(A) Special notes for the Enforcement Response Guide (ERG).
(1) Unless otherwise noted, FIRST TIME means the first violation incident in a five- year period and SECOND TIME means the second violation incident in the same five-year period from the date of the initial violation.
(2) For users in the fats, oils and grease program, FIRST TIME refers to commercial compliance period while SECOND TIME refers to at least ten business days following initial discovery of the deficiency. Each subsequent violation during the same commercial compliance period would be elevated to the next tier. The incident “time clock” would begin again during the next commercial compliance period.
(3) Violations marked with three asterisks (***) are severe violations. Due to the severity of these violations, first time and second time, and subsequent violations, refer to the life of the operations. The incident “time clock” does not reset or begin again during the next reporting period for these violations.
(4) Certain violations list two different tiers to address the possibility of any significant noncompliance (SNC) issues.
(5) Any violation falling under more than one category in the Enforcement Response Guide may be addressed using the highest tier.
(6) Three or more Tier 2 or lower violations within the same reporting period may result in elevated enforcement action at the discretion of the city. These violations do not have to be violations of the same section of the chapter.
(7) Violations committed by users subject to 40 C.F.R. part 441 may be reviewed on a case by case basis. Any subsequent enforcement response will be at the discretion of the city. Matters taken into consideration may include, but are not limited to, interference with the operation of the POTW and the reclamation of municipal sludge, pass-through and harm to POTW personnel or the general public. Formal enforcement remedies available to the city can be found in Chapter 52.
(B) Industrial discharges or other uses and/or discharges deemed comparable are as follows.
Violation/Noncompliance | First Time | Second Time |
Any deficiency of sampling, monitoring or reporting procedure which places IU in Significant Non-Compliance (SNC) | Tier 3 | Tier 4 |
Any discharge which directly or indirectly contributes to interference, inhibition, pass through and/or to a city violation of its NPDES permit*** | Tier 7 | Tier 7 |
Any other issue categorized as an acute problem by the city or has the potential to damage/adversely impact the POTW | Tier 6 | Tier 7 |
Any other issue categorized as a chronic problem by the city or the potential to damage/adversely impact the POTW | Tier 5 | Tier 6 |
Any other violation categorized as critical sampling, monitoring or reporting deficiencies | Tier 3 | Tier 4 |
Any other violation categorized as major sampling, monitoring or reporting deficiencies by the city | Tier 2 | Tier 3 |
Any other violations categorized as minor sampling, monitoring or reporting deficiencies | Tier 1 | Tier 3 |
Any other violation of city permits or damage/adverse impact to the POTW or severe matter as determined by the city | Tier 7 | Tier 7 |
Chronically late reports or correspondence. Sixty-six percent or more of required reports and/or correspondence submitted late | Tier 3 | Tier 4 |
Complete failure to sample, monitor or report as per requirements found in the facility’s permit | Tier 5 | Tier 6 |
Discharge of any pollutant(s) from a location, process or categorical operation that has not been previously approved, identified or permitted | Tier 5 | Tier 6 |
Discharge which causes harm to the collection system, its accessories and/or wastewater treatment plan or which causes unpermitted POTW discharge*** | Tier 7 | Tier 7 |
Discharge which deteriorates the air or water quality associated with the POTW and pursuant to Chapter 52*** | Tier 6 | Tier 7 |
Discharge which deteriorates the city sludge quality*** | Tier 7 | Tier 7 |
Discharge which interferes with or adversely impacts the biological operations of the POTW*** | Tier 6 | Tier 7 |
Entry denial*** | Tier 5 | Tier 6 |
Failure to comply with Best Management Practice (BMP) or Spill Control Plan permit requirements with damage or adverse impact to the POTW*** | Tier 7 | Tier 7 |
Failure to comply with Best Management Practice (BMP) or Spill Control Plan requirements with no damage or adverse impact to the POTW | Tier 3 | Tier 4 |
Failure to maintain pretreatment operations and maintenance records (unless there is a specific permit condition) | Tier 2 | Tier 3 |
Failure to report any operational changes which may affect the POTW discharge | Tier 2 | Tier 3 |
Failure to report slug load discharge or spill with damage or adverse impact to the POTW | Tier 6 | Tier 7 |
Failure to report slug load or spill with no damage or adverse impact to the POTW | Tier 4 | Tier 5 |
Failure to respond to notice of deficiency | Tier 2 | Tier 3 |
Failure to respond to a show cause or administrative order | Tier 4 | Tier 5 |
Falsification of sampling, monitoring or reporting requirements, including tampering with monitoring equipment*** | Tier 7 | Tier 7 |
Illegal or unauthorized discharge that may result in damage or adverse impact to the POTW without intent | Tier 5 | Tier 6 |
Illegal or unauthorized discharge or slug that results or may result in damage or adverse impact to the POTW, evidence of intent or neglect*** | Tier 7 | Tier 7 |
Illegal or unauthorized discharge or slug that results in damage or adverse impact to the POTW without intent*** | Tier 6 | Tier 7 |
Improper sampling procedure | Tier 1 | Tier 3 |
Incomplete report/chain of custody, improper sampling or analytical procedure | Tier 1 | Tier 3 |
Reports/correspondence submitted up to ten days late | Tier 1 | Tier 2 |
Reports/correspondence submitted 11 to 45 days late | Tier 2 | Tier 3 |
Reports greater than 45 days late | Tier 3 | Tier 4 |
Sampling location not accessible to city personnel | Tier 1 | Tier 3 |
Slug load discharge or spill with damage or adverse impact to the POTW | Tier 6 | Tier 7 |
Slug load discharge or spills with no damage or adverse impact to the POTW | Tier 3 | Tier 4 |
Transcription error | Tier 1 | Tier 1 |
Use of emulsifying agents to reduce accumulation of materials in the POTW user’s equipment or grease traps | Tier 2 | Tier 3 |
Thirty-three percent or greater total violations of a given parameter for TRC (technical review criteria) violations by a Significant Industrial User | Tier 3 | Tier 4 |
Sixty-six percent or greater total violations of a given parameter for daily max or monthly average limits by a Significant Industrial User | Tier 3 | Tier 4 |
(C) Fats, oils and grease (FOG) or other uses and/or discharges deemed comparable are as follows.
Violation/Noncompliance | First Time | Second Time |
Contributing to interference of the POTW with damage or adverse impact with evidence of intent or neglect*** | Tier 7 | Tier 7 |
Contributing to interference of POTW with damage or adverse impact with no evidence of intent or neglect | Tier 5 | Tier 6 |
Discharging grease into the POTW via a malfunctioning grease trap/interceptor or oil/water separator with damage or adverse impact to the POTW | Tier 6 | Tier 7 |
Discharging grease into the POTW via a malfunctioning grease trap/interceptor or oil/water separator with no damage or adverse impact to the POTW | Tier 5 | Tier 6 |
Entry denial for Environmental Program Inspector or other regulatory personnel*** | Tier 5 | Tier 6 |
Excessive solids or grease accumulation inside grease trap/interceptor | Tier 1 | Tier 3 |
Failure to follow FOG policies | Tier 1 | Tier 3 |
Failure to follow grease handling operational procedures | Tier 1 | Tier 3 |
Failure to install an approved grease trap/interceptor | Tier 3 | Tier 4 |
Failure to maintain grease trap/interceptor at a frequency that ensures efficient operation | Tier 3 | Tier 4 |
Failure to prevent the introduction of stormwater into the POTW | Tier 2 | Tier 3 |
Failure to provide a recycling container for segregating oils, grease and/or greasy solids or demonstrating an environmentally friendly alternative method of segregation | Tier 1 | Tier 3 |
Falsification of reports, including, but not limited to: permit application, maintenance, pumping or cleaning reports*** | Tier 7 | Tier 7 |
Grease trap/interceptor maintenance records not available or accessible on site | Tier 1 | Tier 3 |
Inspection, monitoring and/or sampling delay | Tier 2 | Tier 3 |
(D) Enforcement responses are as follows.
(1) Phone calls or other communications may be used immediately upon the recognition of a violation in an attempt to expedite correction of the violation at the lowest level possible. These actions may be documented in the user’s file.
(2) Notices of deficiency (NODs) may be used for minor or infrequent violations that can be resolved in short order.
(3) Conferences may be used where NODs, phone calls or other communication do not result in a return to compliance. Generally, they will be held at the System Protection office with a user representative and Pretreatment ORC personnel present.
(4) Agreements and orders.
(a) Compliance agreements (CAs) are typically used as a toll in responding to continued significant noncompliance. The terms and conditions of CAs may be negotiated, depending upon the circumstances involved; and
(b) Compliance orders (COs) are typically used in place of or in addition to CAs, depending on the nature and severity of the violations involved. The terms and conditions of COs may not be negotiated.
(5) Civil penalties are to be used as a punitive deterrent to continued noncompliance and/or failure to meet established milestones.
(6) Show cause orders may be issued to initiate notions leading to formal hearings in cases of continued significant noncompliance or where the Pretreatment ORC determines that emergency enforcement actions are necessary.
(7) Civil action may be used in cases of continued significant noncompliance or where the Pretreatment ORC determines that emergency actions are necessary.
(8) Criminal action may be used where there is evidence of criminal intent, or in extreme recurring cases.
(9) Service suspension or termination may be used in recurring or emergency cases where there may be damage or adverse impact to the city, the POTW or the environment.
(10) The responses listed are non-exclusive. Other responses may be taken based on the nature and severity of the violations. Responses not listed here will be determined based on the same factors used to determine civil penalty amounts.
(11) Multiple violations or any combination of violations or deficiencies may lead to elevated enforcement actions.
(E) Timeframes shall be as follows.
(1) Violations will be identified and documented within 30 days of receiving information.
(2) Initial enforcement responses will occur within 15 days of violation identification.
(3) Violations meeting the criteria for significant noncompliance may be addressed with an enforceable order within 45 days of the identification of significant noncompliance.
(4) Violations which present imminent or substantial endangerment to the health or welfare of any person or the environment, cause interference or cause the city to violate any condition of its NPDES or non-discharge or any other state and/or federally issued permits may result in the issuance of a “cease and desist” order. This order will be issued immediately upon discovery of the violation.
(Ord. passed 2-14-2022) Penalty, see § 55.99