Factors to be considered in selecting the alternative enforcement options for each type of non- compliance will be based on:
- Good faith of user
- Compliance history of user
- Previous success of enforcement actions taken against the IU (e.g., NOVs have not previously been a success in returning IU to compliance)
- Violation's effect on the receiving waters
- Violation's effect on the POTW
DESCRIPTION OF TERMS IN ENFORCEMENT RESPONSE GUIDE
AO - Administrative order
Civil Litigation - Civil litigation against the IU seeking equitable relief, monetary penalties and actual damages
Criminal Litigation - Pursuing punitive measures against an individual and/or organization through a court of law
Fine - Monetary penalty assessed by control authority officials. Fines should be assessed by POTW Superintendent and/or City Manager
I - Inspector
IU - Industrial User
POTW - Publicly owned treatment works
Meeting - Informal compliance meeting with the IU to resolve recurring non-compliance
NOV - Notice of violation
PC - Pretreatment Coordinator
S - Superintendent of Wastewater Facility
SV - Significant Violation
Non-Compliance | Nature of Violation | Enforcement Response | Personnel |
Non-Compliance | Nature of Violation | Enforcement Response | Personnel |
UNAUTHORIZED DISCHARGES (NO PERMIT) | |||
1. Unpermitted discharge | IU unaware of requirement; no harm to POTW/ environment | Phone call; NOV with application form | S/CM |
IU unaware of requirement; harm to POTW | AO with fine | CM | |
civil action | CM | ||
Failure to apply continues after notice by POTW | civil action | CM | |
criminal invest | CM | ||
terminate service | CM | ||
2. Non-permitted discharge (failure to renew) | IU has not submitted application within 10 days of due date | phone call; NOV | S/CM |
DISCHARGE LIMIT VIOLATION | |||
1. Exceedance of local or federal standard (permit limit) | Isolated, not significant | phone call; NOV | S/CM |
Isolated, significant (No Harm) | AO to develop spill prevention plan and fine | CM | |
Isolated, harm to POTW or environment | show cause order | CM | |
civil action | CM | ||
Recurring, no harm to POTW/ environment | AO with fine | CM | |
Recurring; significant (harm) | AO with fine | CM | |
show cause order | CM | ||
civil action | CM | ||
terminate service | CM | ||
MONITORING AND REPORTING VIOLATIONS | |||
1. Reporting violation | Report is improperly signed or certified | Phone call or NOV | S/CM |
Report is improperly signed or certified after notice by POTW | AO | CM | |
Show cause hearing | CM | ||
Isolated, not significant (e.g., 10 days late) | Phone call; NOV | S/CM | |
Significant (e.g., report 30 days or more late) | AO to submit with fine per additional day | CM | |
Reports are always late or no reports at all | AO with fine | CM | |
show cause order | CM | ||
civil action | CM | ||
Failure to report spill or changed discharge (no harm) | NOV | S/CM | |
Failure to report spill or changed discharge (results in harm) | AO with fine | CM | |
Civil action | CM | ||
Repeated failure to report spills | show cause order | CM | |
terminate service | CM | ||
Falsification | criminal invest. | CM | |
terminate serv. | CM | ||
2. Failure to monitor correctly | Failure to monitor all pollutants as required by permit | NOV or AO | S/CM |
Recurring failure to monitor | AO with fine | CM | |
civil action | CM | ||
3. Improper sampling | Evidence of intent | criminal invest. | CM |
terminate serv. | CM | ||
4. Failure to install monitoring equipment | Delay of less than 30 days | NOV | S/CM |
Delay of 30 days or more | AO to install with fine for each additional day | CM | |
Recurring, violation of AO | civil action | CM | |
criminal invest. | CM | ||
terminate serv. | CM | ||
5. Compliance schedules (in permit) | Missed milestone by less than 30 days or will not affect final milestone | NOV or AO w/fine | S/CM |
Missed milestone by more than 30 days, or will affect final milestone (good cause for delay) | AO with fine | CM | |
Missed milestone by more than 30 days or will affect final milestone (no good cause for delay) | show cause order | CM | |
civil action | CM | ||
terminate serv. | CM | ||
Recurring violation or violation of schedule in AO | civil action | CM | |
criminal invest. | CM | ||
terminate serv. | CM | ||
VIOLATIONS DETECTED DURING SITE VISITS | |||
1. Entry denial | Entry denied or consent withdrawn, copies of records denied | Obtain warrant and return to IU | I/CM |
2. Illegal discharge | No harm to POTW or environment | AO with fine | CM |
Discharges causes harm or evidence of intent/negligence | civil action | CM | |
criminal invest. | CM | ||
Recurring, violation of AO | Terminate service | CM | |
3. Improper sampling | Unintentional sampling at incorrect location | NOV | I/CM |
Unintentionally using incorrect sample type | NOV | I/CM | |
Unintentionally using incorrect sample collection techniques | NOV | I/CM | |
4. Inadequate record keeping | Inspector finds files incomplete to missing (no evidence of intent) | NOV | I/CM |
Recurring | AO with fine | CM | |
5. Failure to report additional monitoring | Inspection finds additional files | NOV | I/CM |
Recurring | AO with fine | CM | |
OTHER PERMIT VIOLATIONS | |||
1. Waste stream are diluted in lieu of treatment | Initial violation | AO with fine | CM |
Recurring | show cause order | CM | |
terminate serv. | CM | ||
2. Failure to mitigate non- compliance or halt production | Does not result in harm | NOV | S/CM |
Does result in harm | AO with fine | CM | |
civil action | CM | ||
3. Failure to properly operate and maintain pretreatment fac. | Does not result in harm | NOV | S/CM |
Does result in harm | AO with fine | CM | |
civil action | CM | ||