§ 51.133 RESPONSES TO NONCOMPLIANCE.

   (A)   In order to ensure that the city is taking timely and effective enforcement actions, two tools will be employed - an enforcement response guide in subsection (C) and an enforcement flowchart. The purpose of the enforcement response guide (ERG) is to identify initial responses and time frames for each of the types of violations discussed in § 51.132. Once the enforcement action is taken, the flow chart is used to identify the more punitive action which would be taken if the SIU failed to return to compliance as a result of the previous or initial action.

   (B)   As an example of how the ERG and flowchart can be used to determine appropriate enforcement responses, consider an SIU which submits a self-monitoring report which shows a violation. The ERG tells the Pretreatment Coordinator to issue a notice of noncompliance within 14 days. The notice will require the SIU to collect additional data to confirm compliance or noncompliance. The next step is to determine if the SIU is in reportable noncompliance (RNC) at the end of the six month reporting period. As indicated by the flow chart, if the data does not show RNC, no action is required. If the data does show RNC, a notice of violation (NOV) is issued. The ERG tells the Pretreatment Coordinator that, in response to RNC with permit limits, an NOV assessing a fine of $100 should be sent within 30 days of receiving all of the data. The NOV requires the SIU to respond by indicating the cause and time needed to correct the violation. If the time needed to correct the violation was greater than 90 days, a consent order would be drafted. Hopefully the SIU would comply with the consent order and the violation would be resolved. However, if the SIU failed to meet the compliance date of the consent order, the flow chart indicates that a notice to comply should be issued and the ERG gives the Pretreatment Coordinator information on time frames, penalties, and responses which should be included in the notice to comply. By using the flowchart and ERG, a worst case scenario can be followed in a similar manner through the issuance and violation of an administrative order, through a show cause meeting and, eventually, to termination of service.

   (C)   Action chart. Chart begins on the following page.

Enforcement Response Plan Action Chart
Type of Violation	POTW Action	Timeframe	Responsible Official	Expected Action from User	Escalated Action if Needed
Unpermitted Discharges
Unpermitted discharge; unaware of requirement	Notice of violation	Within 14 days of discovery of discharge	Pretreatment Coordinator	File Permit Application	Suspend service until permit is issued
Unpermitted discharge; aware of requirement	Notice of violation with penalty assessed	Within 30 days of discovery of discharge	Director	File permit application	Suspend service until permit is issued
Unpermitted discharge results in NRDES violation	Order to cease process causing violation; Notice of violation with recommended minimum of $1,000 and up to $25,000 per day per violation penalty	Order to cease immediately; Notice of violation within 7 days	Director	File permit application; Steps taken to avoid violation	Suspend service until permit is issued
Unpermitted discharge results in endangerment	Suspend service; Notice of violation with recommended minimum of $1,000 and up to $25,000 per day per violation penalty	Suspend service immediately; Notice of violation within 7 days	Director	File permit application; Steps taken to avoid future endangerment	Permit Limits Violations
Permit limits violation; Single event; Minor	Notice of non-compliance or notice of violation with $0 to $25,000 penalty	Within 14 days of receiving data (once in each 6-month period)	Pretreatment Coordinator	Conduct additional monitoring and return to compliance	Notice of violation with penalty
Permit limits violation; Technical review criteria (TRC)	Notice of violation with $0 to $25,000 penalty	Within 14 days of receiving data (once in each 6-month period)	Pretreatment Coordinator	Conduct additional monitoring and return to compliance	Second notice of violation with increased penalty
Permit limits violation; significant non-compliance	Notice of violation with $0 to $25,000 penalty	Within 30 days of receiving all the data	Pretreatment Coordinator	Report cause non-compliance and steps taken to prevent violation	Suspend service until resolved; Enforceable schedule (AO) if not resolved by the end of 2nd 6-month period
Permit limits violation causes NPDES violation	Order to cease process causing violation; Notice of violation with recommended minimum $1,000 and up to $25,000 per day per violation penalty	Order to cease immediately; Notice of violation within 7 days of discovering violation (once in each 6-month period)	Director	Report cause of non-compliance and steps taken to prevent violation	Suspend service until resolved; Enforceable schedule (AO) if not resolved by the end of 2nd 6-month period
Permit limits; violation causes endangerment	Suspend service; notice of violation with a recommended minimum of $1,000 and up to $25,000 per day per violation penalty	Suspend service immediately; Notice of violation within 7 days	Director	File for reissuance of permit	Other Violations
Self-monitoring violations	Notice of violation with recommended minimum penalty equal or greater than cost of missing testing	Within 14 days of discovering (once in each 6-month period)	Pretreatment Coordinator	Conduct missed sampling	Second notice of violation with penalty equal to twice the cost of missed testing
Reporting violation; late report	Notice of non-compliance	Within 14 days of the report due date (once in each 6-month period)	Pretreatment Coordinator	Submit report	Notice of violation; penalty assessed possible SNC if over 30 days
Reporting violations; Incomplete or inaccurate reports	Notice of non-compliance	Within 30 days of report submission (once in each 6-month period)	Pretreatment Coordinator	Submit revised report	Notice of violation; Penalty assessed
Reporting violations; Intentional falsification	Referred to district attorney	As, soon as suspected	Director
Violation of permit conditions	Notice of violation with penalty up to $25,000 per day per violation	Within 30 days of discovery (once in each 6-month period)	Pretreatment Coordinator or Director	Varies	Second notice of violation with increased penalty
Violation of permit conditions (endangerment)	Suspend service; notice of violation with up to $25,000 per day per violation penalty	Suspend service immediately; Notice of violation within 7 days	Director	Steps taken to avoid reoccurrence	Violations of enforcement order; Conditions or limitsNotice of violation assess stipulated penalty and actions listed for same violation type in ERPWithin time frame listed in enforcement order or for the same type of violation in ERPPretreatment Coordinator or DirectorAdditional monitoring and steps taken to avoid recurrenceSame as escalated action for same type of violation possible revocation of order
Failure to meet a milestone date in enforcement order (does not affect other dates)	Notice of violation and assess penalty stipulated in order	Within 14 days of discovery	Pretreatment Coordinator	Submit a schedule to complete the requirement	Show cause hearing
Failure to meet a milestone date in an enforcement order (affects other dates)	Show cause hearing and assess stipulated penalties	Within 30 days of discovery	Director	Negotiate new order and abide by new conditions	Possible termination of service
Failure to meet final compliance date	Notice of violation and assess stipulated penalties	Within 14 days of discovery	Director	Document compliance	Possible termination of service

 

(Ord. 1994-79, passed 11-21-94; Ord. 2007-45, passed 6-4-07; Agenda Memorandum, passed 7-18-11)