APPENDIX: ENFORCEMENT RESPONSE PLAN
   (A)   Sampling, monitoring, and reporting.
Noncompliance
Circumstances
Range of Response
Personnel
Noncompliance
Circumstances
Range of Response
Personnel
 
Frequent or continued violation.
NOV; AO; adjudicatory hearing and/or penalty; civil action.
CO, M
 
Known environmental or POTW damage - SNC.
NOSN; AO; adjudicator hearing and penalty; sewer ban; civil and/or criminal investigation.
CO, M
Minor sampling, monitoring, or reporting deficiencies (computational or typographical errors)
Isolated or infrequent.
Phone call and/or NOV; request corrected form.
CO
 
Recurring deficiencies.
AO and/or penalty.
CO, M
Major or gross sampling, monitoring, or reporting deficiencies (missing information)
Isolated or infrequent.
NOV and/or AO; request corrected form.
CO
 
Continued - remains uncorrected 45 days or more - SNC.
AO; adjudicatory hearing; penalty.
CO, M
 
Failure to monitor all pollutants as required by permit.
NOV and/or AO.
CO
 
Recurring failure to monitor, recurring missing information.
NOV; AO and/or penalty; civil action; criminal investigation.
CO, M
 
Improper sampling, no evidence of intent.
NOV; AO.
CO
 
Improper sampling - evidence of negligence or intent.
AO; civil action; adjudicatory hearing; criminal investigation; terminate sewer.
M
Reporting false information
Reporting false information - any instance - SNC.
AO; adjudicatory hearing; civil action; penalty; criminal investigation; terminate sewer.
M
 
   (B)   Compliance schedules (construction phases or planning).
Noncompliance
Circumstances
Range of Response
Personnel
Noncompliance
Circumstances
Range of Response
Personnel
Missed interim date
Will not cause late final date or other interim dates (less than 90 days).
NOV
CO
 
Missed milestone by 90 days or less, negatively affects final date, good cause for delay.
NOV; AO; civil action/cost recovery.
CO, M
 
Missed milestone by 90 days or less, negatively affects final date, no good cause or delay.
NOV; AO; civil action/cost recovery; adjudicatory hearing; criminal investigation.
CO, M
 
Missed milestone by more than 90 days whether or not affects final date, good cause for delay - SNC.
NOSN; AO; civil penalty/cost recovery; judicial action.
CO, M
 
Missed milestone by more than 45 days, will result in other missed interim dates or missed final date (no good or valid cause - SNC).
NOSN; AO; adjudicatory hearing; penalty; civil action; terminate sewer.
CO, M
 
Recurring violation or violation of schedule in AO.
NOV; AO; civil penalty/cost recovery; judicial action; request criminal investigation; terminate sewer.
CO, M
Missed final date
Violation due to force majeure (strike, act of God, etc.).
Require documentation of good or valid cause; adjudicatory hearing.
CO, M
 
90 days or more outstanding - Failure or refusal to comply -Without good or valid cause - SNC.
AO; Adjudicatory hearing; penalty; civil action.
CO, M
Failure to install monitoring equipment
Delay of less than 45 days.
NOV; AO.
CO
 
Delay of 45 days or more - SNC.
AO to begin monitoring (using outside contracts, if necessary) and install equipment within minimal time. Civil action. Penalty for each additional day. Temporary sewer ban.
CO, M
 
Recurring failure to install monitoring equipment or violation of AO.
AO; adjudicatory hearing; civil action; criminal investigation; terminate sewer.
M
 
   (C)   Effluent limits.
Noncompliance
Circumstances
Range of Response
Personnel
Noncompliance
Circumstances
Range of Response
Personnel
Exceeding final limits or permit limits (categorical, local, or prohibited)
Infrequent or isolated - not significant; no damage to POTW and/or environment.
NOV.
CO
 
Infrequent or isolated major violations; no damage to POTW and/or environment.
NOV; AO.
CO
 
Infrequent or isolated major violations; damage to POTW and/or environment - SNC.
AO; civil action/cost recovery; adjudicatory hearing.
CO, M
 
Violations that are recurring and/or SNC (meet chronic definition); no damage to POTW and/or environment.
If violation has already been corrected - NOV; AO; civil penalty/cost recovery; adjudicatory hearing; criminal investigation.
CO
 
Recurring violations that are SNC; harm to POTW and/or environment.
AO with penalty; civil action/cost recovery; criminal investigation; terminate sewer.
CO, M
Exceeding interim limits (categorical or local)
Without known damages.
NOV and/or AO.
CO
 
Results in known environmental or POTW damage - SNC.
AO; adjudicatory hearing; civil action.
CO, M
Reported slug load/accidental discharge
Isolated without known damage.
AO to develop slug plan; civil penalty/cost recovery.
CO, M
 
Isolated with known interference, pass through, or damage - SNC.
AO; adjudicatory hearing; civil action/cost recovery.
CO, M
 
Recurring - SNC.
AO; civil action/cost recovery; adjudicatory hearing including penalty; terminate sewer.
CO, M
Discharge of untreated wastewater - spill, bypass, or improper operation of pretreatment facility
Isolated; no harm to POTW and/or environment.
NOV.
CO
 
Isolated with harm to POTW and/or environment - SNC.
AO; civil action/cost recovery; adjudicatory hearing; criminal investigation.
CO, M
 
Recurring; no harm to POTW and/or environment.
AO to correct problems; civil action/cost recovery; adjudicatory hearing; criminal investigation.
CO, M
 
Recurring; harm to POTW and/or environment - SNC.
AO to correct problems; civil action/cost recovery; adjudicatory hearing; criminal investigation; terminate sewer.
CO, M
Discharge without a permit or approval
One time without known environmental or POTW damage; user unaware of requirement.
NOV; include application for permit.
CO
 
Continuing violation without known environmental or POTW damage; user fails to apply for permit after notice - SNC.
AO; adjudicatory hearing including penalty; civil action/cost recovery; criminal investigation; terminate sewer.
CO, M
 
One time that results in environmental and/or POTW damage; user unaware of requirement - SNC.
AO to include application for discharge; adjudicatory hearing; civil action; cost recovery.
CO, M
 
Continuing violation with known environmental or POTW damage - SNC.
Adjudicatory hearing, civil action/cost recovery; criminal investigation; terminate sewer.
M
 
First offense - user aware of requirement.
AO to include application for discharge; adjudicatory hearing; civil action; cost recovery.
CO, M
 
Failure to submit required documentation for permitting or renewal.
AO; civil penalty/cost recovery; criminal investigation; terminate sewer.
CO, M
Nonpermitted discharge (failure to renew permit)
IU has not submitted questionnaire within 10 days of due date.
NOV - response required within 10 days.
CO
 
   (D)   Noncompliance detected through inspections, site visits, review of records, or field investigations.
Noncompliance
Circumstances
Range of Response
Personnel
Noncompliance
Circumstances
Range of Response
Personnel
Violation of analytical procedures
Minor noncompliance with approved analytical procedure, any instance - no evidence of intent.
Phone call; NOV and/or AO.
CO
 
Major nonccompliance with approved analytical procedure, no evidence of negligence or intent.
NOV; AO; civil action/cost recovery.
CO, M
 
Major noncompliance with approved analytical procedure, evidence of negligence or intent - SNC.
NOSN; AO; civil action/cost recovery; adjudicatory hearing; criminal investigation; terminate sewer.
CO, M
Violation of permit condition
No evidence of negligence or intent.
NOV - immediate correction required.
CO
 
Evidence of negligence or intent - SNC.
Adjudicatory hearing; criminal investigation; sewer ban.
CO, M
Improper sampling
Unintentional sampling at incorrect location.
NOV.
CO
 
Unintentional use of incorrect sample collection techniques.
NOV.
CO
 
Unintentional use of incorrect sample type.
NOV.
CO
Entry denial or consent withdrawn; copies of records denied; permission to photograph, videotape or electronically record image denied
Entry denied or consent withdrawn; copies of records denied; electronic recordings denied.
Obtain warrant and return to IU; NOV; AO; civil action/cost recovery; adjudicatory hearing; criminal investigation; terminate sewer.
CO, M
Illegal discharge
No harm to POTW and/or environment.
NOV; AO; civil action/cost recovery; penalty; criminal investigation.
CO, M
 
Discharge causes harm to POTW and/or environment and/or evidence of intent/negligence - SNC.
NOSN; AO; civil action/cost recovery; adjudicatory hearing; criminal investigation; terminate sewer.
CO, M
 
Recurring violation.
NOV; AO; civil action/cost recovery; adjudicatory hearing; criminal investigation; terminate sewer.
CO, M
 
   (E)   Other permit violations.
Noncompliance
Circumstances
Range of Response
Personnel
Noncompliance
Circumstances
Range of Response
Personnel
Wastestreams are diluted in lieu of treatment
Initial violation.
NOV; AO; civil action and/or penalty.
CO, M
 
Recurring violation.
AO; adjudicatory hearing; civil action/cost recovery; criminal investigation; terminate sewer.
CO, M
Failure to properly operate and maintain pretreatment facility
Does not result in harm, no damage to POTW and/or environment.
NOV - response required within 10 days; AO; civil action/cost recovery.
CO, M
 
Does result in harm, damage to POTW and/or environment - SNC.
AO and/or penalty; civil action; adjudicatory hearing; terminate sewer.
CO, M
Inadequate record-keeping
Inspection finds files incomplete or missing (no evidence of intent).
NOV and repeat inspection; AO.
CO
 
Recurring.
NOV; AO; civil action/cost recovery; penalty.
CO, M
Violation of any permit condition
Minor, no evidence of negligence or intent.
NOV.
CO
 
Minor, evidence of negligence or intent.
NOV; AO; civil action/cost recovery.
CO, M
 
Major violation of any permit condition, no evidence of negligence or intent.
NOV; AO; civil action/cost recovery.
CO, M
 
Major violation of any permit condition, evidence of negligence or intent - SNC.
NOSN; AO; civil action/cost recovery; adjudicatory hearing; criminal investigation; terminate sewer service.
CO, M
Failure to mitigate noncompliance or curtail production
No damage to POTW and/or environment.
NOV; AO; civil action/cost recovery.
CO, M
 
Damage to POTW and/or environment - SNC.
NOSN; AO; civil action/ cost recovery; adjudicatory hearing; criminal investigation; terminate sewer service.
CO, M
Failure to report additional monitoring
Inspection finds additional files or data.
NOV; response required within 10 days.
CO
 
Recurring.
AO; civil action/cost recovery; penalty.
CO, M