not pending, continue with step G.

        G. Is a submod required?
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        If the TPDES POTW permit requires that the permittee redevelop their TBLLs to replace the
        existing TBLLs, then the substantial modification is due within 12 months from permit issuance. A
        permittee will not be allowed the opportunity to reassess/certify their existing TBLLs for various
        reasons. Continue with step H.

        If the issued TPDES permit does not require the permittee to redevelop new TBLLs as a
        substantial modification, then there is no further action required by the permittee. The process
        ends here.

        H. Received submod, reassessment or extension request?
        If the TPDES permit requires that the permittee redevelop their TBLLs, then the pretreatment
        coordinator prepares the letter to be mailed to the permittee. The letter notifies the permittee of
        the TPDES permit pretreatment requirements to submit a modification within 12 months from the
        date of permit issuance. This letter is not required to be sent if the permittee if TCEQ has already
        received notification from the permittee that they are aware of the permit requirement to
        redevelop the existing TBLLs.

        The pretreatment coordinator is assigned the permittee’s submittal for review. The permittee may
        submit an extension request or the TBLLs reassessment or the modification.

        If the request was for an extension, continue with step I.
        If the request was for a TBLLs reassessment, go to step J.
        If the request was for a substantial modification, go to step L.
        If no request for modification, reassessment, or extension was received then enforcement may be
        required following the Pretreatment Enforcement Determination process, go to step K.

        I. Extension Request Process
        The pretreatment coordinator is assigned the extension request and reviews the request
        according to the Pretreatment Extension Process.

        J. Technically Based Local Limits Reassessment Review
        The pretreatment coordinator is assigned the TBLLs reassessment submittal and reviews it for
        completeness and accuracy according to the Technically Based Local Limits Reassessment
        Review Process.

        K. Pretreatment Enforcement Determination
        If the permittee does not submit the TBLLs reassessment or the modification or an extension
        request, then the pretreatment coordinator prepares an NOV, or NOE, or EAR, as applicable.
        The purpose of the enforcement action is to set a schedule of compliance for the completion of
        the permit pretreatment requirements, as needed.

        L. Pretreatment program new development/modification
        The pretreatment coordinator is assigned the modification submittal and reviews it for
        completeness and accuracy according to the Pretreatment Program New
        Development/Modification Process.




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    3.1.18 Industrial Waste Survey (IWS) Compliance Monitoring Process
        A. Individual Permit Application Process
        The TPDES POTW permit is issued with the Option 2 pretreatment requirement for the permittee
        to submit an industrial waste survey (IWS), known as Activity No. 1, within 60 days of the
        effective date of the TPDES permit. The IWS shall consist of a qualitative analysis of pollutants
        being contributed by all industrial sources in the POTW’s entire municipal system (including all
        wastewater treatment plants).

        B. Run report every 2 weeks from A-mainwq.db to identify POTW permits with Option 2
        requirement
        The delegated senior pretreatment staff generates the Pretreatment Option 2-3 report from the
        Paradox a-mainwq.db database every two weeks to determine which TPDES permits have been
        issued with the Option 2 pretreatment requirement to develop a new pretreatment program.

        C. Enter permit & compliance data in the Excel spreadsheet
        The delegated senior pretreatment staff creates a record in the Excel spreadsheet to include the
        TPDES permit number, name of municipality, permit issued date, Activity 1/IWS due date,
        extension due date, and the name of the pretreatment coordinator who drafted the Option 2
        pretreatment permit language. This is the person who will be assigned to review the Activity
        1/IWS results submitted by the permittee.

        D. Generate Industrial Waste Survey (IWS) letter
        The assigned pretreatment coordinator prepares the IWS letter and enclosures which include the
        IWS questionnaire and instructions.

        E. Send IWS packet with letter to permittee
        The IWS letter and enclosures are sent to the Administrative staff to prepare and to be mailed to
        the permittee with the pretreatment coordinator’s signature.

        F. IWS or extension received by due date?
        The TPDES permit allows the permittee to submit a one time 60-day extension request of the due
        date for Activity 1/IWS no later than 14 days prior to the due date and show good cause for the
        requested extension.

        If the permittee does not submit an extension request or the IWS results, then the pretreatment
        coordinator drafts the appropriate enforcement response following the Pretreatment Enforcement
        Determination process. Go to step I.

        If the permittee submits an extension request, then the pretreatment coordinator will review the
        request, discuss with the Storm Water & Pretreatment Team Leader, and draft the appropriate
        response letter following the Pretreatment Extension Request process. Go to step G.

        If the permittee submits the IWS results, then the pretreatment coordinator will review the IWS
        package for administrative and technical completeness following the Pretreatment Program New
        Development/Modification process. Go to step H.

        G. Pretreatment Extension Request
        If the permittee requests an extension for Activity 1/IWS, the assigned pretreatment coordinator
        will review the reasons for the request and will discuss their recommendations with senior staff or
        the Storm Water & Pretreatment Team Leader. If the request is granted, the pretreatment
        coordinator will prepare an extension letter granting the request with the extended due date.

        H. Pretreatment Program New Development/Modification
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        When the permittee submits the IWS results, the assigned pretreatment coordinator will review it
        for administrative and technical completeness and prepare a NOD, comments, termination or
        continuation letter, as applicable.

        I. Pretreatment Enforcement Determination
        The pretreatment coordinator prepares an NOV, or NOE, or EAR, as applicable. The purpose of
        the enforcement action is to set a schedule of compliance with the completion of the Activity
        1/IWS, as needed.




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    3.1.19 Significant Industrial Users Non-Pretreatment POTWs Semi-Annual
           Report
        The WQ Division receives the baseline monitoring reports, 90-day compliance reports, and semi-
        annual (June and December) compliance reports from categorical industrial users (CIUs)
        discharging to publicly owned treatment works (POTWs) without an approved TPDES
        Pretreatment Program. The reporting requirements for CIUs are in 40 CFR §403.12.

        Please note that at this time, the TCEQ does not require noncategorical significant industrial
        users (SIUs) to submit reports to the TCEQ.

        The reports are entered directly into the EPA’s ICIS database by the delegated senior
        Pretreatment staff who then forwards copies of the reports to the Field Operations Division (FOD)
        for compliance review and the originals to Central Records. The pretreatment program staff
        provides customer service to consultants, industries, POTWs, FOD, and the TCEQ’s Small
        Business and Local Government Assistance program via meetings, telephone calls, and e-mails.

        A. Receive SIU non-pretreatment POTW semi-annual report
        If a facility has been identified as a CIU and the TCEQ has not received a baseline monitoring
        report, 90-day compliance report, or semi-annual (June and December) compliance report by the
        required due date, the delegated senior pretreatment staff will communicate with the assigned
        FOD pretreatment investigator in either TCEQ Region 4 or 12 Office to draft a notice of violation
        (NOV) to the facility regarding the missing reports.

        B. Already in ICIS or Excel spreadsheet?
        If the facility is not already in the Excel spreadsheet, the delegated senior pretreatment staff will
        create an entry into the database file. The delegated senior pretreatment staff enters in the Excel
        spreadsheet information to indicate the following: facility information, types of reports that are due
        and due dates of the baseline monitoring reports, 90-day compliance reports, and semi-annual
        (June and December) compliance reports.

        If the facility is does not already have a TXP identifying number and is not in the EPA’s ICIS
        database then one will need to be created and the record created in ICIS with the required
        contact information. Go to step D.

        If the facility is already in the Excel spreadsheet, go to step C.

        C. Log receipt in the Excel spreadsheet
        If the facility already has an entry file in the Excel spreadsheet, the delegated senior pretreatment
        staff updates the database to indicate the facility information, types of reports that are due and
        due dates of the baseline monitoring reports, 90-day compliance reports, and semi-annual (June
        and December) compliance reports.

        D. Identification of SIU non-pretreatment POTWs
        The delegated senior pretreatment staff determines if the facility is a CIU with categorical effluent
        guidelines pretreatment standards or a noncategorical SIU with or without local limits.

        E. Are they a CIU or SIU?
        If the facility is a CIU with categorical effluent guidelines pretreatment standards, the baseline
        monitoring report, 90-day compliance report due dates are determined by the date of process
        wastewater discharge. The semi-annual report due dates will be June and December with
        additional monitoring data requirements and effluent limits, depending on the type of category
        under which the CIU is regulated. The due date is the last day of the specified month. Continue
        with step F.
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        If the facility is a noncategorical SIU, the delegated senior pretreatment staff will determine if
        there are local limits that the SIU needs to comply with. The semi-annual reports are due every
        six months. Go to step K.

        F. Pretreatment Coordinator enters record in ICIS
        The record and updated contact information are entered directly into the EPA’s ICIS database by
        the delegated senior pretreatment staff.

        G. Complete checklist
        The delegated senior pretreatment staff completes the checklist that the baseline monitoring
        reports, 90-day compliance reports, and semi-annual (June and December) compliance reports
        are administratively complete.

        H. Send original reports to Central Records
        The delegated senior pretreatment staff then codes the reports and forwards original copies of
        the baseline monitoring reports, 90-day compliance reports, and semi-annual (June and
        December) compliance reports to the applicable municipal TPDES permit (of the wastewater
        treatment plant receiving the facility’s process wastewater) file in Central Records.

        I. Send checklist and copy of report to Region Pretreatment Investigator
        The delegated senior pretreatment staff then forwards copies of the checklist and baseline
        monitoring reports, 90-day compliance reports, and semi-annual (June and December)
        compliance reports to Region pretreatment investigator in either TCEQ Region 4 or 12 Office for
        determining technical completeness and compliance review.

        J. Region Pretreatment Investigator monitors compliance and inspects SIUs
        The Region pretreatment investigator in either TCEQ Region 4 or 12 Office monitors compliance
        with the reporting requirements and effluent limits (categorical effluent guidelines pretreatment
        standards for categorical industrial users and local limits for noncategorical SIUs) and inspects
        these SIUs as needed.

        K. SIU is notified by telephone or inspection that no further information is needed
        The FOD pretreatment investigator in either TCEQ Region 4 or 12 Office monitors compliance
        with the reporting requirements and effluent limits and notifies the facility by telephone contact or
        inspection results that no further information is needed for compliance with a specific report.

        The FOD pretreatment investigator in either TCEQ Region 4 or 12 Office monitors the facilities to
        determine if and when facilities shut down, and no further reports are required.

        L. Send semi-annual report to Central Records & copy to region




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    3.1.20 MER (Monthly Efluent Reports) Data Management
        A. MER Submittal Processing
        MER Submittal Processing

        B. MER Document Maintenance
        MER Document Maintenance

        C. MER Facility Assignment and Other Requirements
        MER Compliance Monitoring is directly assigned the individual Enforcement Division’s
        Compliance Monitoring Section MER Specialist.

        D. MER Data Distribution
        MER Data Distribution

        E. MER Enforcement Determination


      3.1.20.1 MER Submittal Processing
        A.      Receive submittal from facility
        The Compliance Monitoring Section receives submittals from permitted facilities which include:
        requests requests for suspension of monitoring and reporting requirements, initial submittals of
        self-reporting forms, corrected self-reporting forms, and all other submittals.

        B.      Date stamp paper forms & letters
        All documents and letters are stamped by Enforcement Division administrative staff with the date
        received in the Enforcement Division. This date is used to determine a permitted facility=s
        compliance with submission deadlines or due dates.

        C.       MER Request for Suspension of Monitoring & Reporting Requirements
        If a suspension request is received, the MER Request for Suspension of Monitoring & Reporting
        Requirements process is followed.

        D.      MER Receipt of Initial Submittal of Self-Reporting Forms
        If the MER is the initial submittal for the reporting period the MER Receipt of Initial Submittal of
        Self-Reporting Forms process is followed.

        E.        MER Receipt of Resubmitted Forms
        If the form is a resubmittal it follows the MER Receipt of Resubmitted Forms




       3.1.20.1.1 MER Request for Suspension of Monitoring and reporting Requirements
        A permittee that is currently required to self-report may request that monitoring and reporting
        requirements be suspended for an outfall or set of outfalls if the permittee does not plan to
        discharge from the outfalls for a period of time but wants to maintain the permit. Such requests
        must be made in writing. In TRACS, the outfalls will be suspended. The majority of requests to
        suspend monitoring and reporting requirements follow the A-G path. If the Regional Manager
        has reason to believe that the suspension should not take place, the path may be A-G, H and K
        are followed.

        A. Receive request to suspend requirements

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        The request to suspend reporting requirements is received from the facility representative. The
        request letter should include the outfalls that need to be inactivated and the reason for the
        inactivation. All requests to suspend current monitoring and reporting requirements or put outfalls
        on an inactive status must be made in writing.

        B. Who received request?
        If the CMC receives the request, the request should be promptly delivered to the Work Leader.
        When the Work Leader receives the request, the request is forwarded to the Suspension
        Specialist.

        C. Forward to Work Leader
        If the request is submitted directly to the CMC, the CMC will forward the request to the work
        leader for review.

        D. Work Leader Reviews
        The work leader will review the request to determine assignment.

        E. Forward to Suspension Specialist
        The Work Leader will assign the written requests to the Suspension Specialist with a due date for
        the action to be completed. The Suspension Specialist will handle all of these requests for the
        Compliance Monitoring program.

        F. Suspension Specialist Reviews request
        The specialist will review the request to determine the reason for the request.

        G. Suspension Specialist e-mails Regional Manager for concurrence
        The Suspension Specialist will send an e-mail to the Regional Water Section Manager asking if
        the region has any objections to or concerns about suspending monitoring and reporting
        requirements for the permittee. The e-mail will include the reason that the permittee is requesting
        suspension (e.g., facility not built yet or plant shut down for an indefinite period of time). If the
        explanation for requesting suspension is rather involved, the e-mail will indicate that a faxed copy
        of the request will be sent to the Regional Water Section Manager. The region will be asked to
        respond within two weeks. If the region does not respond within two weeks, the Suspension
        Specialist will proceed with processing the request.

        H. Regional Manager concurs?
        If the Regional Manager consents to the request, the outfall is inactivated in the appropriate
        databases. If the region responds with objections or concerns, the Suspension Specialist will
        discuss the matter with the Work Leader to determine what appropriate action should be taken.

        I. Suspension Specialist and Work Leader discuss
        If the regional manager does not concur with the suspension request, the work leader and
        suspension specialist will review the response and determine the final action.

        J. Agree to Suspend
        If the work leader decides to proceed with the suspension the process continues with K. If not,
        the process continues with L.

        K. Inactivate appropriate outfalls in TRACS
        If it is determined that a request should be processed, the Suspension Specialist will suspend the
        appropriate outfalls in TRACS and put a statement in the Extension Description/Notes indicating
        the effective date of suspension with reference to related documentation: "Suspended effective
        (insert date) per TCEQ Enforcement Division letter dated (insert date) (permittee request dated
        (insert date))." The effective date of suspension will be the first day of the month after the
        response is due from the region, unless otherwise instructed by the Work Leader.
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        L. Notify Permittee of approval/denial in writing
        Once the changes in TRACS have been confirmed, the Suspension Specialist will draft a letter of
        response to the facility representative using the appropriate shell letter on the H drive. The Water
        Quality Applications Team and the CMC that is assigned to the facility will be copied on the letter.
        If the facility has a Water Quality permit that is not TPDES, the CMC that handles the state self-
        reporting program will also be copied on the letter. The letter will be addressed to the individual
        submitting the suspension request for the permittee. If that individual is not the cognizant official,
        the cognizant official will be copied on the letter. The letter will identify the effective date of the
        suspension of monitoring and reporting requirements and the outfalls to which the suspension
        applies. The letter will also advise the permittee that a written notice needs to be provided to the
        TCEQ Regional Office and the TCEQ Central Office (to the Compliance Monitoring Team for
        CAFO permits or to the Water Quality Applications Team for all other permits) forty-five (45) days
        prior to startup or anticipated discharge from the suspended/inactivated outfalls, whichever
        occurs first. A copy of the facility representative's request will be included as an enclosure with
        the letter. The original letter from the facility representative will be sent to Central Records. The
        Suspension Specialist will give the letter and back-up material to the Work Leader for review and
        sign-off. The back-up material will include the facility representative=s written request, outfall
        summaries and documentation from TRACS and PCS showing the changes made. If the facility
        is not in PCS, a note to that effect will be provided with the back-up material.

        M. MER Document Maintenance
        Final documents are processed following the MER Document Maintenance process.




      3.1.20.2 MER Receipt of Initial Submittal of Self-Reporting Forms
        Enforcement Division Administrative Technicians open mail and date-stamp all pages of mail with
        the date of receipt by the Enforcement Division. Self-reporting forms and any attached
        correspondence are separated from the other mail. MERs are given directly to the MER
        Specialist from A. The MER Specialist generally proceeds through the E-I path for all MERs,
        since MERs do not require a copy to be submitted.

        A. Receive initial self-reporting forms
        CM Administrative Technician receives all the self-reporting forms. Self-reporting forms and any
        attached correspondence are separated from the other mail. MERs are given directly to the MER
        Specialist.

        B. Send to off-site contractor?
        MERs are routed directly to the MER Specialist. The MER Specialist will prepare MERs to be
        sent to the contractors. Contractors working off-site enter nearly all of the MERs into the TRACS
        database. The MER Specialist distributes data entry work between the TCEQ Data Entry
        Specialists and data entry contractor. When TCEQ staff cannot complete all the data entry work,
        extra MER data entry may be sent to the contractors.

        C. MER TCEQ Staff data entry
        MER TCEQ Staff data entry

        D. MER Contractor Data Entry
        MER Contractor Data Entry


       3.1.20.2.1 MER TCEQ Staff Data Entry
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        Most MERs are sent to contractors for keying. However, revisions to data in the TRACS
        database are completed by the CMC who is designated as the MER Specialist.

        A. Receive MERs for Data Enty
        MER Specialist Receives MERs from Administrative Staff for data entry.

        B. Entry on Tracking Log
        MER Specialist enters the recipet of each MER on a Word Tracking Log.

        C. Mark Reciept on the Delquency Screen in TRACS.
        MER Specialist indicates receipt of the MER in the TRACS Delinquency Screen.

        D. On Delinquency Screen?
        MER Specialist confirm whether the received MERs are listed in the TRACS Delinquency Screen

        E. MER Specialist for TRACS reviews submission for errors
        For MERs, the data is entered and stored in the TRACS database. TCEQ Data Entry Specialists
        do not complete the data entry for MERs since the off-site contractors do the large majority of the
        data entry. However, the CMC who serves as the MER Specialist routinely keys in revised data
        into TRACS. The CMC regularly reviews submissions from the contractors for missing or
        questionable data. The CMC also reviews revised submissions and make corrections into the
        TRACS database rather than sending these MERs to the contractors.

        F. Errors present?
        When the CMC has identified errors, the CMC must then determine if the error was caused by a
        data entry error or an error on the part of the facility.

        G. Enter data into TRACS:
        If the data that is in TRACS does not exactly match the values that are present on the MER
        forms, the CMC keys in the data correctly into the TRACS database. Once the CMC has
        determined that the data from the MERs adequately reflects the data in the TRACS database, the
        original MER forms are filed into the appropriate storage.

        H. MER Document Maintenance
        MER Document Maintenance process is followed to complete the entry process.

        I. Contact facility
        If the CMC determines that the facility has made an error on the MER, or if the data on
        the MERs is questionable, the CMC may then contact the facility. The CMC calls the facility and
        requests clarification on the questionable data.

        J Re-submission required?
        After clarification is gained from the facility, the CMC determines if the errors can be corrected
        internally or if the facility will need to submit a new MER to correct the data.

        K. Request new submission
        If the CMC determines that a new revised MER should be submitted to correct the information in
        the TRACS database, the CMC discusses how the errors should be corrected on the MER forms
        with the facility. The CMC then requests that a revised MER be submitted before the data can be
        corrected in the TRACS database. Once this submittal is received, the CMC corrects this data in
        the database.



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       3.1.20.2.2 MER Contractor Data Entry
        Some data entry for self-reported effluent data is completed by an off-site contractor. The
        contractor completes nearly all of the initial data entry for the MERs. The completion of MER
        data entry by the contractor is monitored by staff in the Compliance Monitoring (CM) Section of
        the Enforcement Division. For the purposes of this procedure, these individuals are referred to as
        a MER Specialists.

        A. MER Specialist assigns job and batch numbers
        For MERs, a MER Specialist assigns a job identification number (determined by specialist) to
        each batch of forms. These numbers are kept on file to track the return of all the batches of the
        self-reporting forms sent to the contractor.

        B. Document how many pages per batch
        The CMC designated as the MER Specialist counts out MERs at a rate of no more than 100
        MERs per batch. The number of forms per batch are counted and recorded in the upper right
        corner of the work order form.

        C. Complete IR PC/RS data entry work order
        The MER Specialist fills out a data entry work order form for each group of batches of self-
        reporting forms before the batches are shipped to the contractor for data entry. The date mailed
        is noted on the work order and should be the 15th day of the month after they are received by the
        Enforcement Division. The due date for the contractor to return the batches is noted on the work
                                  rd
        order and should be the 3 working day of the month.

        D. Keep copy of work order
        A copy of each work order that is submitted to the contractor is completed and kept on file. The
        MER Specialist maintains a copy of the work order form to monitor the due date for return of the
        entered forms by the contractor.

        E. Contactor picks up batches of forms
        The batches of MERs are put together with the code sheets and work orders and prepared for
        contractor pick-up.

        F. Data entry performed by contractor
        Upon receipt of a batch, the contractor records the date received on the work order form. Data
        entry is performed by the contractor. The contractor internal process will not be detailed here.
        The work order forms and assignment batch sheets are individually completed by the contractor
        that completes the work.

        G. Contractor generates files on disk (flat file)
        When the data entry contractor is complete with the work order, they download all work onto a
        disk. After all of the data entry has been downloaded into flat files, the contractor sends the
        batches of forms with the completed code sheets back to the TCEQ with the mail date entered on
        the work order form. The contractor returns MER batches and disks with entered data to the
        TCEQ ENF Division.

        H. TCEQ received forms and files on disk from contractor
        TCEQ receives the forms and files from the contractor. The MER Specialist first receives the
        MER and disks from the contractor. MER Specialist uploads the disk to the FileZilla where it is
        received by IR Division and uploaded to TRACS. When this process is complete, the MERs and
        attached work order forms are then forwarded the Enforcement Division. Upon receipt of the
        completed batches and files from the contractor, the MER Specialist will note the date received
        by Agency Contact for MER batches. In addition, the IR Division records the date the MERs are
        mailed to the MER Specialist on the work order form after the upload of data into TRACS.
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        I. MER Specialist compares batches to work orders
                  th
        On the 10 day of each month, the MER Specialist determines if all batches sent to the contractor
        were received. The MER Specialist identifies which batches were not received by checking the
        work order forms. The MER Specialist then verifies that the correct numbers of forms per batch
        were returned by the contractor. This is determined by comparing the number of forms returned
        with the number of forms sent to the contractor (recorded in the upper right corner of the work
        order form). The MER specialist also compares the date received by Agency Contact to the date
        required to determine if the batch was returned on-time or late by the contractor and marks the
        work order form accordingly.

        J. All batches returned?
        If all the forms in the batch were returned, the MER Specialist initials the recorded number in the
        upper right hand corner. The MER Specialist files the returned work order form. The MER
        Specialist provides a report to the Work Leader and the Compliance Monitoring Section Manager
        by the 20th day of each month of the monthly and cumulative number of forms received on time,
        received late, and overdue but not received yet for the fiscal year.

        K. MER Specialist contacts contractor to locate missing items
        If the MER Specialist determines that any item was not received, the Specialist contacts the
        appropriate person to track down the missing forms. For a missing MER batch, the MER
        Specialist contacts the TCEQ IR Division to determine if the batch has been received by IR. If IR
        has not received it, the MER Specialist contacts the contractor. If the IR Division has not
        received the batches of MERs, the MER Specialist contacts the contractor to request the missing
        forms.

        L. Contractor sends missing items to TCEQ
        Once the contractor locates the missing batches or forms, they immediately send the missing
        items to the appropriate TCEQ location. The MER Specialist tracks all missing batches after the
        follow-up contact. The MER Specialist notifies the Work Leader if a batch is not received within
        10 calendar days after the follow-up contact has been made. The Work Leader determines what
        additional action should be taken.

        M. Data from disk loaded into TRACS by IRD
        The TCEQ IR Division loads the data from the tapes into TRACS.

        N. MER Document Maintenance




      3.1.20.3 MER Receipt of Resubmitted MER Forms

        The Enforcement Division administrative staff receives resubmitted MERs in addition to initial
        submittals of self-reporting forms.

        A. Receive resubmitted MER Forms
        The resubmitted self-reporting forms are received from the permitted facility and are date
        stamped by the Enforcement Division administrative staff.
        B. Forward to staff for compliance monitoring determination. The documents are forwarded from
        the administrative staff to the CMC that is responsible for monitoring the permitted facility. The
        CMC reviews the documents and determines what action should be taken.

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        C. MER TCEQ Staff Data Entry
        MER TCEQ Staff Data Entry process is followed.


      3.1.20.4 MER Document Maintenance

        The purpose of document maintenance is to ensure that original, current, and historical
        submission-related documents are maintained in files for the required period. While all data is
        entered in databases, the copy of record is still the paper submission because the signature of
        the submitter is on the paper document.

        All original MERs for the last 3 full calendar years are located at the Enforcement Division. All
        other documents are forwarded to Record Services (MC 212). It should be noted that the original
        submissions related to other self-reporting requirements and related correspondences are not
        retained within the Working file. Only copies are stored in the file. All other original submissions
        are transferred to Record Services.

        Supplemental documents (e.g., permits, database reports, summary logs, address and signatory
        authority update forms, enforcement actions, and other compliance-related documents) are
        maintained in files, known a AWorking Files@, which are stored in the Enforcement Division.

        Retrieve Forms/Files
        The document retrieval process begins with the receipt of a request for a
        facility=s file. Typically, the information need to fulfill a request is the permit identification number
        and desired reporting period. Fulfilling the request for a submission begins with locating the
        physical file and extracting the requested records. Path A to G describes flow process of
        retrieving forms and/or files.

        A.      Receive File Request
        The retrieval of forms or files process begins with submission of a request. The requestor=s
        authorization to access the data may be verified before records are removed, and is limited to
        only the information requested. In general, submissions by the permitted facilities are public
        information and are available for review with the exception of inspection schedules and pending
        enforcement actions, and any other information which may result in a homeland security issue.

        B.      Identify File that contains requested form
        Typically, the information needed to fulfill a request is the permit identification number and
        desired reporting period.

        C.        Locate file
        Fulfilling the request for submission begins with locating the physical file and extracting the
        requested records. Dependant upon the request, records may need to be retrieved from various
        locations.

        D.       Log out file
        Dependant upon the requestor, a file log out may be required. For interagency requests in which
        the record review is conducted within the stored location, file log out is not required. For
        interagency requests in which the records are removed from the stored location, a tracking form
        is inserted in place of the record=s location. The tracking form will include the requestor=s name
        and the date of record removal. For all external agency requests, original records can viewed at
        the locations the records are stored.

        E.       Request for original or copy?

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        For requests within the agency, copies of file contents generally satisfy the need of the requestor
        unless otherwise specified. If original document requests, the file and the information contained
        in them are forwarded to the requestor.

        For external agency requests including FOIA related requests, information copies will only be
        made available. The only exception are program audits by either EPA or the State Auditor=s
        Office.

        F.      Send originals to requestor
        To satisfy original document requests, the files and information contained in them are sent to the
        requestor.

        G.       Make copies and send to requestor
        To satisfy document copy requests, the requestor will receive the requested copies and the
        original documents will be forwarded back to document storage. The process continues to step L

        .
        H. Receive Documents
        For Document Storage, after the requestor=s review is complete, the records are returned to the
        original location, the file placeholder is located, and the records are returned to storage

        I.      New permit or record series?
        Submitting facility records for storage depends on whether the record is new or if a file exists.

        J.       Locate file in CMC office
        Submission of information into existing facility file involves locating the file.
        Any file(s) removed from document storage are logged out for tracking purposes. When files are
        removed from the stored location, a tracking form is inserted in the record=s storage location.

        K. Establish File
        For submission of information for a new facility, a physical file is established. MERs are stored in
        files known as MER files. All other related self-reporting requirement information is in files known
        as Working Files. Whether a Working file or MER file, the permit identification number will be
        labeled on the outside tab.

        MERs are stored in accordion files, in which the submittals are stored in a chronological and
        discharge identification number order.

        L.      Put document in file
        Upon the location or creation of a record file, the appropriate document is stored within this file.
        IF the document is forwarded to Central Records (MC 212), the document is properly coded in
        the upper left corner.

        M.       Return file and log in
        If the document storage file was removed and logged out of the stored location, the file is
        returned and logged into storage. The appropriate document steward retrieves the tracking form,
        and strikes out the information in reference to record removal. The steward places the record in
        storage.




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        Archive mMER Forms
        All original self-reporting submissions are maintained in files known as A MER Files,@ for
        the required period. The required period is 3 years onsite at the TCEQ and 5 years after
        that at the State=s archival facility at the Texas State Library (TSL).
        Path N to S describes the flow process of archiving Self-Reporting Forms.

        N.      Request forms to be pulled from storage
        Once a year, the Compliance Monitoring Team 2 Work Leader will schedule all Self-
        Reporting Forms for the calendar year, 3 years previous to the current year. The Work
        Leader forwards the archival request to the Archival Specialists and all Compliance
        Monitoring Coordinators (CMCs).

        O.       Request boxes and filing folders from supply
        The Archival Specialists runs Inventory Reports from PCS and TRACS to determine the
        quantity of accordion-style folders required to store the SRFs. TSL requires that all SRFs
        be filed in separate folders for each permittee. Typically, an estimated 3,000 folders are
        requested from the Office Inventory Supplier. Additionally, filing boxes are requested for
        folder storage, which is approximately 70 filing boxes.

        P.       Consolidate and sort by permit number
        The Archival Specialists coordinates with the CMCs to consolidate all SRFs within a
        centralized location. The Work Leader determines and assigns the date which the
        consolidation must be complete. Upon consolidation, the Archival Specialists begins
        sorting the SRFs by permit identification number and place them within a file folder. MERs
        are sorted by state permit number.

        Q.        Label folders and file in boxes
        The Archival Specialists labels each SRF file folder per permit identification number. The
        labeled file folders are stored on filing box, in which a label placed outside of each box
        identify the content by permit identification number range.

        R.        Create invoice for each box and complete form TCEQ-20079Each Box includes
        an electronically complete TCEQ-20079 form entitled ARecords Transfer - Box Contents@
        for each box and places a copy inside the lid of the box. The Archival Specialist=s name
        and phone number are listed on the form as the customer. The permit number of each
        facility whose records are in the box are listed on the form.

        The specialist sends all forms by e-mail to the Agency Records Analyst, and cc: the CM
        Team 1 Work Leader, CM Section Manager, and the Division Records Liaison.

        S.      Coordinate pickup with state archive
        Upon email receipt Division Records Liaison electronically forwards the transfer request to
        the TSL. The Archival Specialists are notified when pick up of the records will occur.
        Upon notification, the specialists enters the date of records transfer onto the forms. When
        the records are picked up, courtesy copies of the forms are left with the specialists.

        T.       Forward signed TCEQ-20079 form to IRD Record Mgmt. and work leader
        The Archival Specialists provide copies of all of the forms documenting the records
        transfer to IRD’s records management, the Division Records Liaison, and the CM Team 1
        Work Leader.

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      3.1.20.5 MER Data Distribution

        The purpose of data distribution is to manage the TPDES Program, keep the public and
        private sector informed, and prepare data from PCS and TRACS for uploads to local
        systems.

        Path A to D is the procedure for the processing of requested and required database
        reports.

        A. Request for Data Received
        Report (i.e., queries) generated from local databases are used for reviewing compliance
        and evaluation of the program.

        For statistical and program compliance reports, predefined database retrievals have been
        developed to meet scheduled reporting requirements.

        B. Select appropriate report to run
        Prior to generation of any scheduled or requested reports, the applicable data warehouse
        must be determined. For information requests related to the State WQ Program, reports
        are generated from TRACS.

        Data Requests

        In general, governmental databases are public information and therefore are available for
        review, except for inspection schedules and pending enforcement actions. Reports may
        be generated in response to requests or scheduled reporting requirements.

        Data requests are often generated for agency staff and permittee representatives.
        Predominantly, data requests are in relation to MER self-reporting data. For self-reporting
        data requests, existing database queries have been designed to meet this need. For
        requests made for MER data, the report processor uses the TRACS query named Monthly
        Effluent Report. Each query has been designed to be flexible enough to meet most
        specifications included in data requests.

        There are only five queries for TRACS data in which reports can be generated in relation
        to compliance monitoring and reporting. No other means exists to create specialized
        TRACS queries.

        C. Run report(s)
        Upon determination of the specific needs of the requestor, the report(s) are executed.

        D. Distribute reports to requestor(s)
        To meet the needs of the requestor, the generated reports are forwarded in either a
        printed or electronic format.

        E. MER Generation of self-reporting forms
        MER Generation of Self-Reporting Forms


       3.1.20.5.1 MER Generation of Self-Reporting Forms


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        A.      Need or receive request for forms
        The generation of self-reporting forms is initiated through requests from the Water Quality
        Applications Team staff, Compliance Monitoring Team staff, or through quarterly MER
        supply orders, or permittee request.

        When the Water Quality Applications Team has completed the data entry of permit limits
        into TRACS for each facility, they e-mail the MER Specialist a list of permits that require
        MER supplies. This list includes facilities with new permits, facilities that have had limit
        coding errors corrected, and facilities where there has been a change in operating phase.
        The list of facilities contains the permittee name, EPA TX number, and TPDES permit
        number.

        Individual facilities may request MERs on a case-by-case basis. These requests are
        processed in the same manner as the e-mail requests from the Water Quality Applications
        Team.

        Supplies of MERs are mailed to facilities every quarter. The MER Specialist receives a list
        of permits that fall under each quarter code from Crystal Reports. The quarter codes are
        as follows: Quarter Code 1 MERs are generated in the month of March of each year and
        cover the monitoring period of April through March of the following year, Quarter Code 2
        MERs are generated in the month of June of each year and cover the monitoring period of
        July through June of the following year, Quarter Code 3 MERs are generated in the month
        of September of each year and cover the monitoring period of October through September
        of the following year, Quarter Code 4 MERs are generated in the month of December of
        each year and cover the monitoring period of January through December of the following
        year.

        B.       CMC requests forms from database application

        The MER Specialist checks the list of permits from the Crystal Report.

        C.       Forms checked against request
        The MER Specialist compares the lists used to order the reporting forms with the MERs
        that are received.

        D.      Forms missing?
        After comparing the list of ordered reporting forms to the MERs that are received, the MER
        Specialist determines if any of the forms are missing. If there are reporting forms that
        have not been received, the missing forms are re-ordered. If all of the forms have been
        received, the remaining procedures in the generation of self-reporting forms continue.

        E.     Mail forms with appropriate cover letter . The CM MER Specialist a cover letter to
        each packet of MERs. The reporting forms are then mailed to the permittee



      3.1.20.6 MER Enforcement Determination

        When making the determination of enforcement, the CM Section considers such factors
        as: the severity of the violation in terms of degree of variance from the permit condition or
        legal requirement; duration of the violation; and previous enforcement actions taken

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        against the violator. Also considered is the impact on the environment and the impact on
        the integrity of the TPDES and State WQ programs.

        Path A to H and M is the enforcement determination process for addressing self-reporting
        violations through a telephone call.

        Path A to H and N is the enforcement determination process for addressing self-reporting
        violations through a Notice of Deficiency (NOD).

        A.      Generate reports and collect information
        The CM Section relies on the generation of database reports and the collection of source
        information to determine if an enforcement action is required. Such reports and
        information collection include: data provided by state database queries, previously issued
        NODs, facility submissions, and other environmental program area information.



        B.        Review data
        Upon the review of the information sources described in Paths B to E, the CMC will
        identify instances of noncompliance violations. TRACS Reports are the primary
        information sources reviewed for this identification. Although each report is designed for
        automatic detections of noncompliance violations, the CMC manually validates each
        violation identified on the reports to ensure if enforcement action is required.

        The CMC reviewing the TRACS report only evaluates instances of State WQ permit self-
        reporting violations. FOD is currently responsible for identifying and addressing all State
        WQ permit effluent violations during compliance inspections.



        C.      Take Enforcement Action?
        Upon the review of all documents in Paths B through E, the reviewing CMC will identify if
        enforcement action is necessary. If the determination is made to proceed with
        enforcement action, the appropriate level of response is determined next. If the
        determination was made not to proceed or if previous enforcement action is initiated, the
        appropriate action to resolve or reevaluate the initial noncompliance will need to be
        determined.

        D. Determine appropriate action
        The appropriate level of enforcement action is specifically defined by the agency=s
        Enforcement Initiation Criteria (EIC).

        If compliance is not meet through a NOD or telephone call, an enforcement action referral
        is initiated.

        E.       Call permittee and record on phone memo
        If the permittee has not returned to compliance per the request of a NOD, a phone call is
        made. The phone call notifies the permittee of the occurrence of a violation and express
        the importance of resolve the matter. The resolution requires a faxed response be sent
        within a set time frame and the original document to be mailed.



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        The CMC will document the phone conversation on a telephone memo to the file. The
        documentation will include the occurrence of the violation and the means in which the
        permittee will respond to the request and an estimated date of compliance.

        F.       Send Notice of Deficiency (NOD) to permittee
        A notice of deficiency (NOD) or Awarning letter@ is a written notification which notifies the
        permittee of the occurrence of violation and includes a statement of Commission intent if
        the violations are not resolved in an expeditious manner. The NOD is addressed to the
        permittee=s principle executive officer and will allow 18 days to return to compliance.

        As mentioned in G (Determine Appropriate Action), NODs are only in relation to violations
        of permitted self reporting requirements. For MER self reporting violations, the NOV cites
        the related outfall, monitoring end date, and a summarized violation status.

        For the State WQ permit program, NODs are generated automatically by TRACS, upon
        the MER Specialist request. Initially the MER specialist will review the TRACS
        Wastewater Permit Delinquent Self-Reporting Report (aka “Suspense” Report).

        G. MER Document Maintenance
        Copies are made of the original enforcement action and forwarded to the CM Section
        permit working file. See MER Document Maintenance


        H. NOV automatically record in TRACS

        I.      Close review?
        During the enforcement action review, if it is determined that no current action is required,
        the CMC determines whether to close the enforcement review.

        If it is determined that no enforcement action is necessary and resolution can be made
        without enforcement action, the CMC will resolved in the initial noncompliance event. The
        resolution is accomplished by re-evaluating the event under the compliance monitoring
        process.

        J.       Gather additional information
        If the enforcement review cannot be determined because additional information is
        required, the CMC will need to refer back to generated reports and available information.

        K.      Record action in working file
        To document the determination to close enforcement reviews for State WQ program
        instances of noncompliance, a record is created and filed in the permit working file.




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3.1.20.7 MER Compliance Monitoring

 Each document that is received by the Compliance Monitoring Section regarding a
 permitted facility is reviewed by a CMC to determine the appropriate action that needs to
 be taken.

 A. MER Specialist runs delinquent report to identify missing data
 The IRD TRACS Specialist runs a delinquent report to identify missing data and mails the
 report to the MER Specialist. This report identifies missing information and other errors
 that occurred while the information was uploaded.

 B. Identify facilities with missing data
 The MER Specialist reviews the delinquent report to determine if the Permittee has failed
 to submit certain data or has reported the data incorrectly. The MER Specialist will
 determine the appropriate action through compliance monitoring.


 C. Review compliance information
 The CMC reviews the compliance documents that are received. These documents
 include; initial submittals of self-reporting forms, resubmitted self-reporting forms, and
 other documentation.

 D. Determine course of action
 After reviewing each document, the CMC determines the appropriate action for each item.
 Some of the most common courses of action include; submit/re-submit documents to data
 entry, send documents to storage, request permit limit coding corrections, order pre-
 printed reporting form.

 E. Contact permittee for information?
 If the CMC determines that it is necessary to obtain information from the permittee, the
 CMC contacts the permittee by phone. If the CMC determines that it is not necessary to
 contact the permittee, they determine the next appropriate course of action. The next step
 taken in this process is dependent upon the CMC noting a noncompliance event.

 F. Call Permittee
 If the CMC determines that it is necessary to contact the permittee for information, the
 CMC calls the permittee.

 G. Submittal required?
 If a submittal is required, the CMC requests the document from the permittee. If a
 submittal is not required, the CMC determines if the permit is a State WQ Program and
 determines the next appropriate action.

 H. Request submittal
 If the CMC determines that a submittal is required, the CMC requests the document.

 I. Document Maintenance
 MER Document Maintenance

 J. Non-compliance noted?
        If a non-compliance event is noted during the review of the document, the CMC
        determines if the violation is a data entry error or if the violation is valid. If a non-
        compliance is not noted, the CMC determines if the submittal addresses a compliance
        schedule event.

        K. Data entry error?
        If the CMC determines that the violation is the result of a data entry error, the document is
        resubmitted to data entry. If the CMC determines that there is a different reason for the
        non-compliance, the CMC determines if a permit limit coding error has occurred.

        L. MER TCEQ Staff Data Entry
        MER TCEQ Staff Data Entry


3.2     Maintenance Activities

    3.2.1 EPA Major/Minor Determination
        A. Receive Major/Minor Determination Sheet from permit writer
        A Major/Minor Determination Sheet is received from the permit writer.

        B. Check ICIS and TRACs to verify current classification
        Coder will check ICIS and TRACs database to verify current classification.

        C. Has classification change already occurred?
        If classification request already matches ICIS and TRACs databases then request is
        returned to permit writer, step D. If classification change has not changed proceed to E.

        D. Request Returned to Permit Writer
        Request is returned to permit writer if classification change already reflects requested
        change in databases.

        E. Log into Paradox (major/minor.db)
        The date received, permit writer name, permit issued date, and current and proposed
        classifications are logged into Paradox major/minor.db.

        F. Hold until September for submittal to EPA
        The determination sheets are held until September for EPA submittal. The submittal only
        takes place once per year.

        G. Has permit been issued?
        The change in major/minor classification can only take place if the permit has already
        been issued. If the permit has been issued, continue with I-O path. Otherwise, continue
        with H.

        H. Hold to see if permit issued before the following September
        If the permit was not issued prior to the September deadline for the major/minor
        determination submittal, the Major/Minor Determination Sheet is held by the “coders” until
        the next September. Once the permit has been issued, the Major/Minor Determination
        Sheet will follow the F-O path.

         I. Generate letter and mail hard copy of determination sheet to EPA
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        A hard copy of the Major/Minor Determination Sheet is mailed to EPA. The original is kept
        in the WQ Applications Team files.

        J. Check ICIS to verify classification has been updated
        Once verification in ICIS has been verified then update TRACs database and close out
        case in Paradox.

        K. Has ICIS Changed?
        Does ICIS reflect the requested change from major to minor or vice versa? If ICIS has
        been updated, continue with step N If not, the “coders” continue to check ICIS for the
        change.


        L. Call EPA for reason for denial
        If request was denied call or e-mail EPA Region IV to verify ‘reason for denial’.

        M. EPA Denied/Approved/No decision yet
        If EPA/headquarters has denied the change (due to violations or other reason) the
        determination sheet is returned to permit writer who made the request. If the request has
        not yet been reviewed by EPA, staff keep rechecking until a decision is made. If the
        request is approved, the process continues with step L.


        N. Update TRACS to reflect major/minor status
        After ICIS has been updated, the major/minor classification is updated in TRACS.

        O. Update Paradox (major/minor.db) to reflect completion
        The date that the classification change was confirmed is entered in Paradox
        major/minor.db.

        P. File determination sheet in WQ Apps Team files
        After completion, the major/minor determination sheets are stored in the WQ Applications
        Team’s files according to the year completed.


        Q. Notify Permit writer and Team Leader and return determination sheet
        Coder will notify permit writer and team leader as to why request was denied.

        R. Request to try again?
        Permit writer has option to request change the following fiscal year.


    3.2.2 180 Day Extension Request
        Renewal applications should be submitted at least 180 days prior to the permit expiring.
        The 180-day extension request grants the permittee additional time to submit their renewal
        application. It does not; however, extend the permit expiration date. Ninety to ninety five
        percent of the 180-day extensions are submitted prior to the permit=s expiration date. The
        main reason for tracking this information is, during EPAs audits, they review the files to
        ensure that a request was received if the application was not submitted in a timely
        manner. The review of the 180-day extension request consists of checking when the


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        permit will/has expired. The most common path is A-D. However if the permit has
        expired, the path used is A, B, and E.

        A. Request received
        A letter is received from the permittee or their representative.

        B. Expired?
        Staff logs into TRACS to determine whether the permit has expired. If the permit has or
        will expire soon, staff may call the permittee or their representative to inform them the
        permit expiration date cannot be extended. If the permit has already expired, the
        permittee may be instructed to file a permit application for a new permit. Continue with
        step E. Otherwise, if the permit has not expired, continue with step C.

        C. Log into Paradox (transfer-endorsement.db)
        The permittee=s name, permit number, date of receipt of the letter, and various other
        information is logged into Paradox and the record is historicalized. The table name is
        transfer-endorsement.db.

        D. Send request to Central Records
        The letter is coded and routed to Central Records. This is the end of the process.

        E. Place request with file for expirations
        If the permit has expired, the Water Quality Applications Team staff will place the request
        in the file. If the file is not with the Water Quality Applications Team, staff will code the
        letter and route it to Central Records. This is the end of the process.




    3.2.3 Notice of Completion (construction/operational notice)
        A. Notice of Completion form or letter received by fax or mail
        A permittee submits a Notice of Completion Form either by fax or by mail.

        B. Is there a change in permit status?
        The permit is pulled from the Water Quality Applications Team file to determine if there is
        a change in permit status. A change in permit status can either be from inactive to active
        the permit or outfalls or a phase change. If there is a change in permit status, continue to
        step C. If there is no change in permit status, go to step L.

        C. Log into Paradox (Notice of Completion DB)
        Date received, which coder the notice is assigned to, and the type of change is entered
        into Paradox Notice of Completion.DB.

        D. Update TPDES/TLAP data in TRACS
        The change of phase or activity status is coded into TRACS for both TPDES and TLAP
        permits.

        E. Is permit TPDES?
        Is the permit a TPDES? A TPDES permit is a discharge permit. This determines whether
        or not the permit information will be entered into ICIS. If the permit is TPDES, go to step
        F. Otherwise, if the permit is not TPDES, go to step H.


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        F. Enter data into ICIS
        If the permit is TPDES, the new permit information is entered into ICIS.

        G. Notify Enforcement regarding DMRs for TPDES
        A “coder”, other than the one who the notice was assigned to, then quality controls the
        limit summary from ICIS and the data that was entered into TRACS. If corrections are
        needed, the permit is returned to the “coder” who was working on the notice, and another
        quality control will take place after the next ICIS update. If no corrections are needed, an
        email is sent to enforcement requesting that new DMRs be sent to the permittees
        reflecting the change.

        H. Notify Enforcement regarding MERs for TLAP
        After TLAPs are completed and quality controlled in TRACS, an email is sent to
        enforcement requesting that new MERs be sent to the permittees. TLAP permits then
        complete the I-K route.

        I. Update Paradox (Notice of Completion DB)
        The date of completion for both ICIS and TRACS is updated in the Paradox Notice of
        Completion.DB.

        J. Copy and send original Notice of Completion form to Central Records
        A copy is made of the Notice of Completion Form, and the original is sent to Central
        Records.

        K. File permit and associated paperwork in WQ Applications Team files
        The permit and its associated paperwork is filed in the WQ Applications Team’s files. A
        TPDES permit will have the final quality controlled limit summary (printed from ICIS) and
        the copy of the Notice of Completion Form. A TLAP permit will have a copy of the Notice
        of Completion Form and a copy of the email requesting MERs attached to it. This is the
        end of the process.

        L. Send request to Central Records file
        From step B - If there is no change in the phase or activity status of the permit, the original
        Notice of Completion form is sent to Central Records. This is the end of the process.




    3.2.4 Change in Monitoring Requirements Request
        Some general permits allow a permittee to change monitoring requirements based on the
        historical analyses of effluent data. An entity that is authorized under an applicable
        general permit will submit a written request to the TCEQ for a reduced monitoring
        frequency or other change in monitoring requirements after establishing compliance within
        a specific period as allowed in the general permit. This request will be received by the
        Applications Review and Processing Team. The most common path for processing these
        requests is A - F, with the loop B, G, H, I used if additional information is needed, and it is
        submitted. If additional information is requested but never received, then the request will
        follow A, B, G, H, I, J. If the request is denied, then the process would follow the path A,
        B, G, H, I, J.

        A. Receive request for reduction in monitoring frequency from permittee
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        The Wastewater ARP Team receives written requests from permittees asking to change
        monitoring requirements under a general permit. File is requested from Central Records.
        Paradox and CR-Arts databases are updated.

        B. More information needed?
        If no additional information is needed, then the reviewer will evaluate the information. If
        additional information is needed, then the reviewer will request additional information from
        the permittee. This request for additional information will be made in writing, by telephone,
        or email.

        C. Change approved?
        If the request is approved, then the reviewer will update CR-Arts, make a copy of the
        letter, and give to coder. Original request is placed in file.

        D. Update monitoring frequencies in ICIS and TRACS
        Based on the information contained in the approval letter, the Water Quality Applications
        Team will make the necessary changes in the ICIS and TRACS databases. Print limit
        summary from ICIS/Reports. A Coder, other than the one assigned, will quality control
        limit summary for accuracy. Copy of approval letter along with limit summary is placed in
        ARP’s Team files. Update Paradox and CR-Arts databases.

        E. Notify enforcement for DMRs
        The Water Quality Applications Team will e-mail Enforcement Division ready for DMRs to
        be generated.

        F. File permit and associated paperwork in WQ Applications Team files & send original
        documents to central records permit compliance file
        When the changes are completed, the Water Quality Applications Team will route the copy
        of the approval letter to its work files. The original request and any other associated
        documents are sent to the central records permit compliance file.

        G. Call permittee for further information
        If the permit writer cannot make a determination based on the request received, then the
        reviewer will contact the permittee for the additional information needed to process the
        request.

        H. Response received?
        If the permittee submits the requested information, and that information is adequate to
        continue with processing the request, then the process will continue at step C and
        continue on the normal path. If a response is not received, the reviewer will discontinue
        processing the request, and will draft a letter explaining the reasons why the request was
        not processed.

        I. Send letter of explanation to customer
        If the request is denied, the reviewer will mail a letter to the permittee that states why the
        request was denied. Reviewer will updated CR-Arts to reflect denial status.

        J. Make copy of letter of explanation and place in file
        If the request is denied, then the reviewer will mail a copy of the letter to the permittee and
        will make a copy of the signed letter to be placed in file.



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    3.2.5 Bio-monitoring Monitoring Frequency Change Request
        The TCEQ Procedures to Implement the Texas Surface Water Quality Standards states
        that in order to adequately assess toxic potential, all permittees with biomonitoring
        requirements in their permits must conduct biomonitoring at a quarterly testing frequency
        for both species for a minimum of one year (four consecutive quarterly tests). Upon
        completion of four consecutive quarters of testing, the permittee, in accordance with
        section 1.e. of the biomonitoring permit language, may request to reduce the testing
        frequency.

        A. Receive request for reduction in biomonitoring frequency from permittee
        Permittees submit, via letter, fax or email, a request to the Water Quality Standards
        Implementation Team to reduce the biomonitoring testing frequency of one or both test
        species to an appropriate frequency. The request is routed to the appropriate Toxicity
        Coordinator.

        B. Toxicity coordinator reviews reporting compliance history
        The appropriate toxicity staff will review the biomonitoring history for the facility over the
        past twelve months (four consecutive quarters). The biomonitoring history is contained in
        access tracking databases.

        C. More information needed?
        During the biomonitoring history review, the toxicity staff will determine if more information
        is needed from the permittee in order to assess the frequency reduction request. If yes,
        more information is needed, proceed to J. If no more information is needed, proceed to D.

        D. Change approved?
        Based upon the history review, the toxicity staff determines if a frequency reduction for
        one or both biomonitoring testing species is appropriate. If frequency reduction approved,
        proceed to E; if frequency reduction not approved, proceed to L.

        E. Prepare approval letter, send copy to Central Records
        The appropriate toxicity staff composes a frequency reduction approval letter containing
        the new frequency. The toxicity staff will forward the electronic version of the letter to the
        Water Quality Division (WQD) Administrative staff for editing and formatting. The WQD
        administrative staff forwards to toxicity staff for signature and provides the toxicity staff a
        signed copy. The toxicity staff then properly codes the signed copy and forwards to
        Central Records.

        F. Send approval letter to customer and copy to WQ Applications Team
        The WQD Administrative staff prepares and sends the frequency reduction approval letter
        to the permittee and also sends a Acarbon copy@ to the Team Leader of the WQ
        Applications Team.


        G. Update monitoring frequencies in ICIS
        The Water Quality Applications team changes the biomonitoring frequencies in ICIS.
        After update, print limit summary and coder (other than one assigned to make changes)
        reviews for quality control.

        If frequencies cannot be updated, contact Enforcement to clear out DMR data. After
        notification from Enforcement, continue with monitoring frequency reduction in ICIS.

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        H. Notify enforcement for DMRs
        The Water Quality Applications team notifies Enforcement that new DMRs need to be sent
        to the permittee.

        I. File permit and associated paperwork in WQ Applications Team files
        The copy of the letter from the toxicity coordinator is filed with the copy of the permit in the
        Water Quality Applications team=s files. The process ends here.

        J. Call permittee for further information
        If, during the review of the biomonitoring history, the toxicity staff determines that
        additional information is needed to adequately assess the request, the toxicity staff will
        contact the permittee to request the additional information.

        K. Response received?
        The toxicity staff will ascertain whether or not the requested information has been
        received. If yes, proceed to B; if not, proceed to L.

        L. Prepare Ano action taken@ letter, send copy to Central Records
        The appropriate toxicity staff composes a letter to the permittee indicating that the
        biomonitoring frequency is not subject to change at that time and will remain at once per
        quarter for both species. The toxicity staff will forward the electronic version of the letter to
        the Water Quality Division (WQD) Administrative staff for editing and formatting. The
        WQD administrative staff forwards to toxicity staff for signature and provides the toxicity
        staff a signed copy. The toxicity staff then properly codes the signed copy and forwards to
        Central Records.

        M. Send original letter to customer
        The WQD Administrative staff prepares and sends the Ano action taken@ letter to the
        permittee.




3.3     Expiration Process

    3.3.1 Expiration Renewal Notice
        Permittees are notified one year prior to the permit expiration date. At least 95% of the
        notifications are not returned. Most renewal reminder notices do reach the permittee as
        described in A-D. The path for the renewal notices returned with a new address and re-
        mailed is A-G. Of the notices returned due to a bad address, staff has been able to find a
        good address 99% of the time, as shown in A-E, H, I, F, G. The remaining 1% is shown
        as A-E, H-J.


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        A. Generate letters, and mailing labels from TRACS
        Staff generates letters and mailing labels from TRACS for each permit that is to expire in
        one year. TRACS generates the labels for all permits that are to expire in one year;
        however if there is a pending application, TRACS will not generate the letter. TRACS
        automatically inserts the date the letters are mailed into the date completed field in the
        database.

        B. Staff will compose letters
        For permits that have labels, but no corresponding letters, staff will determine if
        applications are pending. Ninety-eight percent of the time, no applications are pending.
        However, if applications are pending and they are not minor amendment applications, no
        letter is mailed. If they are minor amendment applications, staff will compose the letter
        using the last permit address on record.

        C. Mail letter via regular mail
        For all municipal, industrial, and sludge permits the letter is mailed by regular mail to the
        last permit address on record and routed to the appropriate TCEQ region office.

        D. Letter returned?
        Ninety percent of the letters sent are not returned. If the letter is not returned, the process
        ends here. If the letter is returned, continue with step E.

        E. New address provided?
        If the renewal reminder notice is returned, staff determines whether or not a new address
        was provided. If a new address was provided, continue with step F. If no new address
        was provided, continue with step H to find a good address.

        F. Log return and new address into TRACS
        If the renewal reminder notice is returned and a new address is given on the envelope,
        staff logs the new address into the comments field in TRACS and inserts a new field to
        add the new date the notice was re-mailed.

        G. Mail letter to new address
        Renewal reminder notice is mailed to the new address. The process ends here.

        H. Research to find a good address
        If a new address is not provided on the return envelope, other sources are checked (WUD,
        Central Registry, Texas Secretary of State, State Comptroller of Texas, the permittee’s
        website etc.) to determine if there is a more current address.

        I. Was updated address found?
        Staff does locate a current address 99% of the time. If an updated address was found, go
        to step F. Otherwise, if no updated address was found, continue with step J.

        J. Log return into TRACS
        If an updated address is not found, a comment is entered in the comments field indicating
        the notice was returned. The process ends here.

        K. Send documents to central records in the permit file
        Copies of letters are sent to the permit file in central records. Copies of expiration
        notification letters are used by enforcement in the even the permit expires and the facility
        is still in operation or coverage is still required.
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    3.3.2 Expired Permit Notice

        TCEQ rules do not allow the permit expiration date to be extended unless a renewal
        application is received. If the renewal application is received, the permittee may continue
        to operate under the existing permit until a decision is made regarding the renewal of the
        permit. If a part of the renewal application is not received prior to the expiration date on the
        permit, the permit is allowed to expire. The path to process the permit expiration is A-L.

        A. Run TRACS report for expiring permits (monthly)
        At the beginning of each month a report is generated from TRACS identifying all of the
        permits that are to expire that month.

        B. Filezilla from TRACS server to staff hard drive
        The report generated from TRACS is then transferred to the staff’s hard drive using
        Filezilla (file transfer program).

        C. Convert to Excel document
        Once the file is stored on the staff’s hard drive it is converted to Excel.

        D. Look in TRACS for pending applications for expiring permits
        Staff determines whether there are pending applications for each permit that is listed in the
        report by looking in TRACS.

        E. Remove permit IDs with pending applications from list
        If there are pending applications, the permits with the pending applications are removed
        from the list (Excel document).

        F. Send e-mail to TCEQ staff with document attached
        The e-mail contains the permit number, EPA identification number, permit type, permittee
        name, region, county, expiration date, and comments, if applicable. The e-mail is sent to
        program manager, enforcement, Water Quality Compliance Monitoring Team,
        Environmental Law, field operations, team leaders of the teams permitting the site,
        revenues, Water Quality Assessment Team, CCO, and EPA Region IV for comments.
        This allows staff at TCEQ to inform the Water Quality Applications Team if they received
        the application and will be forwarding the application to them.

        G. Remove permit from list if application renewing term is located by TCEQ staff
        If comments are received by TCEQ staff indicating an application renewing the term was
        located and confirmed the received date is prior to the permit expiration date, the permit is
        removed from the list of expired permits and the application is routed to the ARP Team for
        processing.

        H. Order files and prepare expiration orders
        Order the files from Central Records. Once the file is received, staff confirms the
        expiration date and prepares an expiration letter. The expiration letter is prepared using
        the last address on file. To ensure the accuracy of the letter, the expiration letter is peer
        reviewed.

        I. Hold for 14 days from date e-mail sent
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        Files and orders are held for 14 days from the date the e-mail is sent to ensure no
        comments are received. If no comments are received, the expiration letters are mailed to
        the permittees. Ninety nine percent have no comments. In late August or early
        September, the timeframe may be shortened to 7 days from date e-mail is sent.

        J. Cancel permit in TRACS, ICIS, and several Paradox tables
        The permit is cancelled in TRACS and a note is entered in the comments indicating the
        permit was allowed to expire for failure to submit an application. The permit is terminated
        in ICIS. The status of the permit (expired) and the date the permit was allowed to expire is
        entered in the appropriate Paradox table. For the CAFO permits and registrations, the
        Paradox table is Agpermit.db and for the remaining water quality permits, the Paradox
        table is WQPermits.db. For domestic permits, they are also removed from the Homeland
        Security database.

        K. Mail the letter and expiration order to the permittee & copy region
        Prepare and mail the expiration letter and order to the permittee and send a copy to the
        regional office.

        L. ICIS gives error message?
        The coder may receive an error message when trying to expire a permit. If an error
        message is not received, proceed to step O. If an error message is received, go to step K.

        M. Enforcement makes changes or revisions
        The Coder will send an e-mail including the error message and the date of termination to
        enforcement.

        N. Enforcement makes changes or revisions
        Enforcement will determine the problem and make the appropriate changes. There are
        times when there are pending DMR’s that must be deleted out of ICIS.

        O. Enforcement notifies Coder
        After the issues have been taken care of, Enforcement notifies the Coder.

        P. Terminate permit in ICIS
        The coder terminates the permit in ICIS.

         Q. Stamp “Expired” on permit in file
        Staff stamps expired on the current permit and on the file. If an endorsement order is on
        top of the current permit, the endorsement order is also stamped expired. A copy of the
        expiration letter is placed in the file.

        R. Remove permit from Applications Review and Processing Team working file
        The copy of the permit maintained in the Applications Review and Processing Team
        working files is retrieved and put in the recycle bin.

        S. Return file to Central Records
        Stamp the permit in the file ‘Expired’ and return it to central records with a copy of the
        expiration letter and order.




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4   Pretreatment Activities
    4.1     Pretreatment Program Audit
            A. Fiscal Year Audit Scheduling (every 5 – 7 years per PT program)
            The audits for the next FY are scheduled in the spring of the current FY. Each FY the
            Storm Water & Pretreatment Team is required to audit 20% of the approved pretreatment
            programs as required by the 1998 TPDES MOA between EPA Region 6 and TCEQ. As of
            FY11, there are 72 approved TPDES pretreatment programs. Each approved
            pretreatment program is audited approximately every five years. The audit lasts 3-5 days,
            depending on the complexity and size (number of plants and industries) of the
            pretreatment program.

            B. Assign pretreatment coordinator lead and assistant (EPA & Region may also assign
            contact)
            The audit team consists of the lead auditor and assistant(s). At the time the audits are
            scheduled, the lead auditor and assistant(s) are assigned for each audit. At least a team
            of two people attend each audit, more depending on the size and complexity of the
            program. If possible, the Storm Water & Pretreatment Team Leader attends at least one
            audit per Pretreatment coordinator for evaluation per fiscal year or delegates to senior
            staff. Additionally, the EPA Region 6 pretreatment staff may conduct oversight during 2-4
            audits per year.

            The goal is to schedule as the lead auditor or as an assistant the pretreatment coordinator
            responsible for oversight of the approved pretreatment program to be audited.

            C. Update the Excel spreadsheet
            The Storm Water & Pretreatment Team Leader or delegated senior pretreatment staff
            enters the audit schedule information (program audited, dates of the field portion, names
            of the lead auditor and assistant(s), and projected expenses) into the Excel spreadsheet.

            D. Send confidential schedule to FOPs Water Liaison, TL, SM, and EPA PT Coordinator
            The audit schedule information is sent to the FOPs Water Liaison for coordination with
            their pretreatment inspections, Section Manager, and EPA Region 6 for approval. The
            audit schedule is confidential.

            E. Call permittee to announce audit 2 weeks prior to audit & provide initial checklist for
            audit
            The pretreatment coordinator (or permit signatory if pretreatment coordinator is not
            available) for the approved pretreatment program is called by the lead auditor to announce
            the audit two weeks prior to the scheduled date. The dates and schedule of the field
            portion of the audit are discussed, as well as who from the TCEQ and/or EPA will be
            attending.

            The audit process is described to the permittee which includes: (Day 1) an initial interview
            of staff responsible for the implementation of the program, reviewing selected industrial
            user files maintained by the POTW, (Day 2) visiting selected industries, and (Day 3)
            conducting an exit meeting to present the preliminary findings and recommendations. A
            letter, including the blank audit checklist, is mailed to the permit signatory by the lead
            auditor confirming this information.



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        F. Send E-mail to FOPs PT Inspectors, EPA, and other TCEQ programs (biomonitoring,
        Clean Rivers, Surface Water Mon., Enf of planned audit
        The FOPs regional office, in which the permittee resides, is contacted to announce the
        audit and invited to attend any portion of the audit. The FOPs Pretreatment Compliance
        Inspector, assigned to the permittee’s program, is contacted and invited to attend any
        portion of the audit and/or to provide input.

        As applicable, an e-mail is sent to various TCEQ and EPA programs (Clean Rivers,
        Toxicity, Surface Water Monitoring, Enforcement, and EPA Enforcement) to announce the
        audit and to request any relevant information related to the permittee’s enforcement
        actions, biomonitoring, water quality effluent violations, inspections, and the stream
        segment data.


        G. Gathers input from FOP, EPA, and other TCEQ programs
        Relevant information related to the permittee’s enforcement actions, biomonitoring, water
        quality effluent violations, inspections and the stream segment date may be provided in
        preparation for the audit.

        H. Make travel arrangements
        The lead auditor reserves a vehicle through TCEQ Motor Pool and makes the hotel
        reservations for all the auditors and submits the Travel Justification, Travel Estimate, and
        Travel Request to the administrative staff. Most years, the Travel Request documents are
        submitted at the beginning of the fiscal year to encumber the funds. If the Travel Request
        has already been submitted, then the lead auditor notifies the administrative staff of any
        updates to the previously submitted information.

        I. Review Pretreatment approved program documents
        The audit process is a comprehensive review of each approved TPDES Pretreatment
        Program for conformance to the federal, State, and local regulations and the POTW’s
        approved pretreatment program and TPDES permit(s).

        The lead auditor reviews all municipal wastewater permit and pretreatment program files
        for all the permittee’s WWTPs. This information is obtained through Central Records and
        the pretreatment team’s working files. The lead auditor reviews the approved
        pretreatment program, self-reporting effluent data, toxicity information, Texas
        Manufacturers Directory listing for the city the POTW is located, enforcement actions,
        pretreatment annual report, and any other correspondence.

        J. Prepare briefing paper
        The lead auditor prepares the audit briefing checklist based on the information identified
        during the review of the pretreatment and permit documents. Additionally, the lead auditor
        completes as much information as possible for the items of the audit checklist that can be
        determined prior to the audit initial interview.

        K. Brief Pretreatment audit assistant
        The lead auditor schedules and holds a meeting to brief the audit assistant(s) on the
        permittee’s pretreatment program status and provides a copy of the briefing checklist and
        file review and site visit checklists and related documents. The audit team may include
        both TCEQ and EPA staff as assistants.

        L. Travel to location
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        The audit team travels to the permittee’s location in a state vehicle or by air travel carrying
        reference material, laptops, printers, and information regarding the permittee’s approved
        pretreatment program and auditing checklists.

        M. Conduct initial interview with permittee representatives
        The morning of the first day, the audit team arrives. After introductions, and the initial
        interview speech, the lead auditor conducts the initial interview with the POTW’s
        pretreatment coordinator and representatives of the pretreatment program. The initial
        interview checklist includes information about the wastewater treatment plant(s), the
        approved pretreatment program, and its implementation and enforcement. The audit
        assistants participate during the initial interview assisting with questions, and typing the
        answers on the checklist in the laptop. In the afternoon, after completing the initial
        interview questions, all auditors begin review of the selected industrial user files
        maintained by the permittee’s pretreatment program staff.


        N. Complete Industrial User (IU) file review
        The audit team will conclude the IU files review, started the first day of the audit, at the
        end of the second day. Selected IU files are reviewed using the pretreatment file review
        checklist. The documents reviewed are: permit application, permit, fact sheet, inspection
        reports, self-monitoring effluent data, compliance monitoring effluent data, toxic organic
        management plans or other pollutant management plans, enforcement actions, and other
        relevant correspondence.

        O. Schedule & Perform Industrial User Site Visists
        During the first day, the lead auditor selects and provides the names of the industrial users
        that will be visited (number varies based on the industries permitted) for the following day.
        The POTW’s pretreatment coordinator or staff call the selected industries during the
        afternoon.

        On the second day, the audit team visits (not an inspection) the selected industrial users
        to verify that the pretreatment program is being implemented correctly. The industrial user
        site visit consists of an interview using the site visit checklist and tour of the facility to
        observe the areas that generate wastewater discharged to the POTW and the wastewater
        pretreatment system. The audit team may visit 3-6 industrial users in one day.



        P. Prepare exit interview with POTW
        During the second day in the evening, the audit team prepared for the exit meeting. The
        findings (alleged violations), recommendations, and required modifications are combined
        into a preliminary report. The preliminary findings are presented (verbally only) to the city
        officials and POTW’s pretreatment representatives during the last day of the audit (usually
        the third day).

        Q. Conduct exit meeting with city officials and representatives
        On the morning of the third day, the audit team meets with the city officials and POTW
        pretreatment representatives to present the preliminary findings and recommendations of
        the audit. This exit meeting usually takes less than one hour.

        R. Return to office
        The audit team returns to their respective offices via state vehicles or air travel.
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        S. Complete travel voucher
        Each auditor will complete a travel voucher to be reimbursed for their expenses while on
        the audit.

        T. Prepare audit report
        The lead auditor begins preparing the draft of the audit report, initial interview checklist, file
        review checklist, and industrial user site visit checklist and narrative. The lead auditor
        determines what documents are appropriate to include as appendices. The notes from all
        the audit team members are gathered and used to complete all checklists and industrial
        user site visit write-ups. Within two weeks after returning from the audit, the lead auditor
        prepares and mails thank you letters to each industrial user visited.

        U. Complete ICIS WENDB IU and CA data entry sheets
        The ICIS WENDB sheets and the NPDES data sheets for the IUs visited and CA
        pretreatment program compliance information are completed. Once the audit report is
        finalized and mailed to the permittee, these forms are sent to the Water Quality
        Compliance Monitoring Team to be entered into the EPA ICIS database.

        V. Create audit cover letter using enforcement criteria
        The lead auditor prepares the appropriate audit report cover letter using the TCEQ’s
        Enforcement Initiation Criteria (EIC) and the TPDES pretreatment program Violation
        Review Action Criteria (VRAC).

        W. Route to audit assistant for review
        The lead auditor completes preparing the draft documents and routes it to the audit
        assistant for peer review.

        X. Revisions?
        The lead auditor makes the requested revisions to the audit documents. If there are no
        revisions, continue with step Y. If there are revisions, go back to step V.

        Y. Route to senior PT Coordinator for review
        The lead auditor completes preparing the draft documents and routes it to the assigned
        senior pretreatment staff for peer review. The target date is to route the audit report to the
        senior pretreatment staff within 60 days from completion of the field portion of the audit.

        Z. Revisions?
        The lead auditor makes the requested revisions to the audit documents. If there are no
        revisions, continue with step AA. If there are revisions, go back to step V.

        AA. Route to Team Leader for review
        The lead auditor completes preparing the draft documents and routes it to the Storm
        Water & Pretreatment Team Leader for review. The target date is to route the audit report
        to the Team Leader within two weeks after the senior pretreatment staff peer review.

        BB. Revisions?
        The lead auditor makes the requested revisions to the audit documents. If there are no
        revisions, continue with step CC. If there are revisions, go back to step V.

        CC. Route to Section Manager for review

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        The lead auditor completes preparing the draft documents and routes it to the Section
        Manager for review.

        DD. Revisions?
        The lead auditor makes the requested revisions to the audit documents. If there are no
        revisions, continue with step EE. If there are revisions, go back to step V.

        EE. Enforcement referral needed?
        If the audit alleged violations meet the EIC’s Category A criteria for formal enforcement,
        the lead auditor prepares an Enforcement Action Referral (EAR) which will be routed to
        the Enforcement Division once the audit report is mailed to the permittee. For Category A
        violations, the lead auditor issues a Notice of Enforcement (NOE) and follows the
        Pretreatment Enforcement Determination process for entry into CCEDS. Go to step GG.

        If the alleged violations do not meet the criteria for formal enforcement, then the audit
        report is finalized and prepared to be mailed to the permittee. For Category B and C
        violations, the lead auditor issues a NOV and follows the Pretreatment Enforcement
        Determination process for entry into CCEDS. Go to step FF.

        FF. Team Leader signs letter
        If formal enforcement is not required, the Storm Water & Pretreatment Team Leader signs
        the final audit report to be mailed to the permittee.

        GG. Section Manager signs letter
        If the alleged violations require formal enforcement (EAR), then the Section Manager
        signs the final audit report and NOE to be mailed to the permittee.

        HH. Admin staff mails original letter to permittee
        The lead auditor routes the final audit report, appendices, and cover letter to the
        administrative staff to prepare for the appropriate signature and mail to the permittee.

        II. Admin staff mails copy of letter to EPA, Region, Enforcement and Central Records
        Carbon copies of the final audit report (and enclosures) are sent to EPA, FOPs, and
        Central Records.
        JJ. Update the Excel spreadsheet
        The delegated senior pretreatment staff enters the date the final audit report was mailed to
        the permittee and the due date for the compliance response from the permittee. If the
        alleged violations require formal enforcement, then the dates of the enforcement action
        will be entered.

        KK. Enforcement referral needed?
        If formal enforcement is required, based on the EIC and VRAC, then the lead auditor
        prepares the appropriate enforcement response. Continue with step LL.

        If formal enforcement is not required, based on the EIC and VRAC, then the lead auditor
        proceeds to forward information to the Water Quality Compliance Monitoring Team for
        entry into the EPA ICIS database. Continue with step MM.

        LL. Pretreatment Enforcement Determination
        If formal enforcement is required based on the EIC and VRAC, then the lead auditor
        prepares the appropriate enforcement response. The purpose of the enforcement action is
        to set a schedule of compliance for the alleged violations identified during the audit.
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        MM. E-mail ICIS WENDB and NPDES IU & CA sheets to Enforcement
        The lead auditor e-mails the Water Quality Compliance Monitoring Team the completed
        ICIS WENDB sheets and the NPDES sheets for the IUs visited and CA pretreatment
        program compliance information. The Water Quality Compliance Monitoring Team enters
        the information into the EPA ICIS database.

        NN. Enforcement enters in PCS
        The Water Quality Compliance Monitoring Team enters the WENDB and NPDES sheets
        information into the EPA ICIS database.

        OO. Response to audit letter received?
        The permittee is required to respond to the alleged violations listed in the final audit report.
        The permittee’s response is due within 60 days of the date of the final audit report.

        If the permittee does not reply to the final audit report alleged violations within the required
        due date, the lead auditor prepares an NOV, or NOE, or EAR, as applicable. Continue
        with step PP.

        If the response to the final audit report alleged violations is received, then it is processed
        for review by the lead auditor. Go to step SS.

        PP. Extension request received?
        If the permittee does not submit an extension request for submitting the response to the
        final audit report alleged violations, then the lead auditor drafts the appropriate
        enforcement response. Go to step RR.

        If the permittee submits an extension request for submitting the response to the final audit
        report alleged violations, then the lead auditor reviews the request and draft a response
        letter. Continue with step QQ.

        QQ. Pretreatment Extension Process
        If the permittee submits an extension request for submitting the response to the final audit
        report alleged violations, then the lead auditor reviews the request and drafts a response
        letter according to the Pretreatment Extension Process. Go back to step OO.

        RR. Enforcement Determination
        If the permittee does not reply to the final audit report alleged violations within the required
        due date, the lead auditor prepares an NOV, or NOE, or EAR, as applicable. The purpose
        of the enforcement action is to set a schedule of compliance for the completion of the
        response to the final audit report alleged violations, as needed. Go back to step OO.

        SS. Update the Excel spreadsheet
        The delegated senior pretreatment staff enters the date the response to the final audit
        report alleged violations is received from the permittee and date it is assigned to the lead
        auditor.

        TT. PT Coordinator reviews response
        The lead auditor reviews the permittee’s response for completeness and adequacy for
        each alleged violation.

        UU. Is an NOD needed?
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        If the permittee’s response is deficient (incomplete) the lead auditor prepares a NOD, if
        applicable, specifying the deficiencies that need to be corrected with the required due
        date. Continue with step VV.

        If the permittee’s response is complete and adequate, then the lead auditor prepares the
        acceptance letter. Go to step XX.

        VV. Is an NOV needed?
        If the previous correspondence for this permittee related to this final audit report was a
        NOV, then the EIC and VRAC may require that the lead auditor prepare another NOV, or
        NOE, or EAR, as applicable. Continue with step WW.

        If an NOV is not needed, go to step BBB.

        WW. Enforcement Determination
        The pretreatment coordinator prepares an NOV, or NOE, or EAR, as applicable. The
        purpose of the enforcement action is to set a schedule of compliance for the permittee to
        adequately reply to the final audit report alleged violations, as needed. Go back to step
        NN.

        XX. Pretreatment prepares acceptance letter
        The lead auditor prepares the acceptance letter for the permittee’s response to the final
        audit report alleged violations. There is no further action required from the permittee.

        YY. Admin staff mails letter
        The lead auditor routes the acceptance letter to the administrative staff to prepare for the
        lead auditor’s signature and mail to the permittee.

        ZZ. Admin staff mails copy of letter to EPA, Region, Enforcement and Central Records
        Carbon copies of the acceptance letter is sent to EPA, FOPs, and Central Records.

        AAA. Update the Excel spreadsheet
        The delegated senior pretreatment staff enters the date of the acceptance letter for the
        permittee’s response to the final audit report alleged violations is mailed to the permittee.
        The process ends here.

        BBB. Prepare NOD letter to customer
        If the permittee’s response is deficient (incomplete) the lead auditor prepares a NOD, if
        applicable, specifying the deficiencies that need to be corrected with the required due
        date.

        CCC. Route comment letter for peer review
        The lead auditor routes the NOD for peer review to senior pretreatment staff.

        DDD. Revisions needed?
        Are revisions needed? The lead auditor makes the requested revisions to the NOD.
        Return to step BBB.

        If no revisions are needed, continue to step EEE.

        EEE. Route comment letter for team leader signature

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        The lead auditor routes the NOD for review to the Storm Water & Pretreatment Team
        Leader.

        FFF. Revisions needed to NOD?
        Are revisions needed? The lead auditor makes the requested revisions to the NOD.
        Return to step BBB.

        If no revisions are needed, continue to step GGG.

        GGG. Admin Support staff mail letter
        The lead auditor routes the NOD to the administrative staff to prepare for the Storm Water
        & Pretreatment Team Leader’s signature and mail to the permittee.

        HHH. Update the Excel spreadsheet
        The delegated senior pretreatment staff enters the date the NOD for the permittee’s
        response to the final audit report alleged violations is mailed to the permittee.

        III. Response received?
        If the permittee does not submit a response to the NOD, the pretreatment coordinator
        prepares an NOV, or NOE, or EAR, as applicable. The purpose of the enforcement action
        is to set a schedule of compliance for the permittee to reply to the final audit report alleged
        violations, as needed. Continue with step LLL.

        If the permittee submits a response to the NOD, the lead auditor reviews the response for
        completeness and adequacy. Continue with step JJJ.

        JJJ. Update the Excel spreadsheet
        The delegated senior pretreatment staff enters the date the permittee’s response to the
        final audit report alleged violations is received.

        KKK. Is response complete?
        The lead auditor reviews the permittee’s response to the NOD for the final audit report
        alleged violations for completeness and adequacy. If the permittee’s response is
        complete, the lead auditor prepares the acceptance letter to be mailed to the permittee.
        Go to step XX.

        If the response is not complete, continue with step LLL.

        LLL. Enforcement Determination
        The pretreatment coordinator prepares an NOV, or NOE, or EAR, as applicable. The
        purpose of the enforcement action is to set a schedule of compliance for the permittee to
        reply to the final audit report alleged violations, as needed.



4.2     Pretreatment Categorical Determination
        National pretreatment standards specifying quantities or concentrations of pollutants or
        pollutant properties which may be discharged to a POTW by existing or new industrial
        users in specific industrial subcategories will be established as separate regulations under
        the appropriate subpart of 40 CFR chapter I, subchapter N. These standards, unless
        specifically noted otherwise, shall be in addition to all applicable pretreatment standards


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        and requirements specified in the National Pretreatment Regulations under 40 CFR Part
        403.

        The federal regulations under 40 CFR §403.6(a) specify the Category Determination
        Request application contents and process for an industrial user categorical determination
        request.

        Within 60 days after the effective date of a Pretreatment Standard for a subcategory under
        which an Industrial User may be included, the Industrial User or POTW may request that
        the Water Management Division Director or Director, as appropriate, provide written
        certification on whether the Industrial User falls within that particular subcategory. If an
        existing Industrial User adds or changes a process or operation which may be included in
        a subcategory, the existing Industrial User must request this certification prior to
        commencing discharge from the added or changed processes or operation. A New Source
        must request this certification prior to commencing discharge. Where a request for
        certification is submitted by a POTW, the POTW shall notify any affected Industrial User of
        such submission. The Industrial User may provide written comments on the POTW
        submission to the Water Management Division Director or Director, as appropriate, within
        30 days of notification.

        A. Receive Categorical Determination Request from permittee or industrial user
        The application may be submitted to the Approval Authority (EPA or NPDES authorized
        state) for review by either the industrial user or the POTW where the industrial user is
        located. If the POTW is the requestor, then they send the industrial user a copy of the
        application sent to TCEQ.

        The application for a categorical determination request is submitted to the TCEQ
        Executive Director in care of the WQ Division. The request may be a result of a
        pretreatment program audit or inspection. Also, the request may be due to the POTW
        and/or the industrial user not knowing what federal effluent guidelines regulation
        (categorical pretreatment standards) apply to the industrial user.

        B. Enter in the Excel spreadsheet
        The delegated senior pretreatment staff creates a record in the Excel spreadsheet to
        include the name of the industrial user, the name and TPDES permit number of the POTW
        where the industrial user is located, the date that the categorical determination request
        was received, and the date that it is assigned to the pretreatment coordinator.

        C. Assign to pretreatment coordinator
        The categorical determination request application is assigned to the pretreatment
        coordinator for review.

        D. Complete review of request
        The assigned pretreatment coordinator reviews the application for a categorical
        determination for administrative and technical completeness. 40 CFR §403.6(a) specifies
        the application contents to include the federal category and subcategory that apply to the
        industrial, a description of the processes performed by the industrial user, and certified by
        the authorized signatory. The application is rejected if it does not include all the
        application components.

        During the review, the pretreatment coordinator reviews the pretreatment and wastewater
        treatment plant Central Records files, review of applicable EPA effluent guidelines
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        development documents for the industrial category(ies) that may apply to the industrial
        user, and coordinates with the EPA HQs effluent guidelines staff and EAP Region 6 staff,
        and FOPs regional office investigators, and the POTW.

        If needed, the pretreatment coordinator performs a site visit of the industrial user or
        requests that the FOPs investigator perform an inspection to confirm the processes
        performed at the industrial user or the industrial user may be asked to meet with the
        pretreatment coordinator.

        E. Deny or proceed with processing?
        Based on the review of the application package contents, the pretreatment coordinator
        may deny review of the application. In this situation, the application is returned to the
        requestor and the process continues with step F.
        If the pretreatment coordinator determines that the application is complete, then the
        application will be processed for an in-depth review. Go to step G.

        F. Prepare a denial letter
        If the pretreatment coordinator determines that the application is not complete, then a
        denial letter is prepared to return the application to the requestor. The denial letter
        specifies the TCEQ’s reasons for denying the review of the application. Continue with
        step I.

        G. Is more information needed?
        If the application includes all the components, the pretreatment coordinator reviews the
        application for accuracy and adequacy. If more information is required to complete the
        categorical determination, then the pretreatment coordinator prepares a letter to be mailed
        to the requestor. Continue with step H.

        If the application is accurate and adequate, then the pretreatment coordinator prepares
        their decision letter for management review. Go to step O.

        H. Prepare letter to permittee requesting more information
        If more information is required to complete the categorical determination, the pretreatment
        coordinator prepares a letter to be mailed to the requestor requesting the additional
        information to complete the review.

        I. Route letter for peer review
        The pretreatment coordinator routes the denial letter or letter requesting additional
        information to a senior pretreatment staff for peer review. If needed, revisions will be
        made after the peer review.

        J. Route to team leader for review and signature
        The pretreatment coordinator routes the letter to the Storm Water & Pretreatment Team
        Leader for review and signature.

        K. Admin staff mails letter to permittee or IU
        The pretreatment coordinator routes the letter to the administrative staff to prepare for the
        Storm Water & Pretreatment Team Leader signature and to mail the letter to the
        requestor. A copy is sent to the other parties as required by 40 CFR §403.6(a).

        L. Update the Excel spreadsheet

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        The delegated senior pretreatment staff enters the date the denial letter or letter
        requesting additional information is mailed to the requestor and the due date.

        M. Is letter for denial or for more information?
        If the pretreatment coordinator prepares a denial letter for the application, then no further
        action is required from the TCEQ until a complete application is received. Go to step O.

        If the pretreatment coordinator determines that additional information is required to
        complete the review of the application, the additional information is reviewed when the
        requestor submits it. Continue with step N.

        N. Response received?
        The additional information requested for the categorical determination request application
        is assigned to the pretreatment coordinator for review. Go back to step D to start the
        review again.

        If no response with more information is received, go back to step F to prepare a denial
        letter.

        O. Draft categorical decision letter & briefing paper
        The pretreatment coordinator completes the review of the application and prepares a
        decision letter and briefing paper for management. All supporting information and
        documentation needs to be available for review and for the packet to be sent to the EPA
        Region staff for their review.

        P. Route for peer review
        The pretreatment coordinator routes the categorical determination request decision letter
        and briefing paper to a senior pretreatment staff for peer review.

        Q. Revisions?
        If there are revisions, the pretreatment coordinator makes the requested revisions to the
        decision letter and briefing paper. Go back to step O.

        If there are no revisions, continue with step R.

        R. Route to team leader for review and briefing
        The pretreatment coordinator routes the categorical determination request decision letter
        and briefing paper to the Storm Water & Pretreatment Team Leader for review. The
        pretreatment coordinator will brief the team leader on the reasons for the determination.

        S. Revisions?
        If there are revisions, the pretreatment coordinator makes the requested revisions to the
        decision letter and briefing paper. Go back to step O.

        If there are no revisions, continue with step T.

        T. Route to Section Manager for review and briefing
        The pretreatment coordinator routes the categorical determination request decision letter
        and briefing paper to the Section Manager for review. The pretreatment coordinator will
        brief the Section Manager on the reasons for the determination.

        U. Revisions?
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        If there are revisions, the pretreatment coordinator makes the requested revisions to the
        decision letter and briefing paper. Go back to step O.

        If there are no revisions, continue with step V.

        V. Route to Division Director for review, briefing and signature
        The pretreatment coordinator routes the categorical determination request decision letter
        and briefing paper to the WQ Division Director for review. The pretreatment coordinator
        will brief the WQ Division Director on the reasons for the determination.

        W. Revisions?
        If there are revisions, the pretreatment coordinator makes the requested revisions to the
        decision letter. Go back to step O.

        If there are no revisions, continue with step X.

        X. Send decision letter to EPA with due date for determination
        The pretreatment coordinator will prepare the decision letter for WQ Division Director’s
        signature to be mailed to EPA Region 6. The letter includes TCEQ’s decision and the due
        date for EPA to concur with the decision, waive receipt of the application and decision, or
        modify the TCEQ’s decision.

        Y. Update the Excel spreadsheet
        The delegated senior pretreatment staff enters the date the decision letter is mailed to
        EPA Region 6 and the due date for their response.

        Z. EPA response received
        The EPA Region 6 replies to the TCEQ’s decision on the categorical determination
        request. If the EPA waives receipt of the application and decision, then the TCEQ’s
        decision is final. The EPA may concur with the TCEQ’s decision. If the EPA does not
        agree with the TCEQ’s decision, then the decision is modified by EPA and their decision is
        the final decision.

        AA. Update the Excel spreadsheet
        The delegated senior pretreatment staff enters the date the response from EPA is
        received and notes whether EPA waived receipt of the application and decision, concurred
        with TCEQ’s decision, or modified the TCEQ’s decision, .

        BB. Is the customer a CIU?
        If the final decision on the categorical determination request is made that the industrial
        user is subject to specific federal effluent regulations, then the industrial user is classified
        as a categorical industrial user (CIU). If the customer is classified as a CIU, continue with
        step CC.
        If the customer is not classified as a CIU, this is the end of the process.

        CC. Is the CIU in an approved PT program?
        If the CIU is located in a POTW that has an approved TPDES pretreatment program, then
        the POTW is the Control Authority (CA). The CA is required to permit the CIU according
        to their approved pretreatment program and the CIU submits the required reports directly
        to the CA. This is the end of the process.



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            If the CIU is located in a POTW that is not required to have an approved TPDES
            pretreatment program, then the TCEQ is the CA. The CIU is required to submit the
            required reports listed in 40 CFR §403.12 directly to the TCEQ. Continue with step DD.

            DD. Significant Industrial Users in non-pretreatment POTWs
            If the CIU is located in a POTW that is not required to have an approved TPDES
            pretreatment program, then the CIU is required to submit the required reports listed in 40
            CFR §403.12 directly to the TCEQ. Please see Significant Industrial Users in Non-
            Pretreatment POTWs process.




5   Annual Fee Billing
    5.1     General Permit Annual Billing Process
            A water quality annual fee is assessed to each operator holding an active permit on
            September 1 of each year. The fee amount varies depending on the general permit type
            or Chapter 321 Permit by Rule Authorization type. The annual fee amount is specified in
            each general permit, 30 TAC Chapter 205 (General Permits for Waste Discharges), or 30
            TAC Chapter 321 (Permit By Rule).

            There are two fee types associated with the GP/PBR billing: general permit wastewater
            (GPWW) and general permit storm water (GPSW). The annual billing is to occur as
            scheduled by Revenue. The GPWW billing is scheduled for October of each year, and
            GPSW is scheduled for December of each year, and may change. A change in date must
            be approved by the Chief Financial office.

            A. Complete entries of new apps, NOT’s & NOC’s effective 9/1/FY in ARTS/CR
            Before the billing files can be run the programs must ensure that all entries of new
            application, Notice of Terminations, and Notice of Changes that effect the permit status for
            fee applicability have been entered in the database.

            B. Notify Revenue of plans to run Billing
            Before running the extract files, it is necessary to notify the Revenue IT coordinator as the
            extract files will generate for all programs setup for billing in ARTS.

            C. Customer Extract
            The customer extract process will include any update to an existing account, new
            accounts, and customer level disputes that have not yet been processed for Basis2.

            D. Invoice Extract
            The invoice extract process will include any permit subject to billing for the current fiscal
            year and any permit set for a Rebill that has not yet been processed for Basis2.

            E. Adjustments?
            If there are adjustments that need to be processed for Basis2, proceed to step F. If there
            are no adjustments, this is the end of the process.

            F. Adjustment Extract
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        The adjustment extract process will include any adjustment (credit or debt) that has not yet
        been processed for Basis2.




    5.1.1 GP Customer Extract Process
        A customer extract file is generated from ARTS to include the Permittee’s name and billing
        address, and the account number in the active billing interface record of each
        authorization under a permit subject to the water quality annual fee. Changes to customer
        accounts are also included in a customer extract file. As billing address and name
        changes are made, the billing interface record is automatically flagged to know that the
        change or new account number should be included in the the next customer extract file,
        and the flag is automatically removed after running the customer extract file.

        When the customer extract file is generated from ARTS, it creates a text file of all changes
        and new accounts (adds) for each fee type which includes GPSW, and GPWW.

        A. Generate MOCK customer file from CR db
        The WQ Fee Coordinator generates the customer extract file from ARTS each month to
        include new accounts and updates of existing accounts for updating Basis2.

        B. Receive text files via e-mail and review error report
        The system automatically sends the user an email with the text file of each customer file
        generated.

        C. Errors in customer records?
        If there are errors in the customer records, go to step G and correct them. If there are no
        errors, continue with step D.

        D. Generate customer file from CR for sending to Basis2Basis2
        Notify the Revenue IT coordinator through email when the file is ready for loading into
        Basis2.

        E. Receive text files via email and save in WQ FY Billing Directory
        The customer extract file(s) is saved in a folder established for the fiscal year billing files.

        F. Review Error report
        A customer validation error report is generated when the customer extract file is
        generated. This file may identify records that failed to meet the criteria from the customer
        extract file so that they can be corrected in CR.

        G. Errors in customer records?
        If errors occurred in the customer validation error report, proceed with step G. If there
        were no errors, the customer extract process is complete.

        H.. Fix records in CR
        The permit records are corrected in CR to include a complete billing address and/or client.

        H. Run supplemental customer extract next working day
        A customer extract file can only be generated once per day. The supplemental customer
        extract file will need to be run the next working day to include the records corrected from
        the error report, then begin back at step A.
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    5.1.2 GP Invoice Extract
        An invoice extract file is generated from ARTS to include each authorization under a
        general permit subject to the water quality annual fee September 1 of each year. An
        invoice extract file is generated for both general permit wastewater (GPWW) and general
        permit storm water (GPSW) fee types. Supplemental billing files may be generated during
        the fiscal year to create an invoice record for permit requiring a Rebill or permits that may
        never have been assessed the annual due to unusual circumstances outside of the
        programs control. Only one invoice extract file per fee type can be generated in a day.
        Supplemental invoice extract files must be generated on different days.

        When an invoice file is generated invoice numbers are sequentially assigned and are
        unique to the fee type. An account may have more than one invoice within a fee type if
        they hold more than one permit. The invoice date is always the last day of the month the
        file is generated for Basis2 as required in the Revenue manual. The regular annual
        invoice extract file must be generated in the month scheduled on the Revenue billing
        calendar, and loaded into Basis2 by the specified deadline for generating and mailing of
        billing statements.

        Any invoice level dispute not yet processed through an invoice dispute level extract file for
        loading into Basis2 will be included in the invoice extract file as the file format is the same.

        A. Generate mock invoice file from central registry billing (rerun as needed)
        Generate the mock invoice file to confirm the permit subject to the annual fee assessment.
        A mock bill file must be run for fee types GPWW and GPSW.

        B. Receive via email and review mock file for completeness and accuracy
        Review the mock file for completeness and accuracy. The text file is imported into
        paradox. A crystal report is generated listing all permits subject to the annual fee and is
        downloaded into a CVS file. The CVS file is imported into paradox. A series of
        comparison queries is run to ensure that all permits meet the validation requirements for
        billing.

        C. Errors in file?
        If a permit record(s) subject to billing is found not to be included in the mock billing file,
        proceed to step I. If all permits records subject to billing are found to be included in the
        mock invoice file proceed to step D.

        D. Generate “real” invoice files for sending to Basis2Basis2 (only one per day for fee
        code)
        The invoice extract file is generated for fee types GPSW and GPWW. The system only
        allows one invoice extract file per day be run, to avoid overwriting the first file that is
        automatically sent to Basis2 for processing.

        E. Receive text file via e-mail & save to WQ FY billing directory
        The system automatically sends the user an email with the text file of each invoice extract
        file generated. The invoice extract file(s) is saved in a folder established for the fiscal year
        billing files.

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        F. Review error report (validation exceptions)
        An error report is generated when the invoice extract file is generated. This report shows
        the validation exceptions. This report is run against a paradox table of data imported
        through crystal report from ARTS to identify the permit not included in the billing file.

        G. Errors in file?
        If there are errors in the file, go to step I to fix them. If there are no errors, proceed to step
        H.

        H. Notify Revenue OK to load files into Basis2
        Notify the Revenue IT coordinator through email when the file is ready for loading into
        Basis2. The process ends here.

        I. Fix permit records in ARTS
        The program staff research the permits not meeting the validation process for the invoice
        files in the database to determine the error. The error is identified and fixed so that the
        permit(s) can be billed. Return to step A to start the process over again.


    5.1.3 GP Adjustment Extract
        The adjustment extract process generates an adjustment file of all credits and debits that
        have an adjustment not yet processed through an extract file for Basis2. This process
        generates a file for each fee type billed through ARTS, which includes GPWW and GPSW.
        The most common process is steps A - F. Steps G - I are required when an adjustment
        has been omitted or entered in error. An adjustment in the amount of a credit or debit
        cannot result in a balance less than or greater than zero. Only one adjustment file per fee
        program can be generated per day.

        A. Generate mock adjustment extract file
        The WQ Fee coordinator generates the adjustment files in the ARTS Billing main menu.
        The system will generate an adjustment file for all programs using ARTS for billing that
        have an adjustment not yet processed through an extract file.

        B. Receive text file via e-mail to confirm credits
        The system automatically sends the user an email with the text file of each adjustment file
        generated. This file saved in a folder established for the fiscal year billing files.

        C. Generate adjustment extract file for sending to Basis2Basis2
        Generate the adjustment extract file from ARTS. The system emails the files to the user
        initiating the process.

        D. Save adjustment file in WQ FY Bill directory
        This file saved in a folder established for the fiscal year billing files.

        E. Review adjustment extract file to confirm accuracy
        Review the adjustment file against the list of adjustments known to have been entered to
        ensure accuracy.

        F. Notify Revenue OK to load inBasis2Basis2
        Notify the Revenue IT coordinator through email when the file is ready for loading into
        Basis2Basis2.

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        G. Errors in file?
        If an error is found in the adjustment file proceed to step H. If an error is not found in the
        adjustment file, processing is complete.

        H. Correct entry in CR
        Correct the entry of the adjustment to the invoice by either entering a debit or credit to
        accurately reflect the intended adjustment.

        I. Generate supplemental adjustment file next working day
        Generate a new supplemental adjustment file to capture adjustments not yet processed
        since the last adjustment file generated, then begin back at step B.




    5.1.4 Billing Address/Name Change
        A billing account is established for each authorization subject to billing. The permittee
        holding an active authorization under a general permit is required to notify the program
        when a legal name and/or billing address changes. After the change is processed by the
        appropriate program staff, the change is automatically captured in the customer extract
        update file, if the permit has an active billing interface record in ARTS. In some cases as
        billing address or name change is made before the permit has been through a billing
        cycle. In this case the change will not be included in the customer extract file. The most
        common path is A - D and N. Steps G - M only occurs when the permit must be rebilled
        for use of a new AR to invoice.

        The WQ Fee Coordinator generates customer extract file monthly for loading into
        Basis2Basis2. In some cases, the change may result in creation of a new account. The
        combination of the CN and address is considered for creating or assigning an existing
        account number. An operator can have multiple permits under an account for a fee type.
        The fee types for general permits include General Permit Stormwater (GPSW) and
        General Permit Wastewater (GPWW).

        A. Notice of Change Process
        A request to change the billing address and/or name on a GPSW or GPWW account is
        received through a Notice of Change (NOC). The account is automatically updated when
        the NOC is processed through the NOC.


        B. System automatically updates BIR when address change is entered in CR for permit

        C. Determine if customer wants a unique account for permit
        The WQ Fee Coordinator reviews the request to determine if a new billing interface record
        is needed or if the same account should be retained.

        D. Unique BIR required?
        If an operator’s account has several permits with the same billing address and requests to
        change the address of one permit, the one permit will require a new billing interface
        record. If the operator’s name has changed the existing account will need to be retained
        but a new billing interface record will need to be created using the existing account
        number. If a new billing interface record is required, continue with step E


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        If the change in address and/or name does not affect more than one permit, then a new
        billing interface record is not required and the process proceeds to step N


        E. End date current BIR in CR and add new BIR for the permit
        For permits requiring a new billing interface record, each permit is updated in CR by
        ending the record and creating a new record using an existing or assigning a new account.

        F. Rebill of permit required?
        If the operator has an outstanding invoice but will not pay it until a new account is
        assigned, a Rebill is required. Continue with step G.

        If the operator’s account is paid in full or plans to submit the payment as originally
        invoiced, the permit(s) does not require a Rebill, and the process proceeds to step N

        G. Update Rebill flag of permit record in CR
        Add the Rebill property in the permit record in CR so that the permit will be included in the
        next invoice extract.

        H. Customer Extract Process
        The Customer Extract Process is generated to capture any changes or new accounts
        created as a result of changes.

        I. Invoice Extract Process
        The Invoice Extract Process will include any permits flagged for Rebill. The Rebill permits
        will be updated at the time the Invoice Extract is generated to show the Rebill occurred.

        J. Adjustment required?
        If the change resulted in a Rebill of the permit, the original invoice must be adjusted.
        Continue with step K. If the change did not result in the need for a Rebill, an adjustment is
        not required, and the process continues with step M.

        K. Enter adjustment in CR
        An adjustment in the form of a credit equaling the original invoiced amount must be
        entered for the exact permit and invoice being Rebilled. The invoice number being
        adjusted is confirmed with Basis2 through the Revenue fee coordinator before entering the
        adjustment in CR.

        L. Adjustment Extract
        The Adjustment Extract Process will include any invoice flagged for an adjustment that
        has not yet been processed.


        M. Save extract files in program local directory by FY
        After generating the extract files the system emails a copy of the files that were sent to
        BASIS2. The fee coordinator saves the files by FY in the program local directory on the
        computer. The files are used to verify data generated and sent to BASIS2 as needed.

        N. Send documentation to permit file in Central Records
        If any documentation is provided to support an adjustment or other change, it is sent to the
        permit file. Documents provided for an NOC are handled in accordance with the NOC
        process.
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    5.1.5 GP Bankruptcy Notification
        Bankruptcy notifications are received from the agency’s Bankruptcy Coordinator. The
        Bankruptcy Coordinator identifies unpaid accounts where we cannot attempt to collect due
        to a bankruptcy case. The program assessing the fee is required to place a hold on the
        billing account and/or to initiate the adjustment of the unpaid invoice(s) for the amount
        owed on the customer’s account.

        A. Bankruptcy notification received from Bankruptcy Coordinator
        The WQ fee coordinator receives a request from the Revenue fee coordinator through the
        Bankruptcy coordinator identifying the account and invoice(s) requiring an adjustment, and
        invoices of fees assessed after the bankruptcy discharge date.

        B. Outstanding payment?
        If a payment is outstanding and is uncollectible due to bankruptcy, proceed to step C. If a
        payment is not outstanding proceed to D.

        C. Enter adjustment to invoice in CR
        The adjustment in the form of a credit for the invoice is entered in ARTS for processing in
        the next adjustment extract file generation.

        D. Notify Revenue to flag account as BR in Basis2Basis2
        Notify Revenue to flag the account as Bankruptcy (BR) in Basis2Basis2.

        E. Adjustment Extract
        The Adjustment Extract process will capture any customer level dispute that has not been
        processed. This dispute level will stop further mailing of billing statements for the account.




    5.1.6 GP Undeliverable Statements
        After billing statements are mailed for a fiscal year assessment period, and statements of
        outstanding accounts are mailed monthly thereafter, the undeliverable statements
        returned by the U.S. Postal Service are returned to the WQ Fee coordinator. The returned
        mail is processed to obtain a good billing address or to determine if a hold on account is
        needed. If a forwarding address is provided, the process includes steps A - B, and G - I.
        If a forwarding address is not provided, the process includes steps A – E, J, K, and I.

        A. Undeliverable statements received (return mail)
        The undeliverable statements are returned to the WQ fee coordinator for processing.

        B. Forwarding address provided?
        If a forwarding address was provided by the U.S. Postal Service, proceed to step G. If a
        forwarding address was not provided, proceed to step C.

        C. Research permit files for contact information
        The program staff search the permit files to obtain a good phone number(s) to contact the
        permittee. They also look at other permits held by the permittee to determine if the
        address was entered in the database in error.
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        D. Call permittee
        The permittee is called to obtain a good billing address.

        E. Successfully contacted customer?
        If the permittee was successfully contacted, proceed to step F. If a working phone number
        cannot be found for the permittee, proceed to step J.

        F. Inform customer of NOC requirement
        The Customer (permittee) is informed of the general permit notice of change requirements
        for updating information originally supplied to TCEQ on the NOI.

        G. Make copy of statement and envelope
        A copy of the returned envelope with the forwarding address and the billing statement is
        made for the permit file.

        H. Mail original with letter to forwarding address
        A generic letter giving information relating to the general permit requirements is mailed to
        the customer (permittee) with the original returned envelope and billing statement.

        I. Send copies to Central Records
        The copy of the billing statement and envelope, and a copy of the generic letter is coded
        and sent for filing in the permit file in Central Records. The process ends here.

        J. Notify Revenue if Basis2Basis2 needs to be updated to show “undeliverable”
        Notify Revenue if Basis2Basis2 needs to be updated to show a status of undeliverable. .




    5.1.7 GP Dispute Request
        A permittee holding an authorization under a general permit receiving a billing statement
        may dispute an invoice if they feel the fee should not have been assessed. The amount
        being disputed may be the original assessment and/or late fees. The dispute may result in
        the adjustment of the operators account. The most common path is A - E. The next
        common path is A-C, F, G, O, and then D-E. Customers rarely pay the invoice then
        submit a dispute, but if it occurs, the path is A-C, F-O, and then D-E.

        A. Receive customer dispute request
        An operator receiving a billing statement submits a dispute of an invoice if they think the
        annual fee should not have been assessed. The request may be through email, phone, or
        letter.

        B. Review request
        The request is reviewed to determine if the dispute is valid. A valid dispute includes when
        it’s found that a Notice of Termination was submitted to TCEQ and effective on or prior to
        Sept. 1 of the fiscal year invoice period; when it’s found that the payment was received by
        TCEQ prior to the date late fees were assessed; or when the reason for the billing was
        made in error by TCEQ. Failure to submit a Termination request is not a valid dispute of
        an invoice.

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        C. Adjustment needed?
        If an adjustment is needed, proceed to step F. If an adjustment is not needed, proceed to
        step D.

        D. Notify customer of decision
        The customer is called, emailed or a letter is sent to notify them of the decision regarding
        their dispute. The customer is given an explanation for the final decision.

        E. Send request to Central Records
        Once the process is complete, the documented dispute request and response, and, if
        applicable, the copy of the refund form, is coded and sent to the Central Records file.


        F. Enter adjustment in CR
        The adjustment in the form of a credit is entered for the invoice in the ARTS billing main
        menu.

        G. Invoice already paid?
        If the invoice has already been paid, proceed to step H. If the invoice has not been paid,
        proceed to step O.

        H. Complete refund form
        The Revenue Adjustment Credit/Debit Memo form is completed to initiate the refund of
        payment to the customer. The form provides the invoice number, amount paid and
        method of original payment with receipt number that is to be refunded. The Fee
        coordinator signs the forms as the person initiating the refund.

        I. Get team leader signatures on refund form
        The refund form is given to the team leader of the program for the authorization type
        needing the refund.

        J. Make copy of refund form for WQ files
        The WQ fee coordinator makes a copy of the refund form and retains the copy in the WQ
        revenue documentation files.

        K. Send original refund form to Revenue
        The original refund form is sent to the Revenue Cashier’s office for processing.

        L. Revenue processes refund
        The Revenue Section processes the refund request form. The refund request may not
        result in an actual refund if it’s found that money is owed by the same entity under another
        account with TCEQ.

        M. Revenue sends copy of approved refund form to WQ Fee Coordinator
        If the refund is approved, a copy of the form with all signatures is sent to the WQ Fee
        coordinator.

        N. WQ Fee Coordinator retains copy & sends copy to Central Records
        The WQ fee coordinator makes a copy of the approved refund form for division records
        and for the permit file in Central Records.

        O. Adjustment Extract Process
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        The Adjustment Extract process is generated to include all adjustments that have not yet
        been processed for Basis2. Return to step D.




5.2 Individual Wastewater Permit Annual Billing and Account
   Maintenance Processes

    5.2.1 Annual WQ Fee Assessment
                                                                                             st
    The annual water quality fee is assessed on the permit limits in effect on September 1 of
                                                                                                  th
    each year. Invoices are usually mailed mid to late October with a due date of November 30 .
    At least 90% of the permits do not have problems with the calculation of the fees. They follow
    the path A-H, K-S. Each year, staff has found fee miscalculations due to the data not being
    picked up from the database for calculation, the calculation not working for several permits,
    and data entry errors. These follow the path A-G, I-S. Due to the billing program not always
    picking up the correct limits or components for the fee calculation, there are permits whose
    annual fee is not properly assessed, one of these being WQ0010495002, City of Houston.
    These are included in approximately 1% of the permits that require an adjustment, which
    follow the path U-Z. Occasionally, there are permits that did not show up on the mock
    exception report, but did on the annual and were not billed. These require supplemental billing
    which is steps through AA-EE.

    Throughout the year, management may request we forecast the amount of monies we will
    collect with different dollar amounts for each of the parameters. In addition, the permittees
    may call the Applications Review and Processing Team requesting we forecast what they may
    have to pay the next year. To forecast the fees for permittees, we set the dollar amounts
    which we feel are close to what will be billed for the next fiscal year and then we enter a permit
    number or select all permits to tentatively forecast the amounts.


    A. Determine fee amounts
    30 TAC Chapter 21 of the TCEQ rules (“Water Quality Fees”) contains the maximum dollar
    amounts per pollutant and other parameters of the billing. It also contains the minimum dollar
    amount per permit. Additionally, the rules allow for a multiplier to be used if necessary.
    Financial Administration in conjunction with the Commissioners will determine the amount of
    monies needed to administer the water programs and will determine the dollar amounts to be
    used in the calculations.

    B. Set dollar amounts and AR# in TRACS
    The Applications Review and Processing Team will ensure the correct dollar amounts are set
    in the billing portion of TRACS. Staff will also assign account receivable/customer numbers to
    all new permits that have been issued the previous year. Staff will also ensure the billing
    mailing addresses are up-to-date.

    C. Generate mock billing and error reports from TRACS
    The Applications Review and Processing Team generates the mock billing and exception
    report. The pdf reports are e-mailed to staff and the electronic copy is saved to their TRACS
    directory.

    D. Retrieve file from TRACS directory

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    Staff will use Filezilla to retrieve the electronic report from their TRACS directory and place it in
    a directory for manipulating.

    E. Import Mock billing report to Excel spreadsheet
    Staff opens Excel and retrieves the TRACS billing report. The headers and footers are
    removed and further clean up done. It is then saved in Excel.

    F. Compare report to last year’s report and review error report
    Staff will compare the fee amounts from last year’s billing to this year. If the amount is
    different, staff will determine whether the permit was operating in a different phase or an
    amendment permit had been issued during the previous year. Staff will also review the
    exception report to determine whether the revisions made in TRACS were corrected, and
    determine if additional items were placed on the exception report.

    G. Identify discrepancies
    Permits that are identified in the previous step, will be pulled and staff will manually calculate
    the fees to ensure the accuracy of the billing. Permits that were identified in the previous
    years as having problems will be reviewed to ensure the accuracy of the billing. If time allows,
    the team leader will identify a random number of permits which will have the annual fee
    manually calculated and compared to the billing.

    H. Correct any data entry problems in TRACS
    Any data entry problems identified during the review of the mock billing will be corrected by
    staff. This includes data that has “dropped out” of TRACS.

    I. Identify permits that need adjustment
    The Applications Review and Processing Team will determine which permits must be
    adjusted.

    J. Complete adjustment worksheet using Excel to calculate amount
    Staff will complete a manual fee adjustment worksheet for each permit needing an adjustment
    for use with the actual annual billing.

    K. Generate annual billing report and all reports (permit summary, error report and invoice
        extract) from TRACS
    The Applications Review and Processing Team generates the annual billing and multiple
    reports from TRACS. The pdf reports are e-mailed to several individuals within TCEQ.

    L. individual Permit Summary with break down of assessment and Invoice Extract reports
         sent to Revenue Fee Coord.f
    Financial Administration will receive the individual detailed statements and invoice extract file
    generated from TRACS
    M. Retrieve file from TRACS directory
    Staff will use Filezilla to retrieve the electronic report from their TRACS directory and place it in
    a directory for manipulating.

    N. Import annual billing report to Excel spreadsheet
    Staff opens Excel and retrieves the TRACS billing report. The headers and footers are
    removed and further clean up done. It is then saved in Excel.

    O. Compare annual billing report to mock billing report and review error report

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    Staff will compare the fee amounts from the annual billing report to the mock billing report. If
    the amount is different, staff will determine why there is a difference and to ensure any permits
    with data entry changes from step H corrects the problem. Staff will also review the exception
    report to determine if additional items were added.

    P. Identify discrepancies
    Permits that are identified in the previous step, will be pulled and staff will manually calculate
    the fees to ensure the accuracy of the billing. Permits that were identified in the previous
    years or in the mock billing as having problems will be reviewed to ensure the accuracy of the
    billing.

    Q. Notify Revenue of permits needing adjustments
    Permits that are identified in the previous step, will be pulled and staff will manually calculate
    the fees to ensure the accuracy of the billing. If an adjustment is required, staff will notify
    Revenues with the permit number and name.

    R. Run Customer Extract File and Billing Extract File through PATU
    The Applications Review and Processing Team runs the master files through PATU to prepare
    files for Financial Administration.

    S. Send Audit information to Revenue Coordinator
    The Applications Review and Processing Team sends a copy the auditor files to their financial
    administration contacts by e-mail.

    T. Adjustment Needed..

    U. Revenue pulls billing statements for invoices needing adjustment
    Revenues will pull all of the invoices that the Applications Review and Processing Team had
    identified. If a permittee has the same accounts receivable number for more than one permit,
    the invoice for all their permits will be pulled.

    V. Make adjustments in TRACS
    The Applications Review and Processing Team will make the adjustments in TRACS for all
    permits which Revenues was notified to pull the invoices for.

    W. Run adjustment extract file from TRACS
    Applications Review and Processing Team will generate the adjustment extract file.


    X. Retrieve file from TRACS directory
    Staff will use Filezilla to retrieve the electronic report from their TRACS directory and place it in
    a directory for manipulating.

    Y. Run Billing Adjustment Extract File through PATU
    The Applications Review and Processing Team runs the billing adjustment file through PATU
    to prepare files for Financial Administration.

    Z. Notify Revenue that adjustments were run
    The Applications Review and Processing Team leader will notify Revenues when all
    adjustments have been made and the adjustment report has been uploaded into Basis2.

    AA. Supplemental Billing Required?
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    The Applications Review and Processing Team will determine whether a supplemental billing
    is required. The supplemental billing is required when permit(s) do not show up on the annual
    billing. If a supplemental billing is not required, continue to step Y. If a supplemental billing is
    required, go to step BB.

    BB. Run billing Invoice extract
   The Applications Review and Processing Team runs the supplemental invoice extract file from
   TRACS.


    CC. Retrieve file from TRACS directory
    Staff will use Filezilla to retrieve the electronic report from their TRACS directory and place it in
    a directory for manipulating.

    DD. Run billing Invoice Extract through PATU
    The Applications Review and Processing Team runs the supplemental billing file through
    PATU to prepare files for Financial Administration.

    EE. Notify Revenue that supplemental was run
    The Applications Review and Processing Team leader will notify Revenues when the
    supplemental report has been done and is ready to be uploaded into Basis2.

    FF. Mail adjustments
    Revenues will generate the adjusted invoices from Basis2 and mail the invoices.




    5.2.2 Annual WQ Fee Adjustment/Dispute
    Few adjustment requests are received from the TCEQ bankruptcy staff. Most approved
    requests for fee adjustments are when the permittee attempted to cancel their permit prior to
                  st
    September 1 . Most denied requests for fee adjustments are when the permittee cannot
                                                                    st
    prove they attempted to cancel their permit prior to September 1 . Approximately 30% of all
    fee adjustment requests require a substantial amount of research. If a fee adjustment is not
    approved, the process is shown as A-G, J, K. If a fee adjustment is approved, the process is
    shown as A-K.

    A. Receive request for adjustment
    Permittees must submit a written request to adjust their fees. The request should also contain
    documentation supporting their request. TCEQ bankruptcy staff may also notify us to adjust
    fees for permittees who have filed bankruptcy.

    B. Log receipt into transfer-endorsement.db
    The permittee’s name, permit number, date of receipt, and various other information from the
    written request is logged into the transfer-endorsement.db (Paradox).

    C. Assign to ARP Team staff
    At least once a week a report is generated from Paradox. All requests received the previous
    week are assigned to a reviewer to investigate the adjustment request.

    D. Investigate request

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    Reviewers research the data in TRACS and Paradox to ensure the permit was accurately
    coded in TRACS. The fees are manually calculated by using the permit in effect on
                 st
    September 1 to ensure the fee was calculated correctly. The file is requested to aid with the
    research of the request. In approximately 2% of the adjustment requests, the permitting staff
    are involved in researching the request.

    E. Prepare response letter
    The reviewer prepares a letter documenting whether or not an adjustment was made. If an
    adjustment was not made, the reason for not adjusting the fee is included in the letter.

    F. Supervisor in agreement
    Team Leader reviews response letter and the supporting documentation. If more research is
    needed and/or the Team Leader disagrees with the staff’s recommendation, the request and
    the documentation are returned to the reviewer for additional research and/or a new letter.

    G. Approve adjustment request?
    After the team leader approves of the response, staff will proceed depending upon whether
    the requested adjustment was approved. If the requested adjustment was approved, continue
    with step H. If the adjustment was not approved, go to step K.

    H. Notify Revenue concerning late penalties
    If an adjustment is made, the reviewer notifies the TCEQ Revenue Section that all late
    penalties are waived.

    I. Log adjustment into TRACS and updates outcome on Excel spreadsheet
    The reviewer logs in and approves the adjustment in TRACS. The reviewer will also update
    the spreadsheet created for that year’s fee to include the adjusted amount and the specifics on
    why the fee was adjusted.

    J. Mail response letter
    The response letter is mailed by first class mail.

    K. Log response into transfer-endorsement.db
    The date the response letter is mailed is entered and the record historicized in Paradox -
    transfer-endorsement.db.

    L. Send to central records
    Documents are coded and sent to permit file in central records.




    5.2.3 WQ Billing Address Change
    In order to mail the annual billing to the correct address, TCEQ requires the permittee to notify
    us whenever the billing address has changed. Each year more than one hundred invoices are
    returned with the permittee notifying us of an address change. Applicants are requested to
    provide the billing address on all applications received (except name changes). Because of
    this, approximately 50% follow A-G. Approximately 45% of the address changes submitted
    are received from the invoice and the path followed is A, B, H, I, K, L or A, B, H, I, K, C-G.
    Approximately 3% require following with the permittee as shown by path A, B, H, I, J, K, L or
    A, B, H, I, K, C, D, E, F, G. Less than 1% require contacting the permittee to determine

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    whether to change the billing address for one or all permits associated with a single accounts
    receivable/customer number as shown in paths A-E, M, N, F, G or A-E, M, N, O, G.

    A. Receive request to change billing address
    Permittees can request to have their billing address changed (1) by letter, (2) by using the
    address change form and marking billing, (3) by providing an address for the billing address
    item in the application, or (4) by returning the invoice with a new address on the back of the
    form.

    B. Address change identified as billing only?
    Staff determines whether the billing address and the permit mailing address are the same. If
    both addresses are the same, it is difficult to determine whether the permittee wishes both
    addresses to be changed, so a clarification letter may need to be sent.

    If this is a billing address change only, continue with step C. If this is possibly an address
    change for more than just the billing address, send a letter to the permittee to clarify which
    addresses should be changed (step H).

    C. Get AR number associated to the permit ID
    Either in TRACS or by the numeric account numbers, staff determines the permit number
    associated with the ID. Staff then retrieves the list of permits under the account number.

    D. In TRACS, look at permit IDs associated with AR number
    Staff determines whether more than one permit is associated with the AR number.

    E. Number of permit ID’s associated with AR number?
    Approximately 90% of the permits are not associated to the same account number. If one
    permit id is associated with the AR number, continue with step F. If more than one permit is
    associated with the account number, go to step M and contact the permittee.

    F. Change billing address in TRACS for the AR number to new address
    The billing address is updated in TRACS.

    G. Send documents to Central Records
    The invoice is prepared and coded for sending to Central Records. This is the end of the
    process.

    H. Send clarification letter/e-mail or make phone call to permittee
    If the address change is not identified as only a billing address change and the billing address
    and the permit mailing address is the same, a letter/e-mail or phone calls is made to the
    permittee. Staff is requesting the permittee to submit a change of address form if the permit
    mailing address is changing.

    I. Response received?
    The permittee can call to inform us if it is a billing address only change; however, if the permit
    mailing address is to be changed, the applicant must submit a change of address form. If no
    response was received, continue with step J and call the permittee. If a response was
    received, go to step K.

    J. Call permittee
    The permittee may be called if no response is received. In all cases, the billing address will be
    changed regardless of whether the permittee submits a response or not.
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    K. Billing address only?
    The response received by the permittee will determine whether the address change is for a
    billing address only or both the billing address and the permit mailing address. If the address
    change is not just for the billing address, go to step L. If the address change is for the billing
    address only, go to step C.

    L. Transfer/Endorsement (admin)
    If permit mailing address must be changed, the applicant is required to submit an address
    change. This process is described in the Transfer/Endorsements (Administrative) flow
    diagrams.

    M. Contact permittee
    If more than one permit is connected with an AR number, staff will contact the permittee to
    determine whether the billing address should be changed for all permits.

    N. Is the change for 1 or for all?
    There are a few companies who have decided not to send the invoice to the corporate
    headquarters, but to the plants instead.

    If the change is for one of the permits, continue with step O to create a new AR# that will be
    associated with this permit only. If the change is for all of the permits, go to step F.

    O. In TRACS, disassociate the permit ID from AR number and assign new AR number with
    new address
    If the address is not to be changed for all permits, staff will disassociate the permit with the
    address change from the current AR Number. Staff will assign a new AR number to the permit
    that has been disassociated and change the address. Go to step G.


    5.2.4 WQ Returned Billing Statements
    Approximately 80% of the statements returned by the Post Office do have new addresses.
    The remaining 20% require a considerable amount of research. After the research, staff
    cannot establish a good address for 5-10% of the permittees. The most common process is
    shown A-G. When research is required, the process is A, B, I, J, D-H.

    A. Receive returned invoice statements
    Post Office returns all statements that are undeliverable and the statements of the entities that
    have moved or changed their mailing address.

    B. New address provided?
    The post office may supply the forwarding address or someone may handwrite a new address
    on the envelope. If a new address is provided, continue with step C. If a new address was
    not provided, go to step I.

    C. Look in TRACS for permit mailing address
    The billing address on the statement is compared to the permit mailing address and to the
    billing address currently in TRACS.

    D. TRACS address is the same as bad invoice address?


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    It must be determined whether the billing address, the permit mailing address, and the
    address on the statement are the same. If the addresses are the same, go to step I. If the
    addresses are not the same, continue with step E.

    E. Get AR number associated to the permit ID
    Either in TRACS or by the numeric account numbers, we determine the permit number
    associated with the ID. Staff then brings up the list of permits under the account number.

    F. Change billing address in TRACS for the AR number to the new address
    The billing address is updated in TRACS for the current annual fee.

    G. Send returned invoice to Central Records
    The invoice is prepared and coded for sending to Central Records. This is the end of the
    process.

    H. Research to find good address
    TRACS, WUD, Central Registry, Texas Secretary of State, State Comptroller of Texas and the
    phone book on the internet are used to try to locate a current address. Found addresses are
    updated in the Paradox transfers-endorsements database. When staff is unable to locate a
    good address, the relevant information is noted in the Paradox transfers-endorsements
    database.

    I. Send letter to permittee using new address requesting address correction
    If the address change is not identified as only a billing address change and the billing address
    and the permanent permit mailing address is the same, a letter is sent to the permittee. The
    letter requests the permittee to submit a change of address form if the permanent permit
    mailing address is changing. Go to step E.




    5.2.5 WQ Biweekly Customer and Invoice Adjustment Extracts
    The Applications Review and Processing Team makes fee adjustments throughout the month
    and updates the billing address changes. Twice a month, reports are generated and
    forwarded to Financial Administration for updating Basis2.

    A. Generate the Customer Extract File and the Invoice Adjustment ExtractFile
    The Applications Review and Processing Team will generate the customer extract files and
    the invoice adjustment extract files.

    B. E-mail the PDF files to Revenue Fee Coordinator and ARP Team Leader
    The Applications Review and Processing Team will e-mail the pdf files to their Financial
    Administration fee coordinator. All files generated will be e-mailed to the Applications Review
    and Processing Team leader.

    C. Using Filezilla to transfer the Extract files
    The Applications Review and Processing Team will use filezilla to move the master files from
    their TRACS directory.

    D. Run Customer Extract File and Billing Extract File through PATU
    The Applications Review and Processing Team runs the master files through PATU to prepare
    files for Financial Administration.
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    E. Send summary information of extract files to Revenue Fee Coordinator
    The Applications Review and Processing Team sends a copy of the auditor files to the water
    quality financial administration contacts by e-mail. The auditor files for each extract file
    uploaded through PATU provides a summary of transaction and transaction types. The
    summary must match the number of adjustments made and/or the number of customer billing
    addresses that are ‘change’ transactions or new customers that are ‘Add’ transactions.

    F. Revenue’s mails updated billing statements
    The Revenue staff generate and mail updated billing statements of any account with
    outstanding invoices. This is maintained in financial’s database.




5.3 Sludge Permit/Reg/Auth Annual Billing and Account
   Maintenance Processes

    5.3.1 Sludge Annual Fee Assessment
        An annual fee is assessed to permittees and registrants holding an active authorization on
        September 1 of each year. The fee amount is the annual reported tonnage multiplied by
        either, $0.75 for Class B Sludge, $0.25 for Water Treatment Plant Sludge, or $1.25 for
        Disposal of Sludge, with a minimum fee of $100.00. The domestic septage is reported in
        gallons so the fee is always $100.00. There are three fee categories defined by Revenues
        which are determined by the authorization type as follows: Waste Management Beneficial
        (WMB) includes Sludge Class B Beneficial Land Use Permit, Domestic Septage
        Registration, and Water Treatment Plant Sludge; Beneficial Land Permit (BLP) includes a
        Domestic Wastewater Permit that authorizes the land application of Class B sludge; and,
        Sludge Disposal Permit (SDP) includes a Domestic Wastewater Permit that authorizes the
        disposal of domestic sewage sludge.

        Since the permit and registrations are tracked in different databases, and the paradox
        systems used are not a shared or secured data source, for each fiscal year billing a
        database must be developed to consolidate the authorization number, permittee/registrant
        name, billing address, and other tracking fields to accomplish billing. Domestic permits
        are extracted from TRACS based on an extension name of Sludge BLU or Sludge
        Disposal. Sludge Class B BLU permits are extracted from TRACS based on permit
        category field equal to Sludge BLU. The domestic septage sludge registrations and water
        treatment plant authorizations are extracted from a paradox table named
        Aauthorizations.db”. The selection criteria includes the status of Active or Canceled date
        <9/1/YY.

        The program area responsible for fee assessment is required in the Revenue Manual to
        maintain a copy of all billing files. A new directory is established to store the fiscal year
        files for billing.


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        Even though the annual fee is assessed once per year and the annual reports are due at
        one time, about 50% of the annual reports are not submitted in time for billing. This
        requires a supplemental billing. Because the annual reports are not all submitted in a
        timely manner, a supplemental billing is also run in March. The sludge billing is scheduled
        for October of each year on the Revenue Billing Calendar. The same process is followed
        for supplemental billings. Only one file type per fee type can be loaded into Basis2 per
        day.

        A. Run reports from TRACS for domestic & sludge permits subject to current FY billing
        The WQ Fee coordinator runs the reports from TRACS for domestic permits, then for
        sludge permits, separately. A new directory is established to store the fiscal year files
        used to create billing.

        B. Import TRACS extract files into Paradox and query out domestic permits subject to
        current FY billing
        Import each file from each extract run into Paradox, and perform a series of queries to
        combine certain fields from each file associated to each extract run.

        C. Run query from Paradox (Transfers-Endorsements.db) to identify name changes,
        address changes, cancellations, etc.
        Run a query from Applications-Transfers-and-Other Actions database in order to obtain
        any changes to the addresses and/or names of the permittees/registrants that have
        occurred since the last October billing cycle.

        D. Run query from Paradox (Authorizations.db) to identify registrations subject to current
        FY billing
        Run a query from Authorizations.db paradox database to identify the registrations and
        authorizations subject to the fiscal year billing.

        E. Create Paradox table/entry form for sludge permits & registrations subject to current
        FY billing (Sludge_BY##.db)
        Create a table and data entry form for report tracking and billing for the fiscal year. The
        fields to be used for the invoice and customer extract file must meet the file structure
        standards found in the Revenues manual. Usually the previous years table and data entry
        form is copied and updated for the new fiscal year report and billing. The fields with old
        tracking data are queried to be blank.

        F. Input registration and permit billing data, and updated data from reports into Paradox
        billing FY table
        The results from the reports and queries run in A - C are used to update and add the
        permits and registration subject to the fiscal year billing. Data is input into the sludge
        billing records using the sludge annual summary reports that are sent to TCEQ by the
        permittees/registrants. Data entered includes the amount of sludge applied during the past
        year, the calculated fee based on the amount of applied sludge, the billing address,
        contact name and telephone number, and billing status.

        G. Update Paradox master customer tables for SDP, BLP, & WMB for changes & new
        customers
        A comparison query is run against the billing fiscal year table and each master customer
        table to identify address changes and new customers. The address changes are made
        and new customers added to the master customer table. New account numbers are
        assigned and entered in the master customer tables for each fee type. Account numbers
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        are assigned in sequential order and are unique to each fee type. Each authorization
        within a fee type that has the same customer and billing address will be assigned one
        account number. The records are updated in the master customer table adding a “C” for
        change and an AA” for adding a new record as required for the customer extract file
        loaded into Basis2.

        H. Create tables for customer extracts for each fee type
        Run a query against the master customer table for each fee type to create the customer
        extract tables of changes to existing customer accounts in Basis2 and new customers to
        be added to Basis2. Save the tables using the naming conventions required in Revenues
        Manual. The customer extract tables are saved in the sludge FY directory.

        I. Export tables to create customer extract files for SDP, BLP, & WMB fee types
        Export customer extract tables into an ascii file.

        J. Save customer extract files in sludge FY directory
        Save the customer ascii extract files in the sludge billing directory established for the fiscal
        year.

        K. Create tables for invoice extracts for each fee type
        Create the invoice table for each fee type meeting the file structure required in the
        Revenue Manual. Then run a query adding the records from the sludge billing table for
        the fiscal year for each fee type that have a reported value and fee amount. Save the
        table for each fee type following the naming conventions required in the Revenues
        Manual. The invoice tables are saved in the Sludge FY directory.

        L. Assign & enter invoice numbers for SDP, BLP, & WMB fee types
        Invoice numbers are unique to each fee type. The invoice numbers are assigned to each
        permit being billed under each fee type, in sequential order starting with the next available
        number. The next available number is determined by looking at the last invoice file
        loaded in Basis2 for each fee type. The invoice tables must first be sorted in order of
        account before assigning the invoice numbers so that multiple invoices for one account
        are sequential. The invoice numbers are manually entered into each paradox table.

        M. Export tables to create invoice extract files for SDP, BLP, & WMB fee types
        Export the invoice extract tables into ascii files.

        N. Save invoice files in sludge FY directory
        Save the invoice extract files in the sludge billing directory established for the fiscal year.

        O. Load customer and invoice files into PATU
        The customer and invoice ascii files created for each fee type are loaded one by one
        through the PATU application. The PATU application validates the file for Basis2 file
        requirements. If the loading fails, a message is given identifying the possible problem. For
        example, a field may contain too many character spaces resulting in data being read in the
        wrong field. This requires the paradox table structure to be adjusted and the file exported
        again. Once the problem is identified and fixed, the file is loaded into PATU.

        P. Prepare summary report for revenue
        A summary report is prepared for each fee type. The invoice summary includes the total
        dollar amount invoiced and the beginning and end range of the invoice numbers used.

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        The customer summary includes the total number of accounts with changes and total
        number of new accounts in the customer extract files.

        Q. Send summary report to Revenue & request files to be loaded into Basis2
        An email is sent to the Revenues IT coordinator that includes the summary report and a
        request to load each of the extract files loaded through PATU into Basis2.

        R. Update status and invoice date in Paradox (FY billing table)
        Run a query to update each record invoiced by changing the status to Complete and
        adding the invoice date.

        S. Run report showing billing address changes and send address change letters
        Run a report of the address changes that were entered in the FY Billing table. Compare
        with mailing addresses in TRACS or the authorizations.db. If billing table address is
        different from the official mailing address, send letters (along with address change form)
        inquiring as to whether the permanent mailing address has changed.




    5.3.2 Sludge Annual Fee Adjustment/Dispute
        The Land Applications Team receives letters from permittees or registrants disputing an
        invoice on their billing statement for fee types SDP, BLP, and WMB. The dispute may
        result in an adjustment to an invoice through a credit or debit.

        A. Receive billing dispute
        The Land Applications Team receives a written request disputing a dollar amount invoiced
        under their account.

        B. Complete review of request
        The Land Applications Team reviews the request by reviewing the sludge report submitted
        to determine if a numeric error was made by either the permittee/registrant on the report or
        in the invoice file sent to Basis2Basis2for invoicing. If an error was made on the annual
        report submitted by the permittee/registrant, a revised report must be provided.

        C. Will the request result in an adjustment?
        If an error was made on the annual report or in the invoice file, an adjustment will be
        initiated to correct the error, and the process continues with step D. If the amount invoiced
        is found to be accurate, proceed to K.

        D. Technical staff enter changes in Paradox Sludge FY## tables for SDP, BLP or WMB
        The Land Applications Team corrects the reported value of sludge land applied or
        disposed in the paradox table of Permits and Registrations subject to the fiscal year
        annual fee assessment (Sludge_FY##.db).

        E. Technical staff send request to Fee Coordinator
        The Land Applications Team sends a request via email to the WQ Fee Coordinator to
        prepare an adjustment. The email includes the amount of sludge originally reported and
        the corrected amount, and the correct assessment amount for the invoice indicating if a
        credit or debit is necessary.

        F. Fee Coordinator prepares adjustment form

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        The WQ Fee Coordinator prepares the adjustment form indicating the invoice being
        corrected, the original invoice amount and adjustment (credit or debit), with the permittee’s
        account, name and address, then signs the form and routes to the Land Applications
        Team, Team Leader for signature.

        G. Adjustment form is routed to Team Leader for signature
        The Land Applications Team, Team Leader reviews and signs the adjustment form and
        returns the form to the WQ Fee Coordinator.

        H. Fee Coordinator makes a copy of adjustment form for WQ records
        The WQ Fee coordinator retains a copy of the form for division and permit/registration file.

        I. Original adjustment form is sent to Revenue
        The WQ Fee Coordinator sends the signed form to the Revenue program fee coordinator
        for further processing.

        J. Revenue processes adjustment request
        Revenue program fee coordinator processes the adjustment request in accordance with
        the Revenue Manual. This is the end of the process for a request resulting in an
        adjustment.

        K. Call or send letter to permittee/registrant giving explanation of billing requirements
        If the dispute does not result in an adjustment, the permittee/registrant is notified either by
        phone or letter explaining that the amount invoiced is accurate and needs to be paid.

        L. Document conversation on memo to file or mail letter
        If the permittee/registrant is notified by phone, a memo to the file documenting the phone
        conversation is completed. If a letter was prepared, it will be mailed to the
        permittee/registrant. Most communications are handled by phone, fax or email.

        M. Send request & phone memo or letter to file in Central Records
        Send record of communication to the permit/registration file in TCEQ’s Central Records.




    5.3.3 Sludge Billing Address Change
        A permittee or registrant is required to notify the program when a billing address changes.
        The request needs to be submitted in writing referencing the permit or registration
        number(s) and account number. The Municipal Permits Team receives and reviews the
        request to confirm the change and notifies the WQ Fee Coordinator to update the account
        in the master customer table and Basis2Basis2.

        A. Receive request to change billing address
        The Municipal Permits Team receives requests to change a billing address.

        B. Request given to fee coordinator to complete review of request
        The request is given to the Fee Coordinator who reviews the request to ensure the change
        in billing address is submitted on behalf of the current permittee or registrant.

        C. Is the request for a billing address change from the permittee?
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        If the request is from the permittee, continue with step D. If the request is from an entity
        other than the current permittee or registrant, the Fee Coordinator Applications Team
        proceeds to K.

        D. Enter changes in Paradox Master Customer tables for SDP, BLP, or WMB
        The WQ Fee Coordinator updates the Master Customer table for the appropriate fee type
        and codes the account to reflect a change in the account record.

        E. Create tables for customer extracts for each fee type
        Run a query against the master customer table for each fee type to create the customer
        extract files of changes to existing customer accounts in Basis2. Save the tables using
        the naming conventions required in Revenues Manual. (Create a table only if a record
        change exists.)

        If the account is currently paid in full, then it is not necessary to run the customer extract
        file at this time. It can be run at either the next invoicing period or until an unpaid account
        requires an update. Only one customer extract file per fee type can be generated per day.

        F. Export tables to create customer extract file for SDP, BLP, & WMB fee types
        Export customer extract tables into an ascii file.

        G. Save customer extract files in Sludge FY directory
        Save the customer extract files in the sludge billing directory established for the fiscal
        year.

        H. Load customer and invoice files into PATU
        The customer ascii file(s) created for each fee type are loaded one by one through the
        PATU application. The PATU application validates the file for Basis2 file requirements. If
        the loading fails, a message is given identifying the possible problem. For example, a field
        may contain too many character spaces resulting in data being read in the wrong field.
        This requires the paradox table structure to be adjusted and the file exported again. Once
        the problem is identified and fixed, the file is loaded into PATU.

        I. Prepare summary report for revenue
        A summary report is prepared for each customer file being loaded into Basis2. The
        customer summary includes the total number of accounts with changes in the customer
        extract file(s).

        J. Send summary report to revenue & request files to be loaded into Basis2Basis2
        An email is sent to the Revenues IT coordinator that includes the summary report and a
        request to load the extract file(s) loaded through PATU into Basis2Basis2. This is the end
        of the process for a request from the permittee.

        K. Call or send letter to permittee/registrant giving requirements to make the change (e.g.
        transfer or endorsement)
        If the request to change the billing address is from an entity other than the current
        permittee or registrant, the Municipal Permits Team will either call or send a letter giving
        the requirements for making the requested change. In many cases, the request to change
        a billing address is found to be from another entity. This request would require a transfer
        form to be submitted and approved, which would result in a new account (unless the entity
        already exists holding another permit or registration under the same fee type).

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        L. Document conversation in memo to file or mail letter
        In most cases correspondence with the permittee or registrant is made by phone. If made
        by phone, the conversation is documented on the agency Phone memo to the File form. If
        made by letter, the letter is mailed.

        M. Send request & phone memo or letter to file in Central Records
        A copy of the letter or the original phone memo to file form with the original request is
        coded for filing with central records (coding includes the record series, permit number and
        file type - example AMWD-WQ0010495-001-PA@), and sent to Central Records for filing.




    5.3.4 Sludge Returned Billing Statements
        The Revenue Section prepares and mails billing statements using the billing address
        provided by WQ Fee Coordinator in the Customer Extract file, which is provided by the
        permittee on the sludge reporting form, if different than the address on the permit or
        registration. The statements returned by the U.S. Postal Service to the TCEQ as
        undeliverable are returned to the WQ Fee Coordinator to research the permit or
        registration for a good billing address.

        A. Receive returned statements
        The Municipal Permits Team receives the returned billing statements and gives the
        envelopes to the Fee Coordinator for further research.

        B. Fee coordinator researches permit files for contact information
        The Fee Coordinator verifies the billing address with the address provided on the sludge
        report form. If a correction needs to be made to the address, the WQ Fee Coordinator
        updates the customer record. If the last address of records was used, then the Fee
        Coordinator contacts the permittee to get an updated address.

        C. Call permittee
        The Fee Coordinator calls the permittee to get an updated address for receiving the billing
        statement.

        D. Successfully contacted customer?
        If able to contact permittee to obtain a good address, proceed to E. If not able to contact
        permittee due to disconnected phone numbers, proceed to G.

        E. Obtain good address from customer
        The Fee Coordinator requests that the customer fax, mail or email the current billing
        address for their permit or registration.

        F. Sludge Billing Address Change
        The WQ Fee Coordinator processes the Sludge Billing Address Change. This is the end
        of the process for the case where the customer was successfully contacted.

        G. Notify Revenue via email that the customer address is unknown
        The WQ Fee Coordinator sends an email to the Revenue program fee coordinator to
        update Basis2Basis2 to include a “Mail Hold” on the account preventing further
        assessment of late fees and penalties, and from mailing statements to the bad address.

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                                       239
        H. Revenue enters customer level dispute in Basis2
        The Revenue program coordinator enters the appropriate dispute code in the Revenue
        database Basis2Basis2.


        .




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                                     240
6   WQ Reports
    (Under construction)

7   Acronyms
     Acrony             Term
     m
     AO                 Administrative Order
     AR#                Accounts Receivable Number
     ASCII              American Standard Code for Information Interchange
     BIR                Billing Interface Record
     BLP                Beneficial Land Permit (fee code for Domestic waste water
                        permits with class B beneficial land use authorization)
     BLU                Class B Sludge Reporting
     CA                 Compliance Agreement
     CAFO               Concentrated Animal Feeding Operation
     CAFO               Concentrated Animal Feeding Operation General Permit
     GP
     CCEDS              Consolidated Compliance and Enforcement Data System
     CCI                Comprehensive Compliance Investigation
     CCO                Chief Clerk’s Office
     CFR                Code of Federal Regulations
     CH                 Compliance History
     CHDB               Compliance History Database
     CID                Commissioner's Integrated Database
     CIU                Categorical Industrial Users
     CM                 Compliance Monitoring
     CMC                Compliance Monitoring Coordinator
     CR                 Central Registry
     CWQ                Consolidated Water Quality
     DB                 data base
     DMR                Discharge Monitoring Report
    WQ Business Process Documentation                                               242
    Version 0.1
 Acrony             Term
 m
 DSS                Domestic Septage Sludge
 EAR                Enforcement Action Referral
 ED                 Executive Director
 EDSub              Executive Director Sub-delegation Process
 eDMR               electronic Discharge Monitoring Report
 EIC                Enforcement Initiation Criteria
 ENAC               Enforcement Action
 EPA                Environmental Protection Agency
 ERC                Executive Review Committee
 ESI                Engineering Software Institute
 Field              Field Operations
 Ops
 FLIM               Final Limit
 FOD                Field Operation Division
 FOIA               Freedom of Information Act
 FTP                File Transfer Protocol
 GC                 General Council
 IU                 Industrial User
 ID                 Identification
 IDA                Internal Data Application
 IP                 Individual Permit
 IR                 Information Resources
 IRD                Information Resources Division
 ITSC               Information Technology Steering Committee
 ITWG               Information Technology Work Group
 IWD                Industrial Waste Discharge
 IWS                Industrial Waste Survey
 JAD                Joint Application Development
WQ Business Process Documentation                               243
Version 0.1
 Acrony             Term
 m
 LBB                Legislative Budget Board
 lbs/day            pounds per day
 MAL                Minimum Analytical Level
 MER                Monthly Effluent Report
 MGD                Million Gallons per Day
 mg/l               milligrams per liter
 MLM                Multi-Media
 MOD                Modification
 MSGP               Multi-Sector General Permits
 MTO                Motion to Overturn
 MUN                Municipal
 MWD                Municipal Waste Discharge
 NOC                Notice of Change
 NOD                Notice of Deficiency
 NODI               No discharge
 NOE                Notice of Enforcement
 NOI                Notice of Intent
 NOR                Notice of Receipt
 NORI               Notice of Receipt and Intent
 NOT                Notice of Termination
 NOV                Notice of Violation
 NPDES              National Pollutant Discharge Elimination System
 OAS                Office of Administrative Services
 OCE                Office of Compliance Enforcement
 OPA                Office of Public Assistance
 OPIC               Office of Public Interest Counsel
 OPRR               Office of Permitting, Remediation and Registration


WQ Business Process Documentation                                        244
Version 0.1
 Acrony             Term
 m
 PAR                Permits Administrative Review
 PAT                Process Automation Team
 PC &               Production Control & Reporting Services
 RS
 PCS                Permit Compliance System
 PCW                Penalty Calculation Worksheet
 Pdox               Paradox
 PFD                Proposal for Decision
 PIC                Public Interest Council
 POTW               Publicly Owned Treatment Works
 PT                 Pre-treatment
 PW                 Permit Writer
 QA/QC              quality assurance/quality control
 QA                 quality assurance
 QNCR               Quarterly Non-Compliance Report
 RECAP              Reporting for Enforcement and Compliance Assurance
                    Priorities
 RFA                Request For Assistance
 RNC                Reportable Noncompliance
 RTC                Response to Comments
 RTP                Research Triangle Park
 RWA                Receiving Water Assessment


 SDL                Specification and Description Language

 SDP                Sludge Disposal Permit (fee code for Domestic waste water
                    permits with sludge disposal authorization)

 SIA                Staff Initiated Amendment

 SNC                Significant Noncompliance

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Version 0.1
 Acrony             Term
 m
 SOAH               State Office of Administrative Hearings

 SRF                Self-Reporting Form

 TAC                Texas Administrative Code

 TCEQ               Texas Commission on Environmental Quality

 TLAP               Texas Land Application Permit

 TPDES              Texas Pollutant Discharge Elimination System

 TR                 Technical Requirements

 TRACS              Texas Regulatory and Compliance System

 TSL                Texas State Library

 TSU                Texas State University

 TXG                TPDES General Permits

 VSL                Violation Summary Logs

 WEND               Water Enforcement National Database
 B

 WMB                Waste Management Beneficial (fee code sludge permits and
                    registration with class B land use authorization)

 WP                 WordPerfect

 WQ                 Water Quality

 WQCO               Water Quality Contractor Oversight

 WWC                Water/Waste Consolidation Application

 WWTP               Wastewater Treatment Plant




WQ Business Process Documentation                                              246
Version 0.1
8   Revision History




    Date           Version      Description of Changes                   Author(s)
                                Initial draft with all documentation
    11/12/2010     0.1          submitted by program area as 75%         Claudette Mueller
                                complete
                                Final version of sections 1 for
    12/31/2010     1.0          Individual Authorizations and 2 for      Janet Wyman
                                General Permits
                                Final versions of section 5 for Annual
    1/14/2011      1.0                                                   Janet Wyman
                                Fee Billing
                                Final versions of sections 3 and 4 for
    11/21/2011     1.0          Maintenance of IP & GP and               Janet Wyman
                                Pretreatement Activites.




    WQ Business Process Documentation                                                   247
    Version 0.1

								
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