Noncompliance | Nature of Violation | Enforcement Response |
Noncompliance | Nature of Violation | Enforcement Response |
Unauthorized Discharges (No Permits) | ||
1. Unpermitted discharge | IU unaware of requirements, no harm to POTW/environment | - Schedule a meeting explaining the pretreatment program, how it operates, personnel to contact and request to fill in an application within 30 days - Evaluate application and issue a permit if all requirements are met; otherwise, prepare a letter within 30 days of receiving the application form stating missing or incomplete information and require response |
IU did not provide complete application or revise its application within time frame required | - Issue an administrative order (AO) within 30 days with a compliance schedule, and/or a fine (A), and/or civil penalty (I) | |
IU unaware of requirement, harm to the POTW | - Schedule a show cause hearing within 30 days, issue an AO with the requirement to cease harmful discharge and a compliance schedule, and/or a fine (B) and/or civil penalty (III) - Compliance schedule will include completing the application form | |
IU did not cooperate and continues to cause harm to the POTW | - Terminate service immediately, prepare for a civil action within 90 days, and/or a fine (E), and/or civil penalty (IV) | |
2. Non-permitted discharge (failure to renew) | IU aware of requirement, with no harm | - Issue an AO within 60 days with compliance schedule, and/or a fine (A), and/or civil penalty (I) |
IU aware of requirement, with harm | - Issue AO within 30 days with the requirement to cease harmful discharge and a compliance schedule - Sample weekly through a 90 day period - Request a complete application within 30 days. If application is not received within 30 days, IU is considered in SNC, and/or a fine (C), and/or civil penalty (III) | |
- If IU fails to submit properly completed or revised application form within 90 days, cease temporary permit(s) and terminate services, and/or a fine (E), and/or civil penalty (IV) | ||
Discharge Limit Violation | ||
1. Exceedance of local or federal limits (permit limit) | Isolated, not significant | - Request a written justification for exceedance of limits and resampling within 30 days - Issue NOV within 60 days of initial detection of apparent violation and/or fine (D), if confirmed |
Isolated, significant, exceeds the limits by TRC of an individual effluent limit, no harm | - Request a written justification for exceedance of limits and resampling within 30 days - Issue NOV if resampling indicates continued violation within 30 days of confirmation of violation - Issue compliance order within 90 days of detecting initial violation, a written justification and presenting measures for preventing this incident from occurring; formulate compliance order to identify procedure for addressing significant violation, and/or a fine (D), and/or civil penalty (I) | |
Isolated, harm to POTW/environment | - Issue an AO within 60 days of detecting initial violation that requires ceasing the harmful discharge and request response within 30 days, show cause hearing, compliance order and/or a fine (D), and/or civil penalty (III), and/or criminal investigation, and/or termination of service | |
Recurring (continuing, frequent and/or multi-violation or SNC), no harm to POTW/environment | - Issue AO within 60 days, and/or a fine (D), and/or civil penalty (IV) | |
Recurring (continuing, frequent and/or multi-violation), significant which constitutes SNC or chronic, harmful to POTW/environment | - Issue AO within 60 days, show cause hearing, and/or a fine (D), and/or civil penalty (IV), and/or civil litigation, and/or criminal investigation, and/or termination of service | |
Reporting Violation | ||
1. Reporting violation | Report is improperly signed or certified | - Request complete information to be forwarded within 30 days |
Report is improperly signed or certified after notice by POTW | - Issue NOV within 60 days of detecting initial violation (if not signed or certified within 30 days of notification), and/or fine (F) | |
Isolated, single incident, no report | - Request violation be corrected within 30 days - Issue NOV within 60 days from detecting violation if not corrected *, and/or a fine (F) | |
Significant (recurring), no reports | - Issue AO within 60 days of initial NOV date, and/or a fine (A), and for civil penalty (I) | |
Reports are always late or no report at all | - Issue AO with show cause hearing within 60 days of initial date of AO - Where violation persists after 90 days from show cause hearing, a fine (B), and/or civil penalty (I), and/or terminate service | |
Failure to report spill or changed discharge, no harm | - Issue NOV within 30 days, request written justification for failure to report; AO for emergency response plan, and/or a fine (C), and/or civil penalty (II) | |
Failure to report spill or changed discharge, results in harm to POTW/environment | -Issue AO within 60 days of detecting violation, and/or develop emergency response plan, and/or a fine (E), and/or civil penalty (IV) | |
Repeated failure to report spills | - Issue AO with a show cause hearing within 60 days - Terminate services if failure occurs more than twice a year, and/or a fine (E), and/or civil penalty (IV) | |
Falsification | - Criminal investigation within 30 days of detecting initial violation - Terminate services immediately if proved true, and/or a fine (E), and/or civil penalty (III) | |
2. Failure to monitor correctly | Failure to monitor all pollutants as required by permit | - Request a response within 30 days justifying violation - Issue NOV within 60 days of detecting initial violation if inadequate justification received |
Recurring failure to monitor | - Issue AO within 60 days of second occurrence, and/or a fine (A), and/or civil penalty (I) | |
3. Improper sampling | Evidence of intent | - Criminal investigation within 30 days of detecting violation - Termination of services immediately if proved true, and/or a fine (E), and/or civil penalty (IV) |
4. Failure to install monitoring equipment | Delay of less than 30 days | - Issue NOV within 30 days, request response with timeframe for completion of proper installation - AO within 60 days of initial violation, if no response received, and/or a fine (A) |
Delay of 30 days or more | - Issue compliance order within 30 days of detecting violation, and/or a fine (B), and/or civil penalty (I) | |
5. Compliance schedules (in permit) | Missed milestone by less than 30 days or will not affect final milestone | - Issue NOV within 30 days of detecting violation, and/or a fine (A) |
Missed milestone by more than 30 days or will affect final milestone (good cause for delay) | - Issue NOV within 30 days of detecting violation, SNC and/or a fine (A) | |
Missed milestone by more than 30 days or will affect final milestone (no good cause for delay) | - Issue show cause hearing notice within 30 days of detecting violation, and/or a fine (B), and/or civil penalty (I) | |
Sampling, Monitoring and Reporting | ||
1. Failure to sample, monitor, report (routine reports, BMRs and the like) | Isolated or infrequent | - Request missing information; if not received, issue NOV within 30 days of initial violation detection requiring a written response to be submitted within 30 days from the date of the NOV; if not received within these 30 days, SNC, and/or a fine (A) - Issue AO within 90 days if no response received within 60 days from original due date |
2. Failure to sample, monitor, report or notify | No response to letters, does not follow through on written agreement or frequent violation—SNC. (This circumstance is subsequent to item above.) | - Notify of SNC violation within 30 days of violation detection, and/or a fine (B), and/or civil penalty (I) - Consider issuing AO, and/or a fine (C), and/or civil penalty (I) if no response is received after AO or after 90 days from original due date - Consider terminating service and request judicial action, and/or a fine (E), and/or civil penalty (II), and/or criminal investigation depending on circumstances, if no acceptable response after 120 days of original due date |
3. Failure to notify of effluent limit violation or slug discharge | Isolated or infrequent. No known effects. (SNC - failure to report noncompliance) | - Issue NOV within 60 days after detection of violation; require response in writing with reasons for lack of responding to isolated violation(s); evaluate response; re-sample and submit results, and/or a fine (A), and/or civil penalty (I); provide due dates in correspondence, if response is not received within 30 days of due date, SNC, issue show cause hearing notice; issue AO within 90 days of due date if no response received and/or a fine (B), and/or civil penalty (I) - If SNC violation occurs, notify using AO within 60 days of violation detection |
4. Failure to notify of effluent limit violation or slug discharge | Frequent or continued violation (SNC - failure to accurately report noncompliance.) | - Issue AO within 60 days of initial violation detection, and AO shall request response as to why notification not made and cause of violation(s), and/or a fine (B), and/or civil penalty (II) - Require up to daily additional sampling of wastewater discharge, if not performed, a fine (B) |
5. Failure to re-sample after discovery of violation | Infrequent or frequent | - Issue NOV within 60 days after due date, and/or a fine (A), and/or civil penalty - Escalate to AO within 90 days after due date if no response received, and/or a fine (B) - If frequent violations continue, escalate to show cause hearing, and/or a fine (C), and/or civil penalty (I) |
6. Failure to notify of effluent violation or slug discharge. | Known environmental (i.e., pass through or interference) and/or POTW damage results - SNC. | - Notify of SNC violation using AO within 30 days of violation detection, and/or a fine (D), and/or civil penalty (IV), and/or criminal investigation, and/or termination of service |
Violations Detected During Site Visits | ||
1. Entry denial | Entry denied or consent withdrawn Copies of records denied | - Issue a fine (C), and/or civil penalty (I) within 60 days - Obtain entry warrant immediately and return to facility - May terminate service |
2. Inadequate record keeping | Inspector finds incomplete or missing information (no evidence of intent) | - Request to complete files within 30 days from inspection date, reschedule inspection within 90 days from inspection date - Issue NOV within 30 days of inspection if not corrected, and/or a fine (F) |
Recurring | - Issue AO within 30 days, and/or a fine (A), and/or civil penalty (I) | |
3. Failure to report required additional monitoring | Inspector finds additional files | - Request files be properly organized, a listing of organized files and records shall be provided within 30 days - Issue NOV within 60 days if not performed, and/or a fine (A) |
Recurring | - Issue AO within 60 days from detecting additional violation, and/or a fine (A), and/or civil penalty (I) | |
Other Permit Violations | ||
1. Wastestreams are diluted in lieu of treatment | Initial violation | - Issue NOV within 30 days of detecting violation, and/or a fine (A), and/or civil penalty (I) |
Recurring | - Issue an AO with show cause hearing within 60 days, and/or a fine (B), and/or civil penalty (I), and/or terminate services | |
2. Failure to mitigate noncompliance or halt production | Does not result in harm | - Request response within 30 days - Issue NOV within 60 days of detecting violation if inadequate response received, and/or a fine (C), and/or civil penalty (III) |
Does result in harm | - Issue AO within 60 days, and/or a fine (E), and/or civil penalty (IV) - Proceed with civil litigation within 30 days if not fully responsive | |
For fine and/or penalty details refer to Table B: Administrative Fine and Civil Penalty Schedule | ||
(Res. 1998-10-18-B, passed 10-19-1998; Ord. 180, passed 12-21-1998)