[Amended 10-20-1997 by L.L. No. 5-1997]
A. The enforcement response plan will:
(1)
Describe how the Village of Carthage will investigate
instances of noncompliance.
(2)
Describe the types of escalated enforcement
actions that the Village will take in response to all anticipated
types of industrial user violations and the time periods within which
to initiate and follow up these actions.
(3)
Adequately reflect the Village's primary responsibility
to enforce all applicable pretreatment standards and requirements,
as detailed in 40 CFR 403.8(f)(1) and (f)(2).
B. Definitions and word usage. Terms and abbreviations used in the plan are defined below. Specific enforcement responses that appear on this plan are described in Chapter
5 of the EPA manual, Guidance for Developing Control Authority Enforcement Response Plans, dated September 1989.
CIVIL LITIGATION
Civil litigation against the industrial user seeking equitable
relief, monetary penalties and actual damages.
CRIMINAL PROSECUTION
Pursuing punitive measures against an individual and/or organization
through a court of law.
FINE
Monetary penalty assessed by the Village Board. Fines should
be assessed by the Pretreatment Officer.
LT
Laboratory technician.
MEETING
Informal compliance meeting with the IU to resolve recurring
noncompliance.
SHOW CAUSE
Formal meeting requiring the IU to appear and demonstrate
why the VB should not take a proposed enforcement action against it.
The meeting may also serve as a forum to discuss corrective actions
and compliance schedules.
SNC DETERMINATION
Significant noncompliance determination.
(1)
Sixty-six percent or more violations: chronic
violations of wastewater discharge limitations (66% or more of all
measurements exceed the daily maximum or the long-term average limit
for the same pollutant parameter).
(2)
Thirty-three percent or more TRC violations:
technical review criteria (TRC) violations [33% or more of all measurements
exceed 1.2 times the limit for toxics or 1.4 times the limit for biochemical
oxygen demand (BOD), total suspended solids (TSS) and oil and grease
(O&G)].
(3)
Interference or pass through: any other violation
of an effluent limit that the control authority determines has caused,
either alone or in combination with other discharges, pass through
or interference.
(4)
Imminent endangerment to health or the environment:
any discharge that causes endangerment to human health, welfare or
the environment, or causes the POTW to exercise its emergency authority
to halt or prevent such discharge.
(5)
Failure to meet compliance schedule milestone
within 90 days: failure to meet a compliance schedule milestone date
or enforcement order within 90 days after the scheduled date for starting
construction, completing construction or attaining final compliance.
(6)
Late reports (more than 30 days): reports that
are more than 30 days late (e.g., BMRs, ninety-day reports, periodic
reports and compliance schedule milestone reports).
(7)
Failure to accurately report noncompliance:
failure to accurately report noncompliance.
(8)
Any other violation determined by POTW: any
violations determined to adversely affect the operation or implementation
of the pretreatment program.
SV
Significant violation.
C. Range of enforcement responses.
(1)
Unauthorized discharges (no permit).
|
Noncompliance
|
Nature of Violation
|
Enforcement Responses
|
Personnel
|
---|
|
Unpermitted discharge
|
IU unaware of requirement; no harm to POTW/
environment
|
Phone call; NOV with application form
|
PO
|
|
|
IU unaware of requirement; no harm to POTW
|
AO with fine
Civil action
|
PO
VB
|
|
|
Failure to apply continues after notice by POTW
|
Civil action
Criminal investigation
Terminate service
|
VB
VB
VB
|
|
Nonpermitted discharge (failure to renew)
|
IU has not submitted application within 10 days
of due date
|
Phone call; NOV
|
PO
|
(2)
Discharge limit violation.
|
Noncompliance
|
Nature of Violation
|
Enforcement Responses
|
Personnel
|
---|
|
Exceedance of local or federal standard (permit
limit)
|
Isolated, not significant
|
Phone call; NOV
|
LT, PO
|
|
|
Isolated, significant (no harm)
|
AO to develop spill- prevention plan and fine
|
PO
|
|
|
Isolated, harm to POTW or environment
|
Show cause order
Civil action
|
PO, VB
VB
|
|
|
Recurring, no harm to POTW/
environment
|
AO with fine
|
PO
|
|
|
Recurring, significant (harm)
|
AO with fine
Show cause order
Civil action
Terminate service
|
PO
PO, VB
VB
VB
|
(3)
Monitoring and reporting violations.
|
Noncompliance
|
Nature of Violation
|
Enforcement Responses
|
Personnel
|
---|
|
Reporting violation
|
Report is improperly signed or certified
|
Phone call or NOV
|
PO
|
|
|
Report is improperly signed or certified after
notice by POTW
|
AO
Show cause order
|
PO
PO, VB
|
|
|
Isolated, not significant (e.g., 5 days late)
|
Phone call; NOV
|
LT, PO
|
|
|
Significant (e.g., report more than 30 days
late)
|
AO to submit with fine per additional day
|
PO
|
|
|
Reports are always late or no reports at all
|
AO with fine
Show cause order
Civil action
|
PO
PO, VB
VB
|
|
|
Failure to report spill or changed discharge
(results in harm)
|
NOV
|
PO
|
|
|
Repeated failure to report spill or changed
discharge (results in harm)
|
AO with fine
Civil action
|
PO
VB
|
|
|
Repeated failure to report spills
|
Show cause order
Terminate service
|
PO, VB
VB
|
|
|
Falsification
|
Criminal investigation
Terminate service
|
VB
VB
|
|
Failure to monitor correctly
|
Failure to monitor all pollutants as required
by permit
|
NOV or AO
|
PO
|
|
|
Recurring failure to monitor
|
AO with fine
Civil action
|
PO
VB
|
|
Improper sampling
|
Evidence of intent
|
Criminal investigation
Terminate service
|
VB
VB
|
|
Failure to install monitoring equipment
|
Delay of less than 30 days
|
NOV
|
PO
|
|
|
Delay of 30 days or more
|
AO to install with fine for each additional
day
|
PO
|
|
|
Recurring violation of AO
|
Civil action
Criminal investigation
Terminate service
|
PO
VB
VB
|
|
Compliance
|
Missed milestone by less than 30 days, or will
not affect final milestone (good cause for delay)
|
NOV or AO with fine
|
PO
|
|
|
Missed milestone by more than 30 days, or will
affect final milestone (no good cause for delay)
|
Show cause order
Civil action
Terminate service
|
PO, VB
VB
VB
|
|
|
Recurring violation or violation of schedule
in AO
|
Civil action
Criminal investigation
Terminate service
|
VB
VB
VB
|
(4)
Other permit violations.
|
Noncompliance
|
Nature of Violation
|
Enforcement Responses
|
Personnel
|
---|
|
Waste streams are diluted in lieu of treatment
|
Initial violation
|
AO with fine
|
PO
|
|
|
Recurring
|
Show cause order
Terminate service
|
PO, VB
VB
|
|
Failure to mitigate non- compliance or halt
production
|
Does not result in harm
|
NOV
|
PO
|
|
|
Does result in harm
|
AO with fine
Civil action
|
PO
VB
|
|
Failure to properly operate and maintain pretreatment
facility
|
Does not result in harm
|
NOV
|
PO
|
|
|
Does result in harm
|
AO with fine
Civil action
|
PO
VB
|
(5)
Violations detected during site visits.
|
Noncompliance
|
Nature of Violation
|
Enforcement Responses
|
Personnel
|
---|
|
Entry denial
|
Entry denied or consent withdrawn; copies of
records denied
|
Obtain warrant and return to IU
|
LT
|
|
Illegal discharge
|
No harm to POTW or environment
|
AO with fine
|
PO
|
|
|
Discharges cause harm or evidence of intent/negligence
|
Civil action
Criminal investigation
|
VB
VB
|
|
|
Recurring, violation of AO
|
Terminate service
|
VB
|
|
Improper sampling
|
Unintentional sampling at incorrect location
|
NOV
|
LT, PO
|
|
|
Unintentionally using incorrect sample type
|
NOV
|
LT, PO
|
|
|
Unintentionally using incorrect sample collection
techniques
|
NOV
|
LT, PO
|
|
Inadequate record keeping
|
Inspector finds files incomplete to missing
(no evidence of intent)
|
NOV
|
LT, PO
|
|
|
Recurring
|
AO with fine
|
PO
|
|
Failure to report additional monitoring
|
Inspector finds additional files
|
NOV
|
LT, PO
|
|
|
Recurring
|
AO with fine
|
PO
|
D. Time frames for responses.
(1)
All violations will be identified and documented
within 10 days of receiving compliance information.
(2)
Initial enforcement responses, involving contact
with the industrial user and requesting information on corrective
or preventative actions, will occur within 15 days of violation detection.
(3)
Followup actions for continuing violations will
be taken within 60 days of the initial enforcement response. For all
continuing violations, the response, will include a compliance schedule.
(4)
Violations which threaten health, property or
environmental quality are considered emergencies and will receive
immediate responses such as halting the discharge or terminating service.
(5)
All violations meeting the criteria for significant
noncompliance will be addressed with an enforceable order within 30
days of the identification of significant noncompliance.
(6)
The Pretreatment Officer shall carry out the actions in Subsection
D(1) through
(5).
E. Enforcement options. This subsection provides a definition
of the different types of enforcement actions that will be taken for
various violations and also how and by what means the Villages of
Carthage and West Carthage will proceed in taking these actions.
(1)
Phone call. This type of enforcement option
will be used to obtain information quickly. A phone call will be made
to the industry's contact person by the Pretreatment Officer or the
Chief Operator at the wastewater treatment plant when there is reason
to believe that a user has accidentally or intentionally discharged
a wastewater that is or could be unpermitted or exceed local or federal
standard discharge limits. Also, to obtain additional information
regarding reports submitted by the user, a phone call will be made
to the user. The Pretreatment. Officer or the Chief Operator will
make a written record of the details of the phone conversation, what
action will have to be taken in the near future to remedy the situation
and place this in the appropriate user's file.
(2)
Notice of violation.
(a)
A notice of violation (NOV) will be issued by
the Pretreatment Officer to the user when there has been an instance
of an unauthorized discharge, an isolated exceedance of permit limits
or a minor monitoring and reporting violation, failure to monitor
correctly, failure to install monitoring equipment, being late with
a compliance schedule, failure to mitigate noncompliance, failure
to halt production, failure to properly operate a pretreatment facility,
improper sampling or keeping inadequate records.
(b)
This enforcement option provides a good written
record for the Village in the event that enforcement procedures have
to escalate. In, some instances, the NOV may contain a simple compliance
schedule for such things as resampling or revised procedures to prevent
reoccurrence of the noncompliance.
(3)
Administrative orders. Administrative orders (AO's) are enforcement documents which direct industrial users to undertake or to cease specified activities. This enforcement tool would involve a negotiated settlement between the Village and the significant industrial user (SIU) in question. The order would take the form of an agreement, being signed by both the Pretreatment Officer and the Water Pollution Control Facilities Management Board (WPCFMB) Chairman or other suitable representative of the SIU. The AO may or may not contain a fine, depending on circumstances. If a fine were levied, it would be assessed in accordance with Article
XII of the Sewer Use ordinance, which allows for civil penalties not exceeding $1,000 per day per violation. In almost all cases, the AO will contain a compliance schedule for instituting procedures, modification of operations, equipment installation, etc. The AO will be initiated by the Pretreatment Officer and be brought to the attention of the Village Board and its attorney by the Pretreatment Officer with a recommendation for appropriate action.
(4)
Show cause order. This action will be used as a step in conjunction with the action(s) previously listed above. Any proceedings under this enforcement action would be in accordance with Article
XII of the Sewer Use Ordinance. Under a show cause order, the Village will order the user to appear and show cause before the Village Board why a proposed enforcement action should not be taken. Testimony will be taken under oath and recorded stenographically. After review of all the evidence gathered, the Village Board may issue further orders and directives as necessary and appropriate. Initiation of a show cause order will be by the Pretreatment Officer and followed through by the Village Board and its attorney in accordance with the above-referenced section of Article
XII of the Sewer Use Ordinance.
(5)
Civil action. Civil action may be used by the Village in order to recover penalties or damages and is governed under Article
XII of the Sewer Use Ordinance. This enforcement response would be used in very severe cases where the Village has suffered monetary expense or property damage, such as for state pollutant discharge elimination system (SPDES) permit violation fines, environmental damage or damage to Village-owned facilities and for very serious violations by a user which have either gone uncorrected by previous Village actions or in which the user is uncooperative in correcting the violation situation. Civil actions would be recommended by the Pretreatment Officer and followed through by the Village Board and the Village's legal counsel.
(6)
Termination of service. Termination of service is a last resort option which will be used in circumstances in which there is immediate danger to the Village plant, personnel, the general public or the environment. This enforcement option would be exercised in accordance with Article
XII of the Sewer Use Ordinance. Service could be terminated upon order of the Village Board to the user, if the user were not cooperative; and if the user were cooperative, the connection could be either plugged or physically severed. The Pretreatment Officer would initiate actions and secure the consent of the Village Board in accordance with the provisions of Article
XII of the Sewer Use Ordinance.