Section 5.12 - Modification, Suspension, Revocation, Renewal, and Transfer of Permits(1) As provided in M.G.L. c. 21, § 43(10), the Department may modify, suspend or revoke any outstanding individual permit, or coverage under a general permit, in whole or in part, for cause including, but not limited to, violation of any permit term, obtaining a permit by misrepresentation, or failure to disclose fully all relevant facts or any changes in or discovery of conditions that call for the reduction or discontinuance of the authorized discharge or activity. The modification, suspension, revocation, or renewal other than an administrative renewal, of an individual permit or coverage under a general permit shall be processed in accordance with 314 CMR 2.10: Modification, Suspension, Revocation and Renewal of Permits and General Permit Coverage. In processing a renewal other than an administrative renewal, the Department may revise or withdraw a draft permit renewal, either on its own or in response to comments, prior to the effective date of the permit renewal as determined in accordance with 314 CMR 2.08: Issuance and Effective Date of Permit, General Permit Coverage, or Other Determination and Requests for Adjudicatory Hearings. In a case where the Department withdraws a draft permit renewal, the existing permit will remain in effect in accordance with 314 CMR 5.08.(2) The Department may modify or terminate an individual permit or coverage under a general permit at the request of the permittee upon a showing satisfactory to the Department that the requested modification or termination is appropriate in view of circumstances for which the permittee is not at fault.(a) Except as otherwise provided in 314 CMR 5.12(3), the modification or termination of an individual permit or coverage under a general permit shall be processed in accordance with the provisions of 314 CMR 2.10: Modification, Suspension, Revocation and Renewal of Permits and General Permit Coverage.(b) An individual permit or coverage under a general permit may be transferred by the permittee to a new permittee only if the individual permit or coverage under the general permit has been modified or revoked and reissued in accordance with 314 CMR 2.10: Modification, Suspension, Revocation and Renewal of Permits and General Permit Coverage, or a minor modification is made in accordance with 314 CMR 5.12(3) and (4), or an automatic transfer takes place in accordance with 314 CMR 5.12(5).(c) Any permit which authorizes the operation of a RCRA facility subject to the requirements of 314 CMR 8.07: Standards for all other RCRA Facilities shall be valid only for the person to whom it is issued and may not be transferred. Operation of a RCRA facility by an owner or operator who is not named in the permit shall be a violation of 314 CMR 5.00 and a basis for revocation of the permit, or other enforcement action.(3)Minor Modifications of Individual Permits. Upon the request or consent of the permittee, the Department may modify an individual permit to make the following minor modifications without following the procedures of 314 CMR 2.00: Permit Procedures: (a) correction of typographical errors;(b) requirements for more frequent monitoring or reporting by the permittee;(c) requirements for the monitoring of additional parameter(s);(d) requirements for the replacement of damaged monitoring well(s) at a nearby location or for the installation of additional monitoring wells;(e) deletion of an outfall when the discharge from that outfall is terminated and does not result in the discharge of pollutants from other outfalls, except in accordance with permit limits; or(f) changes to an interim compliance date in a schedule of compliance, provided the new date is not more than 120 days after the date specified in the existing permit and does not interfere with attainment of the final compliance date requirement.(4)Transfer of Individual Permits or Coverage Under a General Permit. Upon the request or consent of the permittee, the Department may transfer an individual permit or coverage under a general permit to a new permittee without following the procedures set forth in 314 CMR 2.00: Permit Procedures if the following conditions are satisfied:(a) The Department receives written notice of the transfer at least 30 days in advance of the proposed transfer date from the current permittee;(b) The notice includes a written agreement between the existing and new permittee, which includes a specific date for transfer of the permit and the proposed new transferee's assumption of responsibility for compliance with all the terms and conditions of the permit. The notice shall include sufficient documentation to demonstrate that the proposed new transferee meets all the requirements of 314 CMR 5.15, and the written agreement shall provide for the allocation of liability and financial responsibility for all required financial assurance mechanisms; and(c) The Department approves the transfer in writing. The transfer shall take effect on the date the transfer is approved by the Department. If the proposed new transferee will operate a PWTF that treats at least some sewage from residential uses, hospitals, nursing or personal care facilities, residential care facilities, or assisted living facilities or that has been required to establish financial assurance mechanism(s) pursuant to 314 CMR 5.15(6), the Department shall not approve the transfer unless the notice submitted pursuant to 314 CMR 5.12(4)(a) contains sufficient information to demonstrate to the satisfaction of the Department that:
1. the proposed new transferee is in compliance with the financial assurance mechanism requirements of 314 CMR 5.15(4) and (5); and2. all required funds have been placed in the immediate repair and replacement account.(5)Automatic Transfers. As an alternative to transfers under 314 CMR 5.12(4), a permit may be automatically transferred to a new permittee, and become effective on the proposed transfer date if: (a) The facility authorized by the permit is not a PWTF that treats at least some sewage from residential uses, hospitals, nursing or personal care facilities, residential care facilities, or assisted living facilities, or that has been required to establish financial assurance mechanism(s) pursuant to 314 CMR 5.15(6);(b) The facility is not an RCRA facility subject to the requirements of 314 CMR 8.07: Standards for all other RCRA Facilities;(c) The facility is not a reclaimed water system;(d) The current permittee notifies the Department in writing of the proposed transfer at least 30 days in advance of the proposed transfer date;(e) The notice includes a written agreement between the existing and new permittees containing a specific date for transfer of permit responsibility, coverage, and liability between them; and(f) The Department does not notify the existing permittee and proposed new permittee prior to the proposed transfer date that it requires additional information or intends to modify or revoke and reissue the permit.(6)Time to Apply for Renewal of an Individual Permit. Any person with a currently effective individual permit shall submit an application to renew the permit in accordance with 314 CMR 5.12 at least 180 days before the expiration of the existing permit, unless permission for a later date has been granted by the Department in writing.(7)Additional Requirements for Renewal of Individual Permits for POTWs or PWTFs that Discharge Effluent Resulting from the Treatment of Sewage. Unless otherwise determined by the Department, a permittee responsible for the operation of a POTW or a PWTF that discharges an effluent resulting from the treatment of sewage only shall, when applying for renewal of an individual permit for a facility that has been in operation for more than 14 but less than 19 years, submit to the Department for its review and approval an engineering report prepared by a Massachusetts Registered Professional Engineer with a concentration in civil, sanitary or environmental engineering. The engineering report shall outline in sufficient detail what facility modifications or other changes, if any, are needed to ensure that the facility is capable of complying with the permit through the next five-year permit term and beyond. Along with the engineering report, the permittee shall submit a financial plan containing cost estimates for implementing the proposed facility modifications and other changes identified in the engineering report, and demonstrate how the permittee will finance the needed facility modifications or other changes on or before the date 20 years from the date that the facility commenced operation. The permittee shall implement the modifications and other changes identified in the engineering report as approved by the Department in accordance with a schedule approved by the Department.(8) The Department may require submission of the engineering report and financial plan described in 314 CMR 5.12(7) when a permittee operating a POTW or a PWTF that discharges an effluent resulting from the treatment of sewage only, that has been in operation for more than 19 years, applies for renewal of an individual permit, if the permittee did not submit said report and plan with its last application for permit renewal, or if the Department determines that submission of said report and financial plan is necessary to ensure that the facility remains capable of operating in compliance with 314 CMR 5.00 or the permit, or in a manner that adequately protects the public health, welfare, safety, or the environment.(9)Administrative Renewal of Permits. The Department may administratively renew an individual permit for an additional five years provided that all the following conditions are met: (a) The permittee submits a timely application for administrative renewal in accordance with 314 CMR 5.12(6);(b) The permittee does not seek to modify the treatment works or any best management practices authorized by the existing permit, and the Department has not determined that any modifications are necessary;(c) The permittee has operated and is operating all treatment works and best management practices authorized by the permit in accordance with the approved Operation and Maintenance Plan, the permit, 314 CMR 5.00, and 12.00: Operation and Maintenance and Pretreatment Standards for Wastewater Treatment Works and Indirect Dischargers, and has submitted documentation evidencing implementation of the Operation and Maintenance Plan, the permit, 314 CMR 5.00, and 314 CMR 12.00;(d) A Massachusetts Registered Professional Engineer with a concentration in civil, sanitary or environmental engineering has inspected the treatment works and any best management practices required by the permit and, based on that inspection, has certified to the Department in writing that there are no deficiencies in the treatment works or best management practices that prevent or would prevent the discharge from meeting all the terms and conditions of the permit, including but not limited to, the effluent limitations set forth in 314 CMR 5.00;(e) The Department has determined that more stringent effluent limitations or requirements in addition to those set forth in the existing permit are not necessary to protect the ground water as an actual or potential source of potable water, to prevent the discharge from causing or contributing to a violation of 314 CMR 4.00: Massachusetts Surface Water Quality Standards, or to bring the permittee into compliance with the permit, 314 CMR 5.00, and 12.00: Operation and Maintenance and Pretreatment Standards for Wastewater Treatment Works and Indirect Dischargers;(f) If the facility is a PWTF that treats sewage from residential uses, hospitals, nursing or personal care facilities, residential care facilities or assisted living facilities, or the permittee is required to establish financial assurance mechanism(s) pursuant to 314 CMR 5.15(6), the permittee is in compliance with all applicable financial assurance mechanism requirements in accordance with 314 CMR 5.10(8)(l) and 5.15;(g) The facility is not a PWTF that treats industrial wastewater;(h) The permittee is not required to submit an engineering report in accordance with 314 CMR 5.12(7) or (8); and(i) The application is signed by a person identified in 314 CMR 5.14 and includes the certification set forth in 314 CMR 5.14. (9A) The requirements for public notice and comment at 314 CMR 2.06: Public Notice and Comment do not apply to administrative renewals.(10)Applications for Renewals of Individual Permits That Are Not Eligible for Administrative Renewal. As provided in 314 CMR 5.12(9), a permittee that has filed an application for administrative renewal of an individual permit and has received notice that the permittee has not met the conditions for administrative renewal shall, on or before the deadline established by the Department in the notice, submit a complete application for renewal in accordance with 314 CMR 5.12(11) and (12), unless otherwise directed by the Department in said notice.(11) If the permittee seeks to modify the treatment works, a complete application for permit renewal shall include the following: (a) a report by a Massachusetts Registered Professional Engineer with a concentration in sanitary, civil or environmental engineering describing the proposed modification; and (b) a certification by the Engineer that the treatment works with the proposed modification is designed to operate in compliance with all the terms and conditions of 314 CMR 5.00 and the permit including without limitation the effluent limitations set forth in 314 CMR 5.00.(12) If the permittee is not eligible for administrative renewal of the existing permit because of deficiencies in the design, construction, operation, or maintenance of the treatment works that may prevent the discharge from complying with all the terms and conditions of 314 CMR 5.00 and the permit, the application for permit renewal shall include a corrective action plan and schedule. The corrective action plan and schedule shall detail all changes needed to address, correct or prevent any violations during the next five years, and include an implementation schedule. Changes set forth in the corrective action plan may include without limitation modifications to the treatment works authorized in the permit or changes to the approved Operation and Maintenance Plan.Amended by Mass Register Issue 1327, eff. 12/2/2016.Amended by Mass Register Issue 1330, eff. 12/2/2016.