(a) The name "Division of Pollution Prevention and Monitoring" is abbreviated as "DPPM." The name "Bureau of Environmental Planning and Analysis" is abbreviated as "BEPA". The term "Not Applicable" is abbreviated as "N/A." The term "Notice of Violation" is abbreviated as "NOV."
(b) Citations preceded by "A.C." are to the NYC Administrative Code.
(c) For purposes of this Penalty Schedule, the term "serious" in the charge for A.C. Title 24, Ch. 5 / 15 RCNY Ch. 19, for "any serious Admin. Code Rule violation" means "any violation resulting in injury to human, animal, or aquatic life, harm to public health or the environment, or damage to the publicly owned treatment works or its collection system."
(d) A second, third and/or subsequent violation shall be based on the following criteria: (1) an offense by the same respondent; (2) the prior NOV(s) is for the same subsection and paragraph of the same regulation as the current NOV; (3) the offense does not have to involve the same premises, equipment and/or vehicle; (4) the prior NOV(s) was concluded by a finding of violation or an admission or a default and has a date of offense within 1 year of the date of offense of the current NOV; and (5) if NOV(s) with different dates of offense are adjudicated at the same hearing, each NOV shall serve as a prior violation for all subsequently issued NOV's.
(e) The default penalty for all charges in this Penalty Schedule is $10,000.
(f) Mitigation, if applicable, shall be determined as per notes 1 through 9 below, and as indicated in the mitigation penalty column ("MIT. PENALTY") of this Penalty Schedule, and also as per "Compliance Incentives Policy Mitigation" set out below.
1 | Mitigation | DPPM has received the results of sampling conducted by the respondent subsequent to the date of offense which are in compliance with applicable limits and deemed acceptable by DPPM. Such results must be received by DPPM within 30 calendar days from the date of service of the NOV. The burden of proving compliance shall be upon the respondent. | |
2 | Mitigation failure to comply | DPPM has received proof deemed acceptable by DPPM that the Commissioner of Environmental Protection's order or permit has been fully complied with, within 30 calendar days from the due date for compliance with said order, or report due date. | |
3 | Mitigation | DPPM (or BEPA if the spill/discharge was to green infrastructure) has received proof deemed acceptable by DPPM or BEPA that the spill/discharge was accidental, that the respondent has properly reported the spill/discharge to DPPM or BEPA, has taken adequate measures to minimize the extent of the spill/discharge, and has properly cleaned the spill/discharge. | |
4 | Mitigation failure to comply | DPPM has received proof deemed acceptable by DPPM that the Commissioner of Environmental Protection's order or permit has been fully complied with, within 30 calendar days from the due date for compliance with said order, or report due date. Alternatively, a prior NOV exists for the same commissioner of environmental protection's order or permit reporting requirement (i.e. same report was due) and has a date of offense within 1 year of the date of offense of the current NOV and DPPM has received proof deemed acceptable by DPPM that the commissioner of environmental protection's order or permit has been fully complied with within 30 calendar days from the date of service of the current NOV. | |
5 | Mitigation | DPPM has received proof deemed acceptable by DPPM that the violation has been corrected within 30 calendar days from the date of service of the NOV. | |
6 | Mitigation discharge burdensome to plant | DPPM has received proof deemed acceptable by DPPM that the respondent has immediately ceased the unauthorized discharge, performed a proper cleanup, if applicable, and taken adequate measures to prevent future unauthorized discharges. | |
7 |
A.C. §
24-509(c) | Mitigation failure to connect to public sewer | Respondent has DEP house connection permit by first scheduled hearing date and connects within three weeks of the first scheduled hearing date. |
8 |
A.C. §
24-509(c) | Mitigation failure to connect to public sewer | Respondent files plumbing repair application with department of buildings by first scheduled hearing date and completes connection within five weeks of the first scheduled hearing date. |
9 |
A.C. §
24-509(c) | Mitigation failure to connect to public sewer | Respondent fails to initiate the connection process by first scheduled hearing date but completes connection within seven weeks of the first scheduled hearing date. |
Compliance Incentives Policy Mitigation
If recommended by DPPM, penalties may be assessed under the terms of the New York City Department of Environmental Protection's Policy on Incentives for Businesses to Comply with Regulations Governing Discharges to Public Sewers, also known as the Compliance Incentives Policy (CIP). A copy of the CIP can be obtained from the New York City Department of Environmental Protection Bureau of Wastewater Treatment, Division of Pollution Prevention and Monitoring. The actual text of the CIP shall be determinative of the requirements for mitigation under the CIP. See below for a brief summary of the CIP. See also the CIP penalty reduction table, below.
Summary of CIP
(See actual CIP for further details)
(See actual CIP for further details)
Qualifying violations will be:
1) violations discovered through a voluntary on-site compliance assistance program, as per the terms of the CIP;
2) violations discovered through an environmental self-audit, as per the terms of the CIP;
3) violations discovered through special testing, sampling, or monitoring performed by a business for the purpose of evaluating or upgrading its equipment or processes, as per the terms of the CIP. The disclosure of the violation must occur within the time frames required by the CIP, and before the violation was otherwise discovered by, or reported to DPPM, and cannot be a result of legally mandated monitoring or sampling requirement prescribed by statute, regulation, permit, judicial or administrative order, or consent agreement. As described in the CIP, businesses must correct the violations within the shortest practicable period of time, not to exceed 90 days following detection of the violation, unless an additional 90 day period is approved by DPPM, only if necessary to allow the business to correct the violation by implementing pollution prevention measures. See actual CIP for all requirements, and for further details. Additional requirements include, but are not limited to:
a) the business immediately corrects threats to the public's health, safety or the environment; and
b) the business has not intentionally, knowingly, recklessly, or with criminal or gross negligence caused harm to public health, safety or the environment; and
c) the violation does not involve criminal conduct; and
d) the violation does not cause the publicly-owned treatment works facility, which treats the related NYC sewer discharge where the violation occurred, to exceed its effluent limitations; and
e) the business has not received any NOVs, for the same subsection and paragraph of the same regulation as the current NOV, with a date of offense within two years prior to the date of offense of the current NOV, or alternatively, at DPPM's discretion, the business either funds an environmentally beneficial project that contributes to the betterment of the NYC wastewater collection and treatment system (or other related or non-related Department of Environmental Protection concerns), or attends a mandatory user-paid environmental education program.
CIP Penalty Reduction Table
If Respondent also qualifies for a non-CIP mitigated penalty, the CIP percentage penalty reduction shall be applied to the mitigated penalty amount.
Determining Factors For Reduction in Penalty | Percent Reduction In Penalty |
Determining Factors For Reduction in Penalty | Percent Reduction In Penalty |
All CIP requirements satisfied, and violation corrected within 90 days following detection of the violation, and no prior NOV for the same subsection and paragraph as current NOV within 2 years, and violation caused no harm to public health, safety or the environment. | 100% |
All CIP requirements satisfied, and violation corrected within 180 days (with
DPPM
approval) instead of 90 days following detection of the violation, and no prior NOV for the same subsection and paragraph as current NOV within 2 years, and violation caused no harm to public health, safety or the environment.
| 90% |
All CIP requirements satisfied, and violation corrected within 90 days following detection of the violation, and NOV exists for same subsection and paragraph within 2 years, but environmentally beneficial project funded or environmental education program attended, and violation caused no harm to public health, safety or the environment. | 80% |
All CIP requirements satisfied, and violation corrected within 180 days (with
DPPM
approval), instead of 90 days following detection of the violation, and NOV for the same subsection and paragraph within 2 years but environmentally beneficial project funded or environmental education program attended, and violation caused no harm to public health, safety or the environment.
| 70% |
All CIP requirements satisfied, and violation corrected within 90 days following detection of the violation, and no prior NOV for the same subsection and paragraph as current NOV within 2 years, and violation caused harm to public health, safety or the environment, but not intentionally, knowingly, recklessly, or with criminal or gross negligence. | 60% |
All CIP requirements satisfied, and violation corrected within 180 days (with
DPPM
approval) instead of 90 days following detection of the violation, and no prior NOV for the same subsection and paragraph as current NOV within 2 years, and violation caused harm to public health, safety or the environment, but not intentionally, knowingly, recklessly, or with criminal or gross negligence.
| 50% |
All CIP requirements satisfied, and violation corrected within 90 days following detection of the violation, and NOV exists for same subsection and paragraph within 2 years, but environmentally beneficial project funded or environmental education program attended, and violation caused harm to public health, safety, or the environment, but not intentionally, knowingly, recklessly, or with criminal or gross negligence. | 40% |
All CIP requirements satisfied, and violation corrected within 180 days (with DPPM approval) instead of 90 days following detection of the violation, and NOV exists for same subsection and paragraph within 2 years, but environmentally beneficial project funded or environmental education program attended, and violation caused harm to public health, safety or the environment, but not intentionally, knowingly, recklessly, or with criminal or gross negligence.
| 30% |
(Added City Record 4/1/2019, eff. 6/1/2019; amended City Record 12/10/2020, eff. 1/9/2021)
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