Village of Carthage, NY Enforcement and Penalties

[Amended 10-20-1997 by L.L. No. 5-1997]

The enforcement response plan will:

Describe how the Village of Carthage will investigate instances of noncompliance.

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).

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.

Administrative order.

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.

Industrial user.

Laboratory technician.

MEETING

Informal compliance meeting with the IU to resolve recurring noncompliance.

NOV

Notice of violation.

Pretreatment Officer.

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.

Significant violation.

Village Board.

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

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).

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.