(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 | |