ENFORCEMENT RESPONSE GUIDE

TABLE OF CONTENTS

 

Definitions

Unauthorized Discharges (No Permit).

Discharge Limit Violation

Monitoring and Reporting violations

Compliance Violations

Other Violations

ENFORCEMENT RESPONSE GUIDE

 

DEFINITIONS

1. PS- Pretreatment Supervisor

2 AM- Assistant Manager "Water Division"

3. M- Manager "Water Division

4. UB- Utility Board

5. IU-Industrial User

6. NOV- Notice of Violation

7. POTW- Publicly Owned Treatment Works (CU's Wastewater Treatment Facility)

8. Technical Review Criteria (TRC) Violation-33 percent or more of all of the measurements

taken during a 6-month period equal or exceed the product of the daily average maximum

limit or the average limit times the TRC (TRC+1.2 for toxic pollutants, except pH).

9. Chronic violations-66 percent or more of all of the measurements taken during a 6-month

period exceed (by any magnitude ) the daily maximum limit or the average limit for the

same pollutant parameter.

10. Significant Noncompliance-See "Sewer Use Ordinance" Division 13, Section 23-113(F).

ENFORCEMENT RESPONSE GUIDE

 

Unauthorized Discharges (No Permit).
1. Unpermitted Discharge IU unaware of requirements; no harm to POTW/environment. Phone call; NOV with application form attached to be submitted within 30 calendar days. Application deadline to be specified in the NOV. An extension may be granted only for Wastewater characterization section of application. PS,AM No
         
  IU unaware of requirements; harm to POTW/environment evident. Cease-and-Desist Order requiring IU to halt violation(s) immediately or terminate discharge altogether. Issuance of a Compliance Order requiring submittal of a permit application within 30 calendar days and assessing any penalties or recovery of damages and costs. AM,M Yes
         
    Termination of service and civil litigation or criminal investigation. M,UB Yes
         
  IU has not submitted permit application by deadline NOV for missed deadline. Require submittal within 15 calendar days or further enforcement action will be pursued. PS,AM No
  Failure to submit permit application continues more than 60 days after receipt of NOV by the IU. Civil litigation. M,UB Yes
Discharge Limit Violation        
1. Exceedence of local or Federal Discharge Limit. Exceed one or more daily or average parameter(s) by less than a factor of 3.0.(Except pH) NOV detailing violation and requiring corrective action within 30 business days. Enforcement monitoring to begin and continue for a period of at least 30 days 1st occurrence, 60 days 2nd consecutive occurrence for same parameter. PS,AM No
  Exceed one or more daily or average parameter limit(s) by a factor of 3.0 or more (Except pH). NOV detailing violation and requiring correction within 30 business days. Penalties to be assessed by Compliance Order or Agreed Order for each day of violation. Enforcement monitoring to begin and continue for a period of at least 60 days. AM,M No
  Chronic and/or TRC violation as defined by EPA. (Except pH). Show-Cause Order assessing a penalty per violation and requiring the IU to appear before the manager to show cause why further enforcement should not be pursued. Further action (if warranted) will be addressed in a Compliance Order or Agreed Order AM,M Yes
  Exceedences of any daily or average parameter limit(s) by more than a factor of 10 (1,000%). No harm to POTW/environment.(Except pH). Show-Cause Order assessing a penalty per violation per day and requiring the IU to appear before the manager to show cause why further enforcement should not be pursued. The order also requires the IU to make every possible effort to limit the amount and concentration of the pollutant. Further actions(if warranted) will be addressed in a Compliance or Agreed Order. Enforcement monitoring to begin and continue for a period of at least 60 days. AM,M Yes
  Discharge pH < 5.0 or > 10.5 for any length of time NOV detailing violation and requiring a response within 30 days which outlines steps taken to prevent violation in the future. Enforcement monitoring to begin and continue for a period of at least 30 days. PS,AM No
  Discharge pH < 5.0 or > 10.5 for 30 consecutive minutes or more. No harm to POTW/environment. NOV detailing violation and requiring correction within 30 business days. Penalties to be assessed by a Compliance Order or Agreed Order for each violation. Enforcement monitoring to begin and continue for at least 60 days. AM,M Yes
  Chronic pH Violation-66% or more of all one day monitoring events conducted during a 6 month period indicate any exceedance of pH limitations. Show-Cause Order assessing a penalty and requiring the IU to appear before the Manager to show cause why further enforcement should not be pursued. Further action (if warranted) will be addressed in a Compliance Order or Agreed Order. AM,M Yes
  Exceedence of any daily or average parameter limit(s) that adversely affects the POTW,i.e, damage, harm, interference, inhibition or pass-through. Cease-and-Desist Order requiring the IU to halt the violation immediately or terminate the discharge altogether. Issuance of a Compliance Order assessing any penalties and/or costs the manager deems appropriate. M,UB Yes

Monitoring and Reporting Violations

1. Reporting Violations Report is improperly signed or certified. Phone calls. PS No
  Report is improperly signed or certified after phone call by POTW. NOV requiring correction on the next report. PS,AM No
  Report is improperly signed or certified after issuance of NOV by POTW. Compliance Order assessing a penalty and requiring the IU to properly sign or certify the next regularly scheduled report. AM,M Yes
  Report is late by fewer than 30 calendar days. NOV PS,AM No
  Report is late 30 calendar days more. Informal meeting between the IU and the Assistant Manager. NOV requiring report submittal no later than 45 days from the original report deadline. PS,AM Yes
  Report is late 45 calendar days or more. Show-Cause assessing a penalty per day of violation and requiring the IU to appear before the manager to show cause why further enforcement should not be pursued. AM,M Yes
  Report is late 60 calendar days or more. Compliance Order requiring IU to submit the required report within 15 calendar days. Any penalty is to be assessed for each day past the 60th day deadline. AM,M Yes
  Report is late 90 calendar days or more. Civil litigation. UB Yes
  Failure to report spills or changed discharge (no harm to the POTW or environment). NOV and Compliance Order requiring the IU to develop and implement is spill prevention plan by a specified deadline. PS,AM No
  Failure to report spill or changed discharge (harm to POTW or environment). Cease-and-Desist Order requiring IU to halt the illegal discharge immediately or terminate its discharge altogether. Issuance of an Agreed Order or Compliance Order assessing a penalty per day of violation and addressing costs borne by the Utility AM,M Yes
  Repeated failure to report spills. Show--Cause Order assessing a penalty per incidence and requiring the IU to appear before the Manager to show cause why further enforcement should not be pursued. AM,M Yes
2.  Falsification First Occurrence. Show-Cause Order requiring IU to appear before the Assistant Manager to show cause why enforcement action should not be pursued. PS,AM Yes
  Subsequent occurrences. Civil litigation. UB Yes
3. Failure to Monitor Correctly Failure to monitor all pollutants as required by IU's permit Informal meeting with IU to review required sampling and reporting. PS No
  Failure to monitor all pollutants as required by IU's permit (second occurrence). NOV requiring complete sampling and analysis with report due no later than 30 calendar days from receipt of NOV. PS,AM No
  Reoccurring failure to monitor properly (third occurrence). Show-Cause Order assessing a penalty for each incidence and requiring the IU to appear before the Manager to show cause why further enforcement should not be pursued. Am,M Yes
4. Improper Sampling (Incorrect Location, Sample Type, or Collection Technique). No evidence of intent (first violation). NOV explaining correct procedure and requiring proper sampling for the next self-monitoring report. PS,AM No
  Improper sampling continues (second violation). Informal meeting with IU to review proper sampling criteria. PS,AM No
  Evidence of intent. (Failure to properly sample after informal meeting is viewed as evidence of intent). Show-Cause Order assessing a penalty for each incidence. Order requires IU to appear before the Manager to show cause why further enforcement should not be pursued. Am,M Yes
         

Compliance Violations

1. Failure to Install Monitoring Equipment as Required by IU's Permit or Order. Missed final installation deadline. NOV requiring complete installation within 30 calendar days of receipt of NOV. PS,AM No
  Noncompliance with NOV (delay of more than 30 calendar days). Compliance Order requiring final installation by a specified deadline. Assessment of a daily penalty if the requirements of this order are not met. AM,M Yes
2. Compliance Schedules(in a Permit or Order). Missed interim milestone date by fewer than 30 days and will not affect final compliance deadline. NOV that restates any remaining milestone deadlines. PS,AM No
  Missed interim milestone date by fewer than 30 days and will affect final compliance deadline. Compliance Order detailing revised compliance schedule. Order may assess fines if delay was avoidable (without good cause). PS,AM No
  Missed interim milestone date by more than 30 days and will not affect final compliance deadline. Informal meeting with IU to review compliance schedule, milestone dates, and final compliance deadline. PS,AM No
  Missed interim milestone date by more than 30 days and will affect final compliance deadline. Show-Cause Order requiring IU to appear before the Manager to show cause why further enforcement should not be pursued. Must result in a revised Compliance Order. AM,M No
  Missed interim milestone date by more than 90 days. Civil litigation UB Yes
3. Missed Final Compliance Deadline Failure to comply with Administrative Order. Compliance Order assessing a penalty per day past the final compliance deadline and requiring immediate compliance. Civil litigation should be pursued if IU has not complied within 30 calendar days of the original final compliance deadline. AM,M Yes

Other Violations

1. Waste Streams are Diluted Dilution of regulated wastestreams with non-polluted water. NOV citing regulatory prohibition against dilution and requiring correction within 30 calendar days of receipt of the NOV. PS,AM No
  Recurring violations (dilution continues to occur after NOV). Informal meeting with IU to review ordinance prohibitions. Issuance of a Compliance Order with deadline for correction. PS,AM No
2. Failure to Mitigate Noncompliance or Halt Production Failure to reduce the severity of violation(s) and/or Halt Production Civil prosecution seeking an injuction to halt discharge. Termination of service if potential for POTW/environment harm is evident. M,UB Yes

Violations Detected During a Site Investigation

1.Entry Denial Entry Denial ot consent withdrawn. Copies of records denied. Obtain warrant and return to IU. PS,AM No
2. Illegal Discharge [ Violation of EPA General Prohibited Discharge Standards (40 CFR 403.5 (a) and (b)] No harm to POTW or environment . No interference or pass-thriough at the POTW. NOV explaining the General Prohibited Discharge Standards as contained in 40 CFR (Code of Federal Regulations) 403.5 (a) and (b). PS,AM No
  Discharge causes harm, pass-through, and/or interference. Cease-and-Desist Order requiring the IU to halt the violation immediately or terminate the discharge altogether. Issuance of a Compliance Order assessing any penalties and/or costs the Board deems appropriate. Am,M Yes
3. Improper Sampling Sampling at incorrect location, using improper technique, or wrong sample type (unintentional). NOV explaining correct procedure or location PS,AM No
4. Inadequate Record keeping Inspector finds incomplete or missing (no evidence of intent). NOV explaining the required record keeping and documentation. PS,AM No
  Resuming Compliance Order requiring proper maintenance of records. Assessment of penalty to be based on severity of violation. AM,M No
5. Failure to Report Additional Monitoring Inspector finds additional files. NOV. PS,AM No
  Reoccurring (considerable falsification). Compliance Order requiring submittal of all additional monitoring. Assessment of a penalty to be based on the severity of the violation. Am,M Yes