1. GENERAL.
The purpose of the City’s Enforcement Response Plan is to provide guidance for Treatment Plant staff in all phases of enforcement related to the City’s Industrial Pretreatment Program. General guidance has been provided by the City’s Sewer Use Code No. 5677, but specific application of that general guidance to the range of possible enforcement actions is needed.
Elements of this plan are based on the experience of both treatment plant personnel and other municipalities in controlling industrial wastewaters. USEPA guidance manuals and model enforcement plans of other cities were used in the development of this plan.
2. INDUSTRIAL PRETREATMENT PROGRAM.
Ordinance 5677 implements the Pretreatment Program as required by the City’s NPDES wastewater discharge permit as mandated by the Clean Water Act and the General Pretreatment Regulations. It provides regulations for discharge prohibitions, categorical discharge standards and specific pollutant limitations in Division II. It provides for permits for significant industrial users and reporting requirements in Division VI, Enforcement and Penalties in Division X. The enforcement philosophy is progressive; that is, problems are addressed at the lowest level and with the least formality possible consistent with the specific problem. No enforcement procedure is contingent upon the completion of any less formal procedure. For particularly severe violations, a Show Cause Hearing may be scheduled immediately without the need for Notice of Violation, Review Meeting and other Orders.
Division VI of Ordinance 5677 requires that all significant industrial users obtain a wastewater discharge permit as a condition of discharge. Permits are issued for a period of not more than five (5) years, and require installation and operation of sampling and monitoring facilities, establish compliance schedules and require submission of periodic reports and notices as needed. The wastewater discharge permit represents the City’s first means of controlling the wastewater discharge by significant industrial users since, if permit requirements are met by the permittee, no further enforcement activity should be required.
The permit also represents an enforcement device for the City’s use against significant industrial users violations, since the City, after a Show Cause Hearing, may direct a revocation of a user’s permit which effectively bars discharge of industrial process wastewater to the POTW. Chapter 38 does not provide detailed guidance on the characterization of violations, determination of significant noncompliance, “the triggering events” that require an analysis of enforcement remedies available or the process of determining users who are in significant noncompliance for the purposes of the annual newspaper notice. These areas are covered in the following sections.
3. RESPONSIBILITIES.
The Industrial Pretreatment Program is administered by the Director of the Treatment Plant under the general supervision of the Master Sewer Committee, the Mayor and the City Council. The Director may delegate certain tasks to subordinates, particularly the Pretreatment Coordinator and the Pretreatment Technician. The Director shall maintain complete, accurate records of activities conducted as part of the Pretreatment Program. Specific responsibilities are set forth in succeeding sections of this document.
4. COLLECTION AND EVALUATION OF INFORMATION.
For each industrial user, the Director shall determine what data are required or needed to determine compliance with applicable pretreatment standards as well as when and how it can be obtained. The Director shall specify reporting requirements for each industrial user in its permit as required by USEPA and shall then track the submission of reports. If information submitted is deficient or late, the industrial user shall be notified and required to complete the submission as detailed in the appropriate enforcement response.
The Director shall notify significant industrial users of applicable pretreatment standards and any RCRA requirements as described in 40 CFR, Part 403.8(f)(2)(iii). By reporting the results of sampling and analysis to industrial users, the Director will provide feedback to users on compliance status and inform industrial users of their compliance with the City’s enforcement requirements and the City’s general responses to instances of noncompliance.
5. SAMPLING AND INSPECTION OF INDUSTRIAL USERS.
The Director shall prepare and continually update an inspection plan for field investigations including sample collection, facility inspections and flow monitoring. Field investigations shall be used to verify compliance status, to monitor industrial user self-monitoring activities, to collect samples, to initiate emergency or remedial action and to gather additional information. City personnel may conduct routine compliance monitoring or special monitoring in response to violations, technical problems or support for permit modifications.
6. COMPLIANCE SCREENING.
Using all available information, the Director shall conduct an initial compliance review or screening process to determine and assess compliance with schedules, reporting requirements and applicable pretreatment standards. Such screening shall be undertaken at least monthly. Reviews completed under this Section are designed to identify apparent violations rather than to determine an appropriate enforcement response to such apparent violations.
During the screening process, the reviewer shall verify that any required reports are submitted on schedule, that they cover and proper time period, include all information required in the particular report and are properly signed. As part of this process, the reviewer will compare the information supplied with
the requirements in the industrial user’s permit. Any discrepancy shall be considered to be a violation. To the extent possible, the industrial user will be required to correct such discrepancies immediately upon their discovery.
7. ENFORCEMENT EVALUATION.
Violations and discrepancies identified during the compliance screening process will be reviewed by the Director to evaluate the type of enforcement response required. The enforcement response guide attached to the plan will be used for the determination.
8. SIGNIFICANT NONCOMPLIANCE (SNC).
After completion of the compliance screening, violations will be characterized and a determination made as to whether the user is in Significant Noncompliance (SNC) as defined in 40 CFR 403.8(f)(2)(viii). Certain instances of noncompliance are not of sufficient impact to justify extensive enforcement actions. However, certain violations or patterns of violations are significant and must be identified as such. Such SNC may be on an individual or long-term basis of occurrence. Categorization of industrial users as being in SNC allows the City to establish priorities for enforcement action and provides a means for reporting on the significant industrial user performance summary. Instances of SNC are industrial user violations which meet one or more of the following criteria:
a. Chronic violations of wastewater discharge limits, defined here as those in which sixty-six percent (66%) or more of all of the measurements for same pollutant parameter taken during a six (6) month period exceed (by any magnitude) a numeric pretreatment standard or requirement including instantaneous limits for the same pollutant parameter;
b. Technical Review Criteria (TRC) violations, defined here as those in which thirty-three percent (33%) or more of all of the measurements for each pollutant parameter taken during a six (6) month period or exceed the product of a numeric pretreatment standard or requirement including instantaneous limits multiplied by the applicable TRC (TRC = 1.4 for BOD, TSS, Fats, Oil & Grease and 1.2 for all other pollutants except pH);
c. Any other violation of a pretreatment standard or requirement that the Director determines has caused, alone or in combination with other discharges, interference or pass through (including endangering the health of POTW personnel or the general public).
d. Any discharge of a pollutant that has caused imminent endangerment to human health, welfare or to the environment or has resulted in the Director’s exercise of its emergency authority under Chapter 38.
e. Failure to meet, within ninety (90) days after the schedule date, a compliance schedule milestone contained in the Industrial User’s Industrial Wastewater Discharge Permit or in a Compliance Order for starting construction, completing construction, or attaining final compliance;
f. Failure to provide, within thirty (30) days after the due date, required reports such as baseline monitoring reports, ninety (90) day compliance reports, periodic self-monitoring reports, and reports on compliance with compliance schedules.
g. Failure to accurately report noncompliance;
h. Any other violation or group of violations which may include a violation of best management practices the Director determines will adversely affect the operation or implementation of the Industrial Pretreatment Program.
When an industrial user is in SNC, the City shall (1) report such information to the IEPA and the USEPA Region V as part of the Pretreatment Annual Report; (2) list the industrial user in a newspaper of general circulation that provides meaningful public notice within the jurisdiction; and (3) address the SNC through appropriate enforcement action.
9. ANNUAL PUBLICATION OF INDUSTRIAL USERS IN SIGNIFICANT NONCOMPLIANCE.
General Pretreatment Regulations require the City to publish, at least annually, in the largest daily newspaper within the area served by the City’s POTW, a list of industrial users which were in SNC during the previous twelve (12) months. The procedures for compiling the list of such industrial users is as follows:
A. The Director shall prepare a compliance history from City records for each individual significant industrial user.
B. The compliance history so obtained for each industrial user shall be reviewed to determine if a pattern of non-compliance exists or if the industry has been or continues to be in SNC. To the extent that an industry meets these Criteria, it will be placed on the list for publication.
10. INFORMAL AND FORMAL MEANS OF ENFORCEMENT.
I. Informal Actions.
A. Information Notice; personal contact, telephone call or letter - PC, S, T
B. Compliance Meeting - PC, S
II. Formal Actions.
A. Administrative Action.
1. Field Inspection Citation - T, PC, S
2. Notice of Violation - S
3. Administrative Orders.
i. Order to appear.
a. Review Meeting - S
b. Show Cause Hearing - S, C & A
ii. Consent Order - S, C
iii. Compliance Order - S, C
iv. Cease and Desist Order - S, C
B. Emergency Situation.
1. Harmful Discharge.
i. Danger to Persons - S & A
ii. Danger to Environment or Interference with POTW operations - S & C
C. Revocation of Permit - C
D. Legal Actions.
1. Judicial Remedies - A
2. Injunctive Relief - A
III. Monetary Penalties and Costs.
A. Administrative Fines - S
B. Civil Penalties - C, A
C. Costs of Damages - S, A
IV. Criminal Prosecution.
A. Violations, willful or negligent - A
B. Falsifying Information - A
Identification of Personnel:
T - Pretreatment Technician C - Master Sewer Committee
PC - Pretreatment Coordinator A - City Attorney
S - Director
11. DESCRIPTION OF ENFORCEMENT ACTIVITIES.
The categories of enforcement activities are described in the succeeding paragraphs.
I. Information Actions.*
A. Informal Notice. Informal notice consists of personal contact, telephone calls or reminder letters to an appropriate official of an industrial user. The City may use such a call or letter to notify an industrial user of a minor violation and to seek an explanation, suggest compliance remedies or notify the violator that subsequent violations may be dealt with more severely. Such information notice may be used to correct minor inadvertent noncompliance.
B. Compliance Meeting. Information Compliance Meeting with the industrial user to resolve recurring noncompliance. The City may request a compliance meeting for the purpose of conference, conciliation and persuasion.
*Information notice is not a prerequisite for a compliance meeting and no informal procedure is a prerequisite for instituting formal enforcement procedures.
II. Formal Actions.
A. Administrative Action.
1. Field Inspection Citation. Warning Notice of Violation for minor violations of permit conditions detected through inspections or field investigations.
2. Notice of Violation. Written notice to the industrial user that the City has observed a violation of pretreatment standards or requirements and requires the industrial user to submit, within ten (10) days of receiving the notice, an explanation of the violation and a
plan for the satisfactory correction and prevent of the violation, including specific required actions.
3. Administrative Orders. Administrative Orders may be issued by the Director. The Master Sewer Committee may, as a result of a Show Cause Hearing, direct the Director to issue such Administrative Orders as it deems appropriate.
i. Order to Appear.
a. Review Meeting. Mandatory compliance meeting with industrial user in cases where continued violations occur or where violations in themselves are either of significant magnitude or duration.
b. Show Cause Hearing. The Director may order any industrial user who causes or allows an unauthorized discharge or violates the City’s pretreatment program to show cause before the Master Sewer Committee why the City should not revoke the industrial user’s wastewater discharge permit or take such other enforcement action as is dictated by the facts of the case.
ii. Consent Order. The Director may enter into Consent Orders establishing an agreement with the industrial user responsible for the noncompliance within a time period also specified by the order. Consent Orders have the same force and effect as Compliance Orders.
iii. Compliance Order. When the Director finds that a user has violated or continues to violate the ordinance or a permit or order issued thereunder, he may issue an order to the industrial user responsible for the discharge directing that, following a specified time period, sewer service shall be discontinued unless adequate treatment facilities, devices, or other related appurtenances have been installed and are properly operated. Orders may also contain such other requirements as might be reasonably necessary and appropriate to address the noncompliance, including the installation of pretreatment technology, additional self-monitoring, and management practices.
iv. Cease and Desist Order. The Director may issue an order to cease and desist all violations and direct the industrial user to comply forthwith or take such appropriate remedial or preventive action as may be needed to properly address a continuing or threatened violation, including halting operations and terminating the discharge.
B. Emergency Suspension.
1. Harmful Discharge.
i. Danger to Persons. The Director shall halt or prevent any discharge of pollutants to the POTW that reasonably appears to present an imminent endangerment to the health or welfare of persons. When the Director determines that such an emergency situation exists, he shall issue a verbal order (followed immediately by a written order) to the user stating the problem and requiring immediate cessation of the discharge. The Director shall obtain the concurrence of the City Attorney before initiating any actions.
ii. Danger to the Environment or Interference with POTW operations. The Director shall halt or prevent any discharge to the POTW that presents or may present an endangerment to the environment or that threatens to interfere with operation of the POTW. The Director shall issue a written notice to the discharger stating the nature of the problem and requesting a response. If satisfactory agreement between the
Director and the discharger is not reached within seven (7) days, the Director shall issue to the Master Sewer Committee a notice describing the problem and an order that the discharge be halted. The committee shall make the final determination on implementing the order.
C. Revocation of Permit. The Master Sewer Committee may direct the Director to revoke an industrial user’s wastewater discharge permit in accordance with remedies provided in Chapter 38.
D. Legal Actions.
1. Judicial Remedies. The City Attorney may commence action for appropriate legal and/or equitable relief in the Circuit Court of the County, against any person that discharges sewage, industrial wastes, or other wastes into the City’s wastewater disposal system contrary to the provisions or the Sewer Use Ordinance, Federal or State Pretreatment Requirements, or any order of the City.
2. Injunctive Relief. Whenever an industrial user has violated or continues to violate the provisions of any Code, Ordinance, Federal or State Pretreatment Requirements, or any order of the City, the City Attorney may petition the Circuit Court of the County for the issuance of a preliminary or permanent injunction or both (as may be appropriate) which restrains or compels the activities on the part of the industrial user.
III. Monetary Penalties and Costs.
A. Administrative Fines. The Director may impose fines in amounts not to exceed Five Hundred Dollars ($500.00) per violation.
B. Civil Penalties. The City may fine in an amount not less than One Thousand Dollars ($1,000.00) nor more than Five Thousand Dollars ($5,000.00) for each offense, any industrial user who is found to have violated an order of the Director or Master Sewer Committee or who willfully or negligently failed to comply with any provision of the Sewer Use Ordinance, and the orders, rules, regulations and permits issued under the Ordinance. Each day on which a violation occurs or continues is a separate and distinct offense.
C. Costs of Damages. The City shall recover the costs of damages to any of the City’s wastewater facilities from any person or user causing such damages.
IV. Criminal Prosecution. The Director may request a criminal investigation of any person suspected of willful or negligent violations, or suspected of knowingly falsifying information.
A. Violation - Generally. Any person convicted of willful or negligent violations shall be punished by a fine of not less than One Thousand Dollars ($1,000.00) per violation per day or imprisonment for not more than six (6) months or both. A second conviction shall be punishable by a fine of not less than One Thousand Dollars ($1,000.00) per violation per day or imprisonment for not more than two (2) years or both.
B. Falsifying Information. Any person convicted of knowingly making any false statements, representation, or certification in any application, record, report, plant, or other document filed or required to be maintained pursuant to Ordinance, or Wastewater Discharge Permit, or who falsifies, tampers with, or knowingly renders inaccurate any monitoring device or method required shall be punished by a fine of not less than One Thousand Dollars ($1,000.00) per
violation per day or imprisonment for not more than six (6) months or both. A second conviction shall be punishable by a fine of not less than two (2) years or both.
12. INDUSTRIAL USER INVENTORY
The Pretreatment Coordinator will bi-annually review and update the Industrial User Inventory list. Records from Building Permits, Sewer Tap On, New Construction Plan Review and general observation of the collection system.
13. Compliance Monitoring
The Industries will be monitored quarterly (2 self monitored and 2 initiated by the Control Authority.) Also the industries are required to submit bi-annual Self Monitoring Status Reports. The reports include Pounds per day of discharge, Equivalent Concentration, type of sample, type of discharge and total flows. These reports are to be signed and notarized by a Notary Public with the State of Illinois.
Compliance reports will be reviewed by the Pretreatment Coordinator within 5 days of receipt. If a violation is noted the IU will receive a notice of violation within 7 days of the violation being detected. Please refer to Section 16 below for descriptions of types of noncompliance. Upon NOV the IU will be required to immediately re-sample (using agreed upon testing facility) and submit results to the control authority. The IU will also be required to submit within 2 weeks of NOV a response letter to the control authority outlining the cause of violation, remedy of violation and measures taken to eliminate future violations. After receipt of letter within 2 weeks the control authority will conduct an onsite inspection to confirm all necessary remedies have been put in place. The control authority may require more frequent and random sampling. The control authority may also require more frequent self monitoring reports (i.e. monthly) to confirm the IU is in compliance.
14. Confidential Information
Information and data on an industrial user obtained from reports, surveys, wastewater discharge permit applications, wastewater discharge permits and monitoring programs, and from city inspection and sampling activities, shall be available to the public without restriction, unless the industrial user specifically requests, and is able to demonstrate to the satisfaction of the city, that the release of such information would divulge information, processes or methods of production entitled to protection as trade secrets under applicable state law. When requested and demonstrated by the industrial user furnishing a report that such information should be held confidential, the portions of a report which might disclose trade secrets or secret processes shall not be made available for inspection by the public, but shall be made available immediately upon request to governmental agencies for uses related to the NPDES program or pretreatment program, and in enforcement proceedings involving the person furnishing the report. Wastewater constituents and characteristics and other "effluent data" as defined by 40 C.F.R. § 2.302 will not be recognized as confidential information and will be available to the public without restriction.
(1960 Code, § 38-14-68) (Ord. 5677, passed 12-16-1996)
15. Criteria for Proper Enforcement
When determining proper enforcement measures the Control Authority will consider the magnitude of the violation, duration of the violation, effect of the violation on the receiving water, effect of the violation on the POTW, compliance history of the industrial user and good faith of the industrial user.
16. Types of Noncompliance and Enforcement
Unauthorized discharge (no permit)
Noncompliance | Nature of violation | Enforcement Response |
Noncompliance | Nature of violation | Enforcement Response |
1. Unpermitted discharge | IU unaware of requirement: no harm | Phone call |
IU unaware of requirement, harm to POTW | AO with fine Civil Action | |
Failure to comply continues after notice by the POTW | Civil Action Criminal Investigation Terminate Service | |
2. Nonpermitted discharge (failure to renew) | IU has not submitted application within 10 days of due date | Phone call |
Discharge Limit Violation | ||
1. Exceedance of local or Federal Standard (Permit Limit) | Isolated, not significant | Phone call |
Isolated, significant (no harm) | AO to develop spill prevention plan and fine | |
Isolated, harm to POTW or environment | show cause order civil action | |
Recurring, no harm | AO with fine | |
Recurring significant harm | AO with fine Show cause order Civil Action Terminate service | |
Monitoring and Reporting Violations | ||
1. Reporting Violation | Report improperly signed or certified | Phone call |
Report is improperly signed or certified after notice by POTW | AO Show cause order | |
Isolated, not significant (5 days late) | Phone call | |
Significant (30 days or more late) | AO to submit with fine per additional day | |
Reports are always late or no reports at all | AO with fine Show cause order Civil action | |
Failure to report spill or changed discharge (no harm) | NOV | |
Failure to report spill or changed discharge (results in harm) | AO with fine Civil Action | |
Repeated failure to report spills | Show cause order Terminate service | |
Falsification | Criminal investigation Terminate service | |
2. Failure to monitor correctly | Failure to monitor pollutants as required by permit | NOV |
Recurring failure to monitor | AO with fine Civil action | |
3. Improper sampling | Evidence of intent | Criminal Investigation Terminate service |
4. Failure to install monitoring equipment | Delay of less than 30 days | NOV |
Delay of 30 days or more | AO to install with fine for each additional day | |
Recurring violation of AO | Civil action Criminal investigation Terminate service | |
5. Compliance schedules (in permit) | Missed milestone by less than 30 days, or will not affect final milestone | NOV |
Missed milestone by more than 30 days or will affect milestone (good cause for delay) | AO with fine | |
Missed milestone by more than 30 days or will affect milestone (no good cause for delay) | Show cause order Civil Action Terminate service | |
Recurring violation or violation of scheduled AO | Civil Action Criminal Investigation Terminate service | |
Other Permit Violations | ||
1. Wastestreams are diluted in lieu of treatment | Initial violation | AO with fine |
Recurring | Show cause order Terminate service | |
2. Failure to mitigate noncompliance or halt production | Does not result in harm | NOV |
Does result in harm | AO with fine Civil action | |
3. Failure to properly operate and maintain pretreatment facility | See No. 2 above | |
Violations Detected During Site Visit | ||
1. Entry denial | Entry denied or consent withdrawn | Obtain warrant and return to IU |
Copies of records denied | ||
2. Illegal discharge | No harm to POTW or environment | AO with fine |
Discharge causes harm or evidence of intent/negligence | Civil action Criminal investigation | |
Recurring violation of AO | Terminate service | |
3. Improper sampling | Unintentional sampling at incorrect location | NOV |
Unintentionally using incorrect sample type | NOV | |
Unintentionally using incorrect sample collection techniques | NOV | |
4. Inadequate record keeping | Inspector finds files incomplete to missing (no evidence of intent) | NOV |
Recurring | AO with fine | |
5. Failure to report additional monitoring | Inspection finds additional files | NOV |
Recurring | AO with fine | |
Timeframes for Reponses
A. All violations will be identified and documented within five days of receiving compliance information
B. Initial enforcement response involving contact with the industrial user and requesting information and corrective or preventative action(s) will occur within 15 days of violation detection.
C. Follow up actions for continuing or reoccurring violations will be taken within 60 days of the initial enforcement response. For all continuing violations, the response will include a compliance schedule.
D. Violations which threaten health, property or environment quality are considered emergencies and will receive immediate responses such as halting the discharge or terminating service.
E. All violations meeting the criteria for significant noncompliance will be addressed with and enforceable order within 30 days of the identification of significant noncompliance.
(Ord. 8173-2018, passed 2-21-2018)