This document represents the Enforcement Response Plan (ERP) of the village of Romeoville for enforcement of the terms and conditions of the village's Pretreatment Ordinance in conformance with the requirements found in 40 CFR 403.8(f)(5).
As required as part of the federally mandated Pretreatment Program, the ERP has been developed to include a range of enforcement responses available to the village to effectively enforce the terms and conditions of the chapter. The plan outlines how the village will investigate and respond to instances of industrial user (IU) noncompliance (including significant industrial users). The ERP establishes a framework in which the village will assess the degree of noncompliance by an IU and determine the appropriate enforcement response. Considerations will include federal, state and local pretreatment regulations, historical IU cooperation, the nature of the violation and any potential hazards to the public, village employees and the environment.
The plan includes the type of escalating enforcement responses to be used by the village, the periods within which responses will take place and the officials responsible for each type of response. The ERP does not restrict the village to only the options listed. If the nature of the violation requires it, the village can, and will, pursue more severe penalties, including fines, revocation of Discharge Permits and/or disconnection of service. Repeated violations, which are not eliminated by one level of response, will receive more severe penalties.
TYPES OF ENFORCEMENT RESPONSES
IUs found in noncompliance with any of the terms or conditions of the Pretreatment Ordinance are subject to enforcement under the ERP.
The following types of enforcement responses are available to the village in response to incidents of noncompliance with the Pretreatment Ordinance.
A. Phone notification.
A phone/fax notification is intended to inform the IU of a violation or potential violation, so that voluntary actions by the Industry can resolve the situation preventing more serious violations. The phone/fax notification should be made by the Pretreatment Coordinator as soon as the violation is discovered.
B. Notice of violation (NOV).
A NOV is a written notification sent via Certified Mail - Return Receipt Requested, which is directed to an authorized agent of an IU found to be in noncompliance of the conditions of the Pretreatment Ordinance or the IU's Permit. The NOV advises the IU of the nature of the noncompliance, requires the IU to investigate the incident and take measures to correct the noncompliance and to respond to the NOV within 10 days of receipt of the NOV. The NOV should be issued by the Superintendent and/or designee within 30 days of discovery of the noncompliance.
C. Compliance meeting.
A compliance meeting is a meeting attended by the Pretreatment Coordinator, and/or other village staff and an authorized agent of an IU found to be in continued noncompliance with the conditions of the Chapter. The meeting will be used to advise the IU of their continued noncompliance, to establish a timetable required to correct the noncompliance and to report the next step of enforcement if noncompliance continues. The meeting should be held within 30 days of the village determination that a meeting is required.
D. Compliance Order (C.O.).
A C.O. is a written notification, sent via Certified Mail - Return Receipt Requested, which is directed to an authorized agent of an IU which has violated, or continues to violate, any provision of the Ordinance, Discharge Permit, or order issued to the IU. The compliance order, issued by the Superintendent and/or designee, shall direct the noncompliant IU to come into compliance within a specified time. The compliance order shall be issued within 30 days of the village determination that a compliance order is necessary.
E. Compliance Agreement (C.A.).
A C.A. is a written agreement between the village and IU which has violated, or continues to violate, any provision of the Ordinance, Discharge Permit or order issued to the N. The C.A. includes timeframes; agreed to by both parties within which the IU will come into compliance as well as penalties, which will be incurred by the IU for failure to meet compliance commitment dates.
F. Show cause order.
An order requiring attendance at a show cause hearing before representatives of the village by an authorized agent of an IU which has violated, or continues to violate, any provision of the Ordinance, Discharge Permit, or order issued to the IU to show cause why the proposed enforcement action should not be taken. The notice of the hearing shall specify the time and place for the meeting, the proposed enforcement action, the reasons for such action and a request that the user show cause why the proposed enforcement action should not be taken. The notification as to the nature of the hearing shall be served personally or by Certified Mail - Return Receipt Requested, at least 30 days prior to the hearing.
G. Administrative fines.
Administrative fines shall be assessed when an IU has violated, or continues to violate any provision of the Ordinance, a wastewater discharge permit or order issued to the IU. The fines shall be assessed in accordance with the Pretreatment Ordinance. Fines will be assessed within 60 days of the village determination that fines are appropriate. Fines shall be assessed in accordance with the seriousness of the violations as determined by the Pretreatment Coordinator.
H. Court Proceedings.
Any activity or conduct of an IU, which has violated or continues to violate any provision of the Ordinance, Discharge Permit, or prior order, may be referred to the village Attorney for court proceedings. These proceedings are outlined in the Pretreatment Ordinance.
I. Termination of service.
The Pretreatment Coordinator may immediately suspend a user's discharge, after informal or formal notice to the user, whenever such suspension is necessary to stop an actual or threatened discharge, which reasonably appears to present or cause an imminent or substantial endangerment to the health or welfare of persons. The Pretreatment Coordinator may also immediately suspend an IU's Discharge Permit, after notice and opportunity to respond, that threatens to interfere with the operation of the POTW, or which presents, or may present, an endangerment to the environment. Termination of services are outlined in the Pretreatment Ordinance.
COMPLIANCE SCREENING/REVIEW
All IU self-monitoring reports generated by the IUs or reports generated during or by inspection and sampling conducted by the village will be reviewed by the Pretreatment Coordinator for incidents of noncompliance with applicable standards. Reports will be reviewed and enforcement actions will be taken in response to any incidents of noncompliance in accordance with the following schedule.
A. IU self-monitoring reports.
All IU self-monitoring reports will be reviewed within 30 days of receipt of said self- monitoring report. Enforcement action will be initiated within the same 30-day period, if required.
B. Village Inspection and Sampling Reports.
In conformance with 40 CFR 403.8(f) (2), the village will inspect and sample each IU, which meets the Significant Industrial user definition at least annually. Sample collection and analysis shall be performed in accordance with 40 CFR 136.
All village inspection and sampling reports will be reviewed within 30 days of the completion of said village inspection or sampling program at an IU. Enforcement action will be initiated within the same 30-day period, if required.
C. Enforcement Actions by Superintendent and/or designee.
All enforcement responses which require action by the Attorney will be recommended to the Attorney by the Pretreatment Coordinator within the time periods indicated in Paragraphs A and B above; however, failure to meet the deadlines will not preclude the village from proceeding with the enforcement actions. The Attorney will take action on all recommendations from the Pretreatment Coordinator in a timely manner.
PUBLICATION OF USERS IN SIGNIFICANT NONCOMPLIANCE
The village shall annually publish in the largest newspaper published in the village or municipalities where the village has jurisdiction, a list of IUs which, during the previous 12 months, were in significant noncompliance with applicable pretreatment standards. The notification shall also summarize any enforcement actions taken against those IUs during the same 12 months. The term significant noncompliance shall mean:
A. Chronic violations of wastewater discharge limits, defined here as those in which 66% or more of the wastewater measurements taken during a six-month period exceed the daily maximum limit or average limit for the same pollutant parameter by any amount;
B. Technical Review Criteria (TRC) violations, defined here as those in which 33% or more of wastewater measurements taken for each pollutant parameter during a six-month period equals or exceeds the product of the daily maximum limit or average limit multiplied by the applicable criteria (1.4 for BOD, TSS, FOG and 1.2 for all other pollutants except pH (for pH, the TRC will be less than 4.0 pH units or greater than 10 pH units);
C. Any other discharge violation that the village believes has caused alone or in combination with other discharges, interference, or pass-through (including endangering the health of village personnel or the general public);
D. Any discharge of a pollutant, which has caused imminent endangerment to the public or to the environment, or has resulted in the village's exercise of its emergency authority to halt or prevent such a discharge;
E. Failure to meet, within 90 days of the scheduled date, a compliance milestone contained in a wastewater discharge permit, enforcement order, or agreement for starting construction, completing construction, or attaining final compliance;
F. Failure to provide within 30 days after the due date, any required reports, including baseline monitoring reports, periodic self-monitoring reports and reports on compliance with compliance schedules;
G. Failure to accurately report noncompliance; or
H. Any other violation(s), which the village determines, will adversely affect the operation or implementation of the local pretreatment program.
VILLAGE ADMINISTRATIVE ENFORCEMENT OF PRETREATMENT ORDERS
A. Introduction.
Any IU issued an order or notice by any authorized employee of the village under this Enforcement Response Plan or the Pretreatment Ordinance of the village based in whole or in part upon noncompliance by the IU with any provision of the Pretreatment Ordinance that fails to voluntarily comply with such order or notice in accordance with its terms may, at the discretion of the village, be prosecuted for the underlying violation of the Pretreatment Ordinance in accordance with the Pretreatment Ordinance Administrative Enforcement Procedures hereinafter set forth. Notwithstanding the foregoing, the village shall retain complete discretion to determine whether or not a matter should be designated for administrative enforcement or should be the subject of an appropriate legal or equitable proceeding in the Circuit Court for the Twelfth Judicial Circuit, Will County, Illinois.
B. Pretreatment ordinance administrative enforcement procedures.
1. Definitions.
“Ordinance” means the Pretreatment Ordinance of the village of Romeoville and the Emergency Response Plan adopted pursuant thereto and incorporated therein. “Hearing Officer” means a municipal employee or an officer or agent of the Village of Romeoville, other than a law enforcement officer, whose duty it is to:
(1) preside at an administrative hearing called to determine whether or not a violation of the Ordinance exists;
(2) hear testimony and accept evidence from all interested parties relevant to the existence of a code violation;
(3) preserve and authenticate the transcript and record of the hearing and all exhibits and evidence introduced at the hearing; and
(4) issue and sign a written finding, decision, and order stating whether a violation of the Ordinance exists.
“Violation” means:
(1) doing an act that is prohibited or made or declared unlawful by the Ordinance; or
(2) failure to perform an act that is required to be performed by the Ordinance or by rule or regulation authorized by the Ordinance.
“Violation” of the Ordinance does not include the failure of a city officer or city employee to perform an official duty, unless it is provided that failure to perform the duty is to be punished as provided for herein.
2. Administrative Hearing Division
The village hereby establishes the Pretreatment Administrative Hearing Division of the Department of Public Works, which shall be responsible for expeditiously and efficiently conducting hearings and enforcement proceedings arising from alleged violations of the Ordinance.
3. Applicability.
The procedures set forth in this Section shall govern and apply to all administrative enforcement proceedings instituted by the village to enforce the provisions of the Ordinance.
4. Instituting proceedings.
When an agent of the village authorized to issue an Ordinance violation finds such a violation to exists, he or she shall note the violation on a multiple copy violation notice and report form that indicates (i)the name and address of the defendant, (ii) the type and nature of the violation, (iii) the date and time the violation was observed, and (iv) the names of witnesses to the violation.
The violation report form shall be forwarded to the Pretreatment Administrative Hearing Division where a docket number shall be stamped on all copies of the report and a hearing date shall be noted in the blank spaces provided for that purpose on the form. The hearing date shall not be less than 30 nor more than 40 days after the violation is reported.
One copy of the violation report form shall be maintained in the files of the hearing department and shall be part of the record of hearing, one copy of the report form shall be returned to the individual representing the municipality in the case so that he or she may prepare evidence of the Ordinance violation for representation at the hearing on the date indicated, and one copy of the report form shall be served by first class mail to the defendant along with a summons commanding the defendant to appear at the hearing.
5. Subpoenas-Defaults.
At any time prior to the hearing date, the hearing officer assigned to hear the case may, at the request of either party, direct witnesses to appear and give testimony at the hearing. If on the date set for hearing the defendant or his or her attorney fails to appear, the hearing officer may find the defendant in default and shall proceed with the hearing and accept evidence relevant to the existence of an Ordinance violation.
6. Continuances-representations at hearings.
No continuances shall be authorized by the hearing officer in proceedings under this chapter except in cases where a continuance is absolutely necessary to protect the rights of the defendant. Lack of preparation shall not be grounds for a continuance. Any continuance authorized by a hearing officer under this chapter shall not exceed 25 days. The case for the village may be presented by an attorney designated by the village or by any other municipal employee, except that the case for the village shall not be presented by the defendant, his or her attorney, or any other agent or representative of the defendant.
7. Evidence.
At the hearing, a hearing officer shall preside, shall hear testimony, and shall accept any evidence relevant to the existence or non- existence of an ordinance violation. The strict rules of evidence applicable to judicial proceedings shall not apply to hearings contemplated hereby.
8. Qualifications of hearing officers.
Prior to conducting proceedings under this chapter, hearing officers shall successfully complete a formal training program that includes the following:
(1) Instruction on the rules of procedure of the hearing that they will conduct;
(2) Orientation to each subject area of the code violations that they will administer;
(3) Observation of administrative hearings; and
(4) Participations in hypothetical cases, including rules on evidence and issuing final orders.
In addition, every hearing office must be an attorney licensed to practice law in the State of Illinois for at least three years.
9. Findings, decision and order.
At the conclusion of the hearing, the hearing officer shall make a determination on the basis of the evidence presented at the hearing as to whether or not a violation exists. The determination shall be in writing and shall be designated as findings, decision, and order. The findings, decision and order shall include (1) the hearing officer's findings of facts; (ii) a decision of whether or not a violation exists based upon the findings of facts; and (iii) an order that states the sanction or dismisses the case if a violation is not proved, a monetary sanction for a violation under this chapter shall not exceed the amount provided for in ILCS Ch. 65, Act 5, § 1-2-1. A copy of the findings, decision, and order shall be served on the defendant within 5 days after it is issued. Service shall be in the same manner that the defendant within 5 days after it is issued. Service shall be in the same manner that the report form and summons are served under ILCS Ch. 65, Act 5, § 1-2.2-20. Payment of any penalty or fine and the disposition of fine money shall be in the same manner as set forth in the Ordinance, unless the corporate authorities adopting this chapter provide otherwise.
10. Review under administrative review law.
The findings, decision, and order of the hearing officer shall be subject to review in Will County, Illinois, and the provisions of the Administrative Review Law, and all amendments and modifications thereto, and the rules adopted pursuant thereto are adopted and shall apply to the govern every action for the judicial review of the final findings, decision and order of a hearing officer under this article. The record, for the purposes of this section, shall consist of the notice of violation, the finding, decision and order of the hearing officer, and written notes of the hearing made by an authorized individual or the hearing officer. A transcript of a court reporter shall also be considered as part of the record, if such transcript has been provided by a party.
11. Judgment on findings, decision and order.
(a) Any fine other sanction or costs imposed, or part of any fine, other sanction or costs imposed remaining unpaid after the exhaustion of, or failure to exhaust, judicial review procedure under Administrative Review Law shall be a debt due and owing the village of Romeoville and, as such, may be collected in accordance with applicable law.
(b) After expiration of the period within which judicial review under the Administrative Review Law may be sought for a final determination of the Ordinance violation, the village may commence a proceeding in the circuit court of Will County, Illinois for purposes of obtaining a judgment on the findings, decision and order. Nothing in this section shall prevent the village from Consolidating multiple findings, decision and orders against a person in such a proceeding. Upon commencement of action, the village shall file a certified copy of the findings, decision and order, which shall be accompanied by a certification that recites facts sufficient to show that the findings, decision and order was issued in accordance with this chapter and Ordinance. Service of summons and a copy of the petition may be by any method provided by law or by certified mail, return receipt requested, provided that the total amount of fines, other sanctions, and costs imposed by the findings, decision, and order does not exceed $2,500. If the court is satisfied that the findings, decision, and order was entered in accordance with the requirements of ILCS Ch. 65, Act 5, § 1-2.2 and the village Ordinance and that defendant had an opportunity for a hearing under ILCS Ch. 65, Act 5, § 1-2.2 and for judicial review as provided in said Division:
(1) The court shall render judgment in favor of the village and against the defendant for the amount indicated in the findings, decision and order, plus costs. The judgment shall have the same effect and may be enforced in the same manner as other judgments for the recovery of money.
(2) The court may also issue any other orders and injunctions that are requested by the village to enforce the order of the hearing officer to correct a violation of the Ordinance.
12. Sanctions Applicable to Owner of Property.
The order to correct a violation of the Ordinance and the sanctions imposed by the village as the results of a finding of an Ordinance violation shall attach to the property as well as to the owner of the property, so that a finding of an Ordinance violation against one owner cannot be avoided by conveying or transferring the property to another owner. Any subsequent transferee or owner of property takes subject to the findings, decision and order of a hearing officer hereunder, provided, however, that it shall be the responsibility of the village to record a memorandum of such findings, decision and order with the Will County Recorder.
ENFORCEMENT RESPONSE PLAN
SAMPLING, MONITORING, AND REPORTING | ||
NONCOMPLIANCE | CIRCUMSTANCES | ENFORCEMENT RESPONSES |
SAMPLING, MONITORING, AND REPORTING | ||
NONCOMPLIANCE | CIRCUMSTANCES | ENFORCEMENT RESPONSES |
Unpermitted discharge | IU unaware of requirement (no harm) to POTW/environment | - Phone call/Fax |
- NOV w/fines and application form | ||
IU unaware of requirement (results in harm) to POTW/environment | - Compliance Order w/fines | |
- Civil Action | ||
Failure to apply after notice by POTW | - NOV w/fines | |
- Civil Action | ||
- Terminate service | ||
Nonpermitted discharge | IU has not renewed discharge permit with 30 days of due date | - Phone call/Fax |
- NOV | ||
Failure to conduct self- monitoring and to submit periodic reports by due date | Isolated occurrence | - Phone call/Fax |
- NOV | ||
Repeated occurrence, failure to comply with NOV | - NOV w/fines | |
- Compliance Meeting | ||
- Compliance Order | ||
Reporting violation | Report is improperly signed or certified (Isolated occurrence) | - Phone call/Fax |
- NOV | ||
Repeated occurrence, failure to comply with NOV | - NOV w/fines | |
- Compliance Meeting | ||
- Compliance Order | ||
- Compliance Agreement | ||
- Show Cause Order | ||
Report is late, Isolated occurrence or not significant (e.g., 5 days late) | - Phone call/Fax | |
- NOV | ||
Repeated occurrence or significant (e.g., report 30 days or more late) | - NOV w/fines | |
- Compliance Order | ||
- Show Cause Order | ||
- Civil Action | ||
Failure to report spill or changed discharge (results in harm) | - Compliance Order fines | |
- Civil Action | ||
Repeated failure to report spills | - Show Cause Order w/fines | |
- Terminate service | ||
Failure to report spill or changed discharge (no harm to POTW/environment) | - NOV w/fines | |
Falsification | - Criminal Investigation | |
- Compliance Agreement | ||
- Terminate service | ||
NONCOMPLIANCE | CIRCUMSTANCES | ENFORCEMENT RESPONSES
|
NONCOMPLIANCE | CIRCUMSTANCES | ENFORCEMENT RESPONSES
|
Failure to monitor correctly | Failure to monitor all pollutants as required by permit | - Phone call/Fax |
- NOV | ||
Recurring failure to monitor | - NOV w/fines | |
- Compliance Meeting | ||
- Compliance Agreement | ||
- Civil Action | ||
Improper sampling | Evidence of intent | - NOV w/fines |
- Terminate service | ||
Failure to install monitoring equipment | Delay of less than 30 days | - NOV |
Delay of 30 days or | - NOV w/fines | |
- Compliance Meeting | ||
- Compliance order to install with fine for each additional day | ||
- Compliance Agreement | ||
Recurring, violation of compliance order | - Civil Action | |
- Terminate service | ||
Compliance Schedules | Missed milestone by 30 days, or will affect final milestone (good cause for delay) | - NOV w/fines |
- Compliance Meeting | ||
- Compliance Order | ||
Missed milestone by more than 30 days, or will affect final milestone (no good cause for delay | - NOV w/fines | |
- Show Cause Order | ||
- Compliance Order | ||
- Civil Action | ||
- Terminate service | ||
Recurring violation | - NOV w/fines | |
- Civil Action | ||
- Terminate service | ||
Exceedence of local or Federal Standard (permit limit) | Isolated, not significant | - Phone call/Fax |
- NOV | ||
Isolated, significant (no harm to POTW/environment) | - NOV w/fines | |
- Compliance Meeting | ||
- Compliance Order | ||
- Compliance Agreement | ||
Isolated (results in harm to POTW/environment) | - NOV w/fines | |
- Compliance Order | ||
- Show Cause Order | ||
Recurring, chronic (no harm to POTW/environment) | - NOV w/fines- Compliance Order | |
Recurring; chronic, significant (results in harm to POTW/environment) | - Compliance Order | |
- Show Cause Order | ||
- Civil Action | ||
- Terminate service | ||
Entry Denial | Entry denied or consent withdrawn | - Obtain warrant and return to IU |
- NOV w/fines | ||
Copies of records denied | - Show Cause Order
| |
NONCOMPLIANCE | CIRCUMSTANCES | ENFORCEMENT RESPONSES
|
NONCOMPLIANCE | CIRCUMSTANCES | ENFORCEMENT RESPONSES
|
Illegal Discharge | No harm to POTW/environment | - NOV w/fines |
- Compliance Order | ||
Discharges causes harm to POTW/environment or evidence of intent/negligence | - NOV w/fines | |
- Show Cause Order | ||
- Civil Action | ||
Recurring, violation of compliance order | - Terminate service | |
Improper Sampling | Isolated occurrence; sampling at incorrect location; or incorrect sample type; or incorrect sample collection techniques | - NOV |
Recurring; sampling at incorrect location; or incorrect sample type, or incorrect sample collection techniques | - NOV w/fines | |
- Compliance Meeting | ||
- Compliance Order | ||
- Compliance Agreement | ||
- Show Cause Order | ||
Inadequate recording keeping | Inspector finds files incomplete to missing (no evidence of intent) | - NOV |
Recurring | - NOV w/fines | |
- Compliance Meeting | ||
- Compliance Order | ||
- Compliance Agreement | ||
- Show Cause Order | ||
Failure to report additional monitoring | Inspector finds additional files | - NOV |
Recurring | - NOV w/fines | |
- Compliance Order | ||
Waste streams are diluted in lieu of treatment | Initial violation | - NOV w/fines |
- Compliance Meeting | ||
- Compliance Order | ||
- Compliance Agreement | ||
- Show Cause Order | ||
Recurring | - NOV w/fines | |
- Compliance Meeting | ||
- Compliance Order | ||
- Show Cause Order | ||
- Terminate service | ||
Failure to mitigate noncompliance or halt production | No harm to POTW/environment | - NOV w/fines |
- Compliance Meeting | ||
- Compliance Order | ||
- Compliance Agreement | ||
- Show Cause Order | ||
Results in harm to POTW/environment | - NOV w/fines | |
- Compliance Order | ||
NONCOMPLIANCE | CIRCUMSTANCES | ENFORCEMENT RESPONSES
|
Failure to properly operate and maintain pretreatment facility | No harm to POTW/environment | - NOV w/fines |
- Compliance Meeting | ||
- Compliance Order | ||
- Compliance Agreement | ||
- Show Cause Order | ||
Results in harm to POTW/ environment | - NOV w/fines | |
- Compliance Meeting | ||
- Compliance Order
| ||
SPILLS AND OTHER VIOLATIONS
NONCOMPLIANCE | CIRCUMSTANCES | ENFORCEMENT RESPONSES |
NONCOMPLIANCE | CIRCUMSTANCES | ENFORCEMENT RESPONSES |
Reported spill, slug load, bypass | Isolated without known interference or pass through | - Phone call/Fax |
- NOV w/fines | ||
Isolated with known interference or pass through | - NOV w/fines | |
- Compliance Meeting | ||
- Compliance Order | ||
Recurring with known interference pass or threat of human safety | - NOV w/fines | |
- Show Cause Order | ||
- Civil Action | ||
Failure to notify of spill slug load, bypass, or pretreatment malfunction | No known interference, pass through or threat to human safety | - NOV w/fines |
- Compliance Meeting | ||
- Compliance Order | ||
Known interference, pass through or threat to human safety | - NOV w/fines | |
- Compliance Meeting | ||
- Compliance Order | ||
- Show Cause Order | ||
- Civil Action | ||