City of Fulton, NY Chapter A702 Industrial Pretreatment Program

[HISTORY: Adopted by the Common Council of the City of Fulton 6-7-1994 (Ch. A183 of the 1991 Code). Amendments noted where applicable.]

GENERAL REFERENCES

Sewers — See Ch. 514.

Water — See Ch. 624.

§ A702-1 Program personnel.

A. Industrial Pretreatment Coordinator. The Industrial Pretreatment Coordinator manages the pretreatment program, sets up sampling schedules and locations, sets up samplers at industries and other appropriate locations, runs laboratory tests when necessary, reviews and records sampling and test data for compliance, issues notices of violation (NOVs), compliance schedules, etc., handles all correspondence between the City and industry, does quarterly industrial billing for sewer use, issues permits to all dischargers in need of a permit, enforces the Sewer Use Ordinance[1] for all industrial users, inspects industrial dischargers and reviews industrial self-monitoring reports for compliance.

[1] Editor's Note: See Ch. 514, Sewers.

B. Two lab technicians/samplers. The lab technicians/samplers sample industries assigned by the Pretreatment Coordinator, analyze samples for pollutant levels, send samples to an independent laboratory for analysis whenever necessary, maintain sampling equipment and help the Pretreatment Coordinator with industrial inspections.

C. Water and Sewer Commissioner. The Water and Sewer Commissioner transmits severe violations to the City Attorney when legal advice or intervention becomes necessary.

D. City Attorney. The City Attorney handles legal enforcement when phone calls, NOVs, administrative orders, compliance schedules and fines fail.

§ A702-2 Time frame for review and response to self-monitoring reports, noncompliance reports, progress reports, violations and emergencies.

A. All reports required of the permittee are immediately reviewed upon receipt by the Pretreatment Coordinator. The Pretreatment Coordinator is the first person to open and review a report. In his absence, a pretreatment lab technician will be assigned these duties.

B. Self-monitoring reports are due by the 25th day of the month following the month sampled. This is a provision of the wastewater discharge permit, and a late report is considered a violation. Progress and compliance reports which have deadlines are also covered in the permit. In order to ensure timely receipt of these reports, the Escalating Enforcement Response Guide calls for a phone call to the permittee on the day following the deadline. If the report is late due to circumstances beyond the control of the permittee, they will be given more time, but a new deadline will be scheduled during the phone conversation. In this case, if it is possible for the contracted lab to fax the monitoring results to the Pretreatment Coordinator, this will be done. If there is no reasonable excuse for the late report or if the permittee fails to meet the new deadline given them, then an NOV will be issued by the Pretreatment Coordinator within two days of the deadline.

C. Failure by the permittee to respond to the NOV in writing within 15 days will result in a notice of significant noncompliance (NSNC) being issued by the Pretreatment Coordinator within two days of the fifteen-day deadline. Along with the NSNC, the permittee shall be assessed a fine of $300 per day from the original due date of the report until the date the report is received by the Pretreatment Coordinator.

D. If a self-monitoring report shows a violation of the discharge permit, the Pretreatment Coordinator or his replacement will document and respond to the violation within two days. Within two days, the violator will be contacted by phone or in person to notify them of the violation and demand a resample or the pretreatment lab tech will resample in their place.

E. Follow-up responses for continuing or recurring violations will be taken within 60 days of the initial enforcement response.

F. Violations which may threaten health, property or the environment are immediately responded to by the Pretreatment Coordinator, a lab technician and in some instances the Water and Sewer Commissioner. The discharge will be immediately halted and other appropriate enforcement responses shall be taken within 30 days.

§ A702-3 Enforcement procedures.

A. Under Article X of the City of Fulton Sewer Use Ordinance (SUO),[1] the enforcement officer (Pretreatment Coordinator), after discovering that there has been a violation of the SUO or, in the case of permitted industries, the industrial wastewater discharge permit, shall give notice to the violator outlining the violation and ordering remedial action to be taken. This notice and order to remedy can be in any of the following forms.

[1] Editor's Note: See Ch. 514, Sewers, Art. X.

B. The purpose of these enforcement procedures is to help the City of Fulton pretreatment personnel in enforcement of industrial wastewater discharge limits which are either issued in the industrial wastewater discharge permits, set by the United States Environmental Protection Agency for categorical industries or listed in the City of Fulton Sewer Use Ordinance.

C. For any violations found by either the pretreatment program's industrial monitoring program or by the industry's self-monitoring, the Pretreatment Coordinator shall review the violation and determine the appropriate response to be taken.

D. The enforcement action will depend on the violation's severity, duration and effect on the publicly owned treatment works (POTW) and environment as well as the industry's compliance history. The Enforcement Response Plan includes a range of informal and formal responses to violations.

§ A702-4 Levels of response.

A. The informal enforcement response may be a telephone call, inspection, informal meeting or a notice of violation to the industrial user.

B. A formal response may be an administrative order, civil suit, criminal suit or termination of service, depending on the severity of the violation, its duration and effect on the POTW and environment and the industrial user's compliance history.

C. If the violation is infrequent, isolated and causes no harm to the POTW or the environment, the violation may be considered insignificant. An insignificant violation would justify an informal response. A recurring insignificant violation would require a formal response. If the violation is significant, the pretreatment program personnel will determine the most appropriate formal enforcement response.

D. A violation which is recurring, frequent and causes harm to the POTW or the environment will be considered a significant violation. A significant violation will merit a formal enforcement response. This response will be proportionate to the violation's severity, promote compliance in a timely manner and adhere to the City's Sewer Use Ordinance.[1]

[1] Editor's Note: See Ch. 514, Sewers.

§ A702-5 Use of Enforcement Response Guide.

The use of the Enforcement Response Guide shall be to:

A. Locate the type of violation by the heading.

B. Identify the most accurate description of the violation.

C. Assess the appropriateness of the recommended enforcement response.

D. If the industrial user's response is not received or the violations continue, follow up with escalated enforcement action.

§ A702-6 Definitions of enforcement responses.

A. Informal response. An informal response can be an inspection, a phone call, an informal meeting or a notice of violation to the industry in violation. Normally, an informal response will require the industry to resample and test for the violated parameter, or the pretreatment program may resample and test. This response will be taken within two days of detection of the violation.

B. Notice of violation (NOV). The NOV can be a letter or documented phone call within two days after the violation is noted. The NOV will be sent by certified mail or hand delivered to the industry contact person. A response from the industry will be required within 15 days. The industry will be required to explain the violation and provide a schedule for correcting the violation within 15 days. If the Pretreatment Coordinator receives no written response within 15 days of the delivery of the NOV to the industry or the Pretreatment Coordinator considers the response to be inadequate for the nature of the violation, then a notice of significant noncompliance (NSNC) will be issued.

C. Notice of significant noncompliance (NSNC). A notice of significant noncompliance will be sent by certified mail or hand delivered within five days of determination of its need. A written response will be required within 10 days. The industry will be required to explain in full a previous response that was found to be inadequate or why no response at all was sent to the NOV. If it is deemed feasible by the Pretreatment Coordinator that compliance can be achieved within 30 days or less, then the NSNC will require that a thirty-day schedule of compliance be sent with the industry's response. If the industry indicates that attaining compliance with its permit limits will take longer than 30 days, a consent order could be negotiated. If the Pretreatment Coordinator does not receive a response to the NSNC within 10 days, the industry will then be issued a second NSNC.

D. Notice to show cause. If an industry fails to respond to an NOV or NSNC, the Pretreatment Coordinator may issue a notice to show cause, which is an administrative order requiring the industry to appear at a designated time and place to explain why compliance has not been achieved and show cause why more severe enforcement procedures should not be taken.

E. Second notice of significant noncompliance. A second notice of significant noncompliance will be sent by certified mail or delivered by the Pretreatment Coordinator within five days after the required response date of the first notice of significant noncompliance. The second NSNC will carry an administrative fine of $1,000 per day per violation. The only acceptable response from an industry at this point shall be payment of the fine and a request for a consent order. Response to the second NSNC will be required within 10 days.

F. Compliance schedule. A compliance schedule is an administrative order, issued by the Pretreatment Coordinator, by which the violator agrees to be bound. The violator may request a compliance schedule or the Pretreatment Coordinator may determine that one is necessary. Once the decision is made to use a compliance schedule, the Pretreatment Coordinator will schedule a compliance meeting between the violator and the pretreatment personnel to negotiate an enforceable compliance schedule.

G. Compliance meeting.

(1) A compliance meeting is a meeting between the industry representatives and pretreatment personnel to explain the violation to the industry and draft a remedial plan to bring the industry into compliance with its discharge permit. A letter is used to explain the problem and arrange the compliance meeting with the industry. The meeting will cover the following:

(a) The nature of the violation.

(b) Permit regulations.

(c) Previous violations.

(d) Effects of the violation.

(e) Causes of the violation.

(f) Steps to be taken to prevent recurrence of the violation.

(g) Schedule for remedial steps.

(2) The schedule for remedial steps will be drafted at this meeting. It may be finalized at a later date and signed by both parties. Necessary tasks, specific time schedules and reporting responsibilities should be determined at the meeting. Finalization of the consent order should be completed as soon as possible, but not more than 10 days after the meeting.

H. Termination of service. The Pretreatment Coordinator has the option to advise the Sewer and Water Commissioner of continued noncompliance or discharge that may be harmful to the POTW or environment, and a decision may be made by both to terminate either water or sewer service, or both, to the violating industry.

I. Judicial actions. Civil actions can be taken when an industry is unlikely to successfully execute the steps that are necessary to achieve compliance, when the violation is severe enough to warrant such action or when there is an immediate danger presented by an industry's noncompliance. A civil action may be used to recover costs of damages and labor associated with the violation, including any penalties paid for National Pollutant Discharge Elimination System (NPDES) violations by the POTW.

§ A702-7 Escalating Enforcement Response Guide.

A. Abbreviations:

	AO — Administrative order.
	NOV — Notice of violation.
	NSNC — Notice of significant noncompliance.
	POTW — Publicly owned treatment works, including collection facilities.
	SUO — City of Fulton Sewer Use Ordinance.[1]

[1] Editor's Note: See Ch. 514, Sewers.

B. One or all of the enforcement responses for each violation may be used. It is up to the discretion of the Pretreatment Coordinator, taking into consideration the severity, frequency and possible intent of the violation.

	Violation		Time Frame Within	Enforcement Response
	Discharge Violation/Unpermitted
	1.	SUO discharge limit violation, unaware of requirements, no harm to POTW or environment	7 days	a.	NOV Copy of SUO permit application or compliance order
		No response to enforcement response a.	15 days	b.	Cease and desist order Fine of $300 per day per violation
		No response to enforcement response b.	60 days	c.	Termination of water and sewer services
	2.	SUO discharge limit violation, unaware of requirements, harm to POTW or environment	1 day	a.	Investigate NOV Cease and desist order
		No response to enforcement response a.	7 days	b.	Fine of $1,000 per day per violation Termination of water and sewer services
	3.	SUO discharge limit violation, aware of requirements, no harm to POTW or environment	7 days	a.	Investigate NOV Fine of $300 per day per violation
	4.	SUO discharge limit violation, aware of requirements, harm to POTW or environment	1 day	a.	Investigate NOV Cease and desist order Fine of $1,000 per day per violation
		No response to enforcement response a.	7 days	b.	Termination of water and sewer services
	5.	SUO discharge limit violation, no harm to POTW or environment, recurring after response 3a. has been enforced	21 days	a.	Second NOV Compliance order Fine of $500 per day per violation
	6.	SUO discharge limit violation, failure to comply with previous enforcement response, evidence of intent or negligence	30 days from second NOV	a.	Terminate water and sewer services Fine of $1,000 per day per violation Criminal investigation and penalties
				b.	If it was the intent of the violator to gain economic benefit from the violation, then a fine representing the approximate economic benefit to the violator shall be imposed
	Discharge Permit Violations
	1.	Permit limit violations insignificant, infrequent or isolated	2 days	a.	Phone call and/or NOV Resample by pretreatment program or industry to determine if the violation is isolated or part of a pattern of noncompliance
	2.	Permit limit violations isolated, infrequent but significant, no harm to POTW or environment	2 days	a.	NOV and phone call Investigate cause and methods to prevent violation from recurring and implement these methods
	3.	Permit limit violations isolated, infrequent but significant, causing harm to POTW or environment	1 day	a.	NSNC and phone call Investigate AO Fine of at least $1,000 or compensation for cleanup, repair or other expenses caused by the violation, whichever is greater
	4.	Permit limit violations recurring, no harm to POTW or environment	30 days from third NOV for the same violation	a.	NSNC and compliance schedule
		No response to enforcement response a.	21 days from first NSNC	b.	Second NSNC Fine of $300 per day per violation
		No response to enforcement response b.	15 days from second NSNC	c.	AO
		No response to enforcement response c.	21 days from AO	d.	Criminal investigation Fine of $1,000 per day per violation Terminate water and sewer service
	5.	Permit limit violations recurring, harm to POTW or environment	1 day	a.	NSNC and phone call Cease and desist order $1,000 fine per violation per day and compensation for cleanup, repair or other expenses caused by the violation Immediate termination of water and sewer service until compliance with permit limits can be restored AO
	6.	Unreported slug load, no interference, pass-through or damage	2 days	a.	NSNC and phone call
	7.	Unreported slug load, interference, pass-through or damage	1 day	a.	Investigate AO and NSNC Fine of at least $1,000 and compensation for cleanup, repair or other expenses caused by the slug load Termination of water and sewer service until compliance is restored
	8.	Reported slug load, isolated, infrequent, no interference, pass-through or damage	7 days	a.	Investigate NOV or phone call
	9.	Reported slug load, isolated, infrequent, with known interference, pass-through or damage	1 day	a.	Investigate AO and NSNC Fine of at least $1,000 and compensation for cleanup, repair or other expenses caused by the slug load
	10.	Reported slug load, frequent, recurrence, any instance	1 day	a.	AO Fine of $500 per occurrence
	11.	Unreported pretreatment bypass, emergency, unscheduled, equipment or maintenance	7 days	a.	NOV and/or phone call Compliance meeting
	12.	Unreported pretreatment bypass, evidence of negligence or intent	2 days	a.	Notice to show cause AO and NSNC Fine of at least $1,000, or, if bypass is proven to have benefited the industry financially, the fine can be as much as the economic benefit to the industry
	Reporting Violations
	1.	Self-monitoring, progress, compliance, etc., reports not submitted on time	1 day	a.	Phone call, NOV if necessary
		Self-monitoring report not submitted by due date given during phone call (a.)	2 days	b.	NOV
		Failure to respond to NOV (b.)	15 days	c.	NSNC Fine of $300 per day from due date of report until date report is received
	2.	Self-monitoring report does not include all parameters scheduled to be sampled for in permit	1 day	a.	Phone call Order to sample for missed parameters during the next scheduled sampling event
	3.	Self-monitoring report does not include all required items (chain of custody, flow figures, lab report, etc.)	1 day	a.	Phone call
	Milestone Violations
	1.	Failure to submit written response to NOV within 15 days	2 days	a.	NSNC
		No response to enforcement response a.	21 days	b.	Second NSNC Fine of $1,000 per day dating from due date of response to initial NSNC
		No response to enforcement response b.	30 days	c.	Termination of water and sewer services Consent order
	2.	Failure to complete a compliance schedule deadline	2 days	a.	Phone call and NOV
			14 days	b.	NSNC
			21 days	c.	Notice to show cause
			30 days	d.	Fine of $300 per day from compliance schedule deadline until deadline has been achieved

C. All of the preceding violations and their appropriate responses shall be kept in the file of each business or industry. These violations may be taken into account when the industry must reapply for a discharge permit. If the response to a violation is a telephone call, this call shall be logged in the Pretreatment Coordinator's telephone log.