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I6. Resolution 6141 Sewer Enforcement Responce PlanKALISPELL City of Kalispell Post Office Box 1997 - Kalispell, Montana 59903 Telephone: (406) 758-7701 Fax: (406) 758-7758 MEMORANDUM To: Doug Russell, City Manager From: Susie Turner, P.E. Public Works Director Meeting Date: 7/3/2023 Re: Resolution 6141 - Sewer Enforcement Response Plan (ERP) BACKGROUND: Kalispell's Wastewater Treatment Plant MPDES permit requires the creation and implementation of a local pretreatment program. The local program must administer and enforce all national pretreatment standards and requirements in accordance with the Environmental Protection Agency (EPA) National Pretreatment Program published in 40 CFR Part 403. In order to adhere to the requirements within the Environmental Protection Agency (EPA) National Pretreatment Program (40 CFR Part 403), Kalispell is required to establish a Pretreatment and Nondomestic Sewer Use Ordinance, along with adopting Local Limits Justification and Enforcement Response Plan (ERP) Resolutions. The proposed Sewer Enforcement Response Plan (ERP) is referenced in Article 8 - Compliance and Enforcement within the Pretreatment and Nondomestic Sewer Use Ordinance 1911. Staff presented an overview of the proposed ERP and related pretreatment documentation at the April 24, 2023 Work Session, in addition two public hearings were held on May 15, 2023 and June 19, 2023. No public comment was received regarding the ERP. Before Council tonight is the recommendation to adopt Resolution 6141, a resolution which supports the Pretreatment and Nondomestic Sewer Use Ordinance 1911 and satisfies the requirements of the National Pretreatment Program (40 CFR Part 403). ACTION REQUESTED: Motion and vote to approve Resolution 6141 - Sewer Enforcement Response Plan (ERP) for Kalispell's pretreatment program. ALTERNATIVE: As suggested by City Council. ATTACHMENTS: Resolution 6141- Sewer Enforcement Response Plan (ERP) with Exhibit A RESOLUTION NO. 6141 A RESOLUTION TO ADOPT AN ENFORCEMENT RESPONSE PLAN FOR SEWER MANAGEMENT PURSUANT TO FEDERAL AND STATE LEGAL REQUIREMENTS AND SETTING AN EFFECTIVE DATE. WHEREAS, the City of Kalispell is required to remain in compliance with 40 CFR (Code of Federal Regulation) 403 for the Sewer Wastewater Effluent Discharge Associated with Montana Pollutant Discharge Elimination Permit; and WHEREAS, concurrently with this Resolution, Ordinance No. 1911 is being considered by the City Council for the purpose of maintaining ongoing compliance with the above described statutes and regulations and is scheduled to be approved on second reading by the City Council on July 17, 2023; and WHEREAS, pursuant to 40 CFR 403 the City is further required to develop and implement an Enforcement Response Plan (ERP) to ensure compliance with Wastewater Pretreatment and Sewer Use Program regulations; and WHEREAS, upon consideration of the recommendations made by the City Public Works professional staff, and upon review of the proposed ERP, the City Council of the City of Kalispell finds that it is in the best interest of the City to adopt the Enforcement Response Plan for Sewer Management as set forth in Exhibit "A", attached hereto. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF KALISPELL AS FOLLOWS: SECTION 1. The City of Kalispell Enforcement Response Plan for Sewer Management, attached hereto as Exhibit "A", shall be and is hereby approved and adopted and shall be implemented by the City of Kalispell until hereafter amended or replaced. Exhibit "A" shall be made available to the public upon request at the city offices of Public Works. SECTION 2. This Resolution shall become effective upon the effective date of Ordinance No. 1911. PASSED AND APPROVED BY THE CITY COUNCIL AND SIGNED BY THE MAYOR OF THE CITY OF KALISPELL, THIS 3RD DAY OF JULY, 2023. ATTEST: Aimee Brunckhorst, CMC City Clerk Mark Johnson Mayor Resolution 6141, Exhibit A CITY OF KALISPELL SEWER ENFORCEMENT RESPONSE PLAN (ERP) APRIL 2023 PURPOSE It is the responsibility of the City of Kalispell's Public Works Department along with the City Attorney to enforce all applicable Federal, State, and City Regulations. These City Regulations are outlined in 40 CFR (Code of Federal Regulation) 403 and in the Local Municipal Code. The ERR has been established as an element of the POTW s Wastewater Pretreatment and Sewer Use Program and is required as per 40 CFR 403.8(f)(5). The purpose of the ERR is to describe the City's policies and procedures to be followed in identifying, documenting, and responding to violations in order to provide consistent enforcement response for similar violations and circumstances. The ERR describes violations, defines a range of appropriate enforcement actions based on the nature and severity of the violation and other relevant factors, the time frames that responses will take place, and identifies personnel responsible for finalizing enforcement responses. JURISDICTION All entities discharging nondomestic waste to the POTW are subject to the provisions of the ERR The ERR does not preclude the Control Authority from taking any, all, or any combination of actions against a noncompliant User. ABBREVIATIONS AO Administrative Order CA Control Authority CO Compliance Order ERR Enforcement Response Plan IPC Industrial Pretreatment Coordinator NOV Notice of Violation POTW Publicly Owned Treatment Works WL Warning Letter DEFINITIONS Control Authority (City): The City of Kalispell, the Director (as defined in Section 1.2 (K), or a designee. Domestic Wastewater: Wastewater from normal residential activities including, but not limited to, wastewater from kitchen, bath, and laundry facilities. Wastewater from the personal sanitary conveniences (toilets, showers, bathtubs, fountains, non-commercial sinks, and similar structures) of commercial, industrial, or institutional buildings provided that the wastewater exhibits characteristics which are similar to those of wastewater from normal residential activities. Specifically excluded from this definition is wastewater from commercial, industrial, or institutional laundries or food preparation areas or facilities. User: Any source that contributes, causes or permits the contribution of industrial or commercial wastewater into the POTW. A source of indirect discharge. This term includes, but is not limited to, Industrial Users, Significant Industrial Users, Categorical Industrial Users, and Non -Categorical Industrial User. Publicly Owned Treatment Works (POTW): A treatment works, as defined by section 212 of the Act (33 U.S.C. §1292), which has jurisdiction over the Indirect Discharges to and the discharges from such a treatment works and is owned by the City as defined by section 502 (4) of the Act. This definition includes any devices or systems used in the collection, storage, treatment, recycling, and reclamation of sewage or industrial wastes of a liquid nature and any conveyances, which convey wastewater to a treatment plant. For the purpose of this Ordinance, POTW shall also include any sewers that convey wastewaters to the POTW from Indirect Dischargers outside the City who are, by contract or agreement with the City, Users of the City's POTW. The term also means the municipality as defined in section 502(4) of the Act, which has jurisdiction over the Indirect Discharges to and the discharges from such treatment works. PERSONNEL RESPONSIBILITIES Industrial Pretreatment Coordinator (IPC): The Industrial Pretreatment Coordinator is responsible for the day-to-day implementation and enforcement of the pretreatment program. The enforcement responses carried out by the Industrial Pretreatment Coordinator are as follows: • Informal notices (verbal and written) • Informal meetings • Notices of Violations • Compliance Orders • Administrative Orders • Referrals to the State or EPA for criminal action Director / Public Works Director: The Director has the responsibility to initiate the following enforcement actions at the recommendation of the IPC: • Administrative Orders • Consent Agreements • Administrative Fines • Referrals to the City Attorney for civil litigation • Referrals to the State or EPA for criminal action Page 3 of 14 City Attorney: The City Attorney will provide legal consultation as requested by the Director on Consent Agreements and Administrative Orders and will oversee all referrals for civil litigation and POTW initiated criminal investigations. DESCRIPTION OF INVESTIGATIVE PROCEDURES User Identification and Characterization: New and existing Users are inspected by pretreatment staff and asked to complete an online Industrial User Survey. Once the survey is completed the business is placed into one (1) of four (4) classifications based on the type of pollutants in their waste stream. The classifications are Fat, Oil and Grease (FOG), Sand, Oil and Grease (SOG), Dental Offices, and Other Pollutant Producers. Each User is then given a NAISC code (an EPA Classification Code) that designates each User based on pollutant characteristics. Permitting Procedures: Users currently possessing a Memorandum of Understanding (MOU), Users determined to be Significant Industrial Users, or any User that has a history of continued non- compliance will be required to obtain a Wastewater Discharge Permit. Once notified that a Wastewater Discharge Permit is required, existing Users will be provided 180 days to submit a Wastewater Discharge Permit application. The Director or designee has 90 days to review the Wastewater Discharge Permit application and either approve or deny the request. Approved Users will be issued Wastewater Discharge Permits and given 180 days to achieve the discharge limitations of the permit. New Users shall submit a Wastewater Discharge Permit application at least 90 days prior to the date when the discharge will begin. Wastewater Discharge Permits shall be valid for no more than five (5) years. Users denied Wastewater Discharge Permits shall be notified in writing and provided with an explanation of the grounds for the denial. The applicant may revise the Wastewater Discharge Permit application and resubmit for reconsideration. Once a Wastewater Discharge Permit is in place, the User shall follow all of the terms listed in the contents. Articles 4 and 5 of these City Regulations describe in detail the various types of Wastewater Discharge Permits, permit requirements, and permitting issuance. Self -Monitoring Report/Notification Procedures: Users which are issued Wastewater Discharge Permits shall provide reports to the City which contain all required information of the permit. These reports help the City ensure compliance with the Wastewater Discharge Permit requirements. Article 6 of these City Regulations describes the various types of reports and their contents. A signatory certification is required which holds the signing representative responsible under penalty of the law to provide true, accurate, and complete information. Control Authority Monitoring: Article 7, of these City Regulations provides the legal basis for inspection and sampling of any User. The purpose of inspections and sampling is to ensure compliance with Wastewater Discharge Permits and any other applicable requirement of these City Regulations. In the event that access to a User's premises is denied and in order to protect the health, safety and welfare of the community, the City may seek issuance of a search warrant. Compliance Evaluation / SNC Determination: Article 8 of these City Regulations provides the legal basis for determining if a User is in SNC. Section 8.2(B) of these regulations lists eight (8) different criteria that shall be deemed SNC. A User found to be in violation of one (1) or more of these criteria is considered in SNC. Annually, the City is required to publish in its largest newspaper a list of any business that it determined to be in SNC during the previous twelve (12) months. Enforcement for Page 4 of 14 SNC is determined based on the remedies describes in this Enforcement Response Plan. SNC is also defined on pages 6 and 7 of this Enforcement Response Plan. DESCRIPTION OF ENFORCEMENT ACTIONS Informal Notice: Verbal Notification - Verbal notifications by telephone or in person provide an immediate notification of violations. In general, verbal notifications are used for minor infrequent violations or as an initial step leading to an escalated enforcement response. All verbal notifications related to enforcement, or the investigation of suspected violations shall be documented in writing and placed in the respective User's file. Email Notification - Email notification is issued under the same circumstances as verbal notifications. They may be issued as follow-up responses to verbal notifications or in lieu of verbal notifications. Informal Meeting: An informal meeting is used to gather information concerning noncompliance, discuss steps to alleviate noncompliance, and determine the commitment level of the User. All informal meetings shall be documented in the City's files. Notice of Violation (NOV): Notice of Violation is a written notice to the facility that a violation has occurred. The NOV requires corrective actions to prevent further violations and an explanation of the causes of the violation(s). It shall include a statement that additional enforcement actions may be pursued if corrective actions are not achieved as required. The NOV shall be sent by certified mail with return receipt requested. Copies shall be placed in the User's file. Administrative Order (AO): Administrative Orders are enforcement documents that direct Users to undertake and/or to cease specified activities by specified deadlines. The terms of an AO may or may not be negotiated with Users. AOs may incorporate compliance schedules, administrative fines, and termination of service. An Administrative Order is the minimum level of enforcement used to address SNC. Termination of Service: Termination of Service is the revocation of a User's privilege to discharge nondomestic Wastewater into the sewer system. Termination of Service is used when the discharge from a User presents imminent endangerment to the health or welfare of persons, or the environment, or threatens to interfere with the POTW's operations, or as an escalating enforcement action to SNC when a noncompliant User fails to respond adequately to previous enforcement actions. Termination of Service may be accomplished by physical severance of the Users connection to the collection system, issuance of an AO (which compels the User to immediately terminate its discharge), revocation of the IUs Wastewater Discharge Permit, or a court ruling. Administrative Fines: Administrative Fines are punitive monetary charges assessed by the Control Authority rather than a court. Authority for the penalty must be authorized in the POTWs local legal authority. The purpose of the fine is to recover the economic benefit of noncompliance and to deter future violations. When assessing an administrative fine the following factors are considered: • type and severity of the violation; • number of violations cited; • duration of noncompliance; • impact of the violation on the receiving water, sludge quality, and POTW operation; • whether the violation threatened public health; • the economic benefit or savings the User gained from the noncompliance; Page 5 of 14 • compliance history of the User; and/or • whether the User makes a good faith effort to comply. Administrative Fines are particularly appropriate where the User remains in noncompliance after receiving repeated NOV's or violates the terms of an Administrative Order, including, but not limited to, missing a compliance schedule deadline. The decision to assess an Administrative Fine would normally be made by the Public Works Director in consultation with the City Attorney. The amount of the proposed Administrative Fine should be based on the following guidelines: 1) Tier 1 Violations where the violation is administrative in nature and has not caused or contributed to a violation of the User's effluent parameters. a) 1st Offense - $150 per violation, per day. b) 2n1 Offense - $300 per violation, per day. c) 31 Offense - $450 per offense, per day. d) 41" Offense - $1,000 per offense, per day. 2) Tier 2 Violations where the violation has contributed to, or has significant potential to contribute to, a violation of the User's effluent parameter, but where that violation has not caused the User to be in SNC . a) 11 Offense - $300 per violation, per day. b) 2n1 Offense - $500 per violation, per day. c) 31 Offense - $800 per violation, per day. d) 41" Offense - $1,000 per violation, per day. 3) Tier 3 Violations where the violation is more severe than a Tier 2 violation, including, but not limited to, violations that have caused sewer blockages without causing a sewer overflow, or violations that have resulted in the User being in SNC but where that violation has not resulted in a violation of the City's MPDES permit. a) $1,000 per violation, per day. 4) Tier 4 Violations where the violation has caused Interference or Pass Through or has resulted in a violation of the City's MPDES permit, or has resulted in the City using its emergency authority, where the User has failed to follow a legal order of the City, has falsified records, or where any similar serious violation has occurred. a) $3,000 per violation, per day. Civil Litigation: Civil Litigation is the formal process whereby the Control Authority files a lawsuit against the User to secure court ordered action to correct violations and to secure penalties for the violations including recovery of costs to the POTW for the noncompliance. Civil Litigation also includes enforcement measures which require involvement or approval of the court, such as injunctive relief. Referral to EPA or the State: Where a POTW does not rely on criminal prosecution for its enforcement authority, referral to the State or EPA may be made. For violations that may warrant criminal prosecution, the Control Authority will refer the case to EPA or the State for further action. Circumstances that trigger EPA or State referrals include evidence of willfulness, evidence of negligence, and bad faith shown by the User. Page 6 of 14 ENFORCEMENT RESPONSE GUIDE (ERG) Table 2, the ERG, lists recommended enforcement responses and provides a guide for enforcement activities. The guide is intended to: • Provide guidance in enforcement responses that are appropriate in relation to the nature and severity of the violation and the overall degree of noncompliance. • Establish guidelines that encourage fair and uniform application of enforcement response to comparable levels and types of violations. • Provide a quick reference for Pretreatment Program enforcement personnel. The ERG lists several alternative enforcement responses for each type of violation. Semicolons separate these alternatives. Determination of the appropriate alternative must include consideration of the criteria described below. Factors that will be evaluated when determining the appropriate response are: • Magnitude of the violation; • Duration of the violation; • Good faith of the User; • Compliance history of the User; • Previous success of the enforcement actions against the User; • Effect of the violation on the environment and/or public health; • Effect of the violation on the POTW, and/or • Violation resulting in SNC. SIGNIFICANT NON-COMPLIANCE (SNC) DISCHARGE LIMIT VIOLATION: The discharge limit violations section of the ERG (Table 2) requires the City to determine if a violation is significant or nonsignificant. A discharge limit violation shall be determined significant if it meets one or more of the following: 1. Chronic violations of Wastewater discharge limits • Defined as 66 percent or more of all of the measurements taken for the same pollutant parameter during a 6-month period exceed (by any magnitude) a numeric pretreatment standard or requirement, including instantaneous limits. 2. Technical Review Criteria (TRC) violation Defined as those in which 33 percent or more of all of the measurements taken for the same pollutant parameter during a 6-month period equal or exceed the product of the numeric pretreatment standard or requirement, including instantaneous limits multiplied by the applicable TRC (TRC = 1.4 for BOD, TSS, FOG; and 1.2 for all other pollutants except pH). In the case of pH, violations are considered significant if the pH value is more than 1.5 pH units above the upper pH limit or below the lower pH limit. If Page 7 of 14 continuous monitoring is in place, it would be significant if it was 1.5 pH units above the upper pH limit or below the lower pH limit for a total period of 2hrs and 24 minutes during a 6-month period. 3. Violation of City Regulations that the POTW determines has caused, alone or in combination with other discharges, Interference or Pass Through (including endangering the health of POTW personnel or the general public); 4. Any discharge of a pollutant that has caused imminent endangerment to human health, welfare or the environment or has resulted it the POTW s exercise of its emergency authority to halt or prevent such a discharge. NOTE: Items 1 and 2 above (Chronic and TRC violations) are determined through a 6-month period. IUs are evaluated at the end of a calendar quarter for the previous 6 months. NON -DISCHARGE LIMIT VIOLATIONS: Per 40 CFR 403 SNC requires a violation of the above items and/or one or all of the following: 1. Failure to meet, within 90 days after the schedule date, a compliance schedule milestone contained in a local control mechanism or enforcement order for starting construction, completing construction, or attaining final compliance; 2. Failure to provide, within 45 days after the due date, required reports such as baseline monitoring reports, 90-day compliance reports, periodic self -monitoring reports, and reports on compliance with compliance schedules; 3. Failure to accurately report non-compliance; 4. Any other violation or group of violations, which may include a violation of Best Management Practices, which the POTW determines will adversely affect the operation or implementation of the local Pretreatment program. The User and SNC will be published in a newspaper(s) of general circulation, within the jurisdiction(s) of the POTW, for any Users which, at any time during the previous 12 months, were in SNC with applicable Pretreatment requirements. TIMEFRAMES: The following are the timeframe guidelines that the IPC will attempt to work within when following the ERP. TABLE 1: TIMEFRAMES FOR ENFORCEMENT RESPONSE Enforcement Response' Time Goa12 Informal responses • Verbal Notification • 5 days • Email Notification • 5 days Page 8 of 14 TABLE 1: TIMEFRAMES FOR ENFORCEMENT RESPONSE Enforcement Response' Time Goal' • NOV • 10 days • Informal meeting • 30 days Formal Responses • Compliance Schedule • 60 days • Administrative Orders • 60 days • Administrative Fines • 60 days • Revoke Permit/Suspend Service • 60 days Judicial Responses • Injunctive Relief • 60 days • Consent Decree • 60 days • Civil Penalties • 90 days • Criminal Penalties • 90 days 'Violations which threaten health, property or environmental quality are considered emergencies and will receive immediate responses. 2Indicates the amount of time in which the IPC should initiate enforcement action after initial detection of the violation(s). Page 9 of 14 Table 2: ENFORCEMENT RESPONSE GUIDE TYPE OF VIOLATION CIRCUMSTANCES RESPONSE UNPERMITTED DISCHARGE / BEST MANAGEMENT PRACTICES (BMPs) VIOLATIONS Discharge without a Wastewater Unaware of requirement and no impact on Phone call, NOV with Discharge Permit POTW/environment application form Unaware of requirement and adverse AO with fine impact on POTW/environment Aware of requirement AO with fine, Civil Litigation Failure to Submit Wastewater User has not submitted application within Discharge Permit Application or 30 days of due date Phone call; email; WL reapplication with intent to discharge User has not submitted application after NOV; AO notice by the POTW Failure to submit application -discharge AO to halt discharge; continues Unauthorized Discharge through manhole, RV dump station, car wash No harm to POTW or environment NOV; AO; AO with fine etc. Harm to POTW or environment AO with fine; Civil Action; Recurring incident NOV; AO; AO with fine; Civil Litigation Permitted User discharging waste not authorized by Wastewater Discharge No harm to POTW or environment NOV; AO with fine Permit Harm to POTW or environment NOV; AO with fine; Civil Litigation Recurring incident NOV; AO with fine; Civil Litigation; Terminate Service Any other violation of a Pretreatment Unaware of requirement Standard or Requirement as defined NOV; AO with fine by 40 CFR 403.3(I) that the POTW AO with fine; Termination of determines has caused Interference or Pass Through (including endangering Aware of requirement the health of POTW personnel or the Service; Civil Litigation general public) Page 10 of 14 Table 2: ENFORCEMENT RESPONSE GUIDE TYPE OF VIOLATION CIRCUMSTANCES RESPONSE Any other violation or group of violations, which may include a Unaware of requirement NOV violation of Best Management Practices, which the POTW determines will adversely affect the operation or implementation of the Aware of requirement local Pretreatment program NOV; AO with fine Isolated not significant, no harm to POTW Phone call; email; NOV Exceedance of discharge limitation or or environment prohibition in permit or Kalispell AO with fine; Terminate Municipal Code Recurring, significant, harm to POTW or Discharge; Termination of environment Service; Civil Litigation Any discharge of a pollutant that has Isolated incident Terminate Discharge; AO with caused imminent endangerment to fine human health, welfare or to the Terminate of Service; Civil environment or has resulted in the POTWs exercise of its emergency Recurring incident Litigation authority REPORTING VIOLATIONS Report improperly signed or certified Isolated incident Phone call; email; Previous notice by POTW, recurring, SNC NOV; AO; AO with fine Document is Incomplete or inaccurate Isolated incident Phone call; email; Recurring incident NOV; AO; AO with fine Document is late 5 days to 29 days Phone call; email; 45 days or more resulting in SNC NOV; AO Documents are repeatedly late, SNC NOV; AO; AO with fine; Failure to report violation, spill/slug or No actual or potential harm to the POTW NOV changed discharge or environment Actual or potential harm to the POTW AO; AO with fine; Civil Litigation Page 11 of 14 Table 2: ENFORCEMENT RESPONSE GUIDE TYPE OF VIOLATION CIRCUMSTANCES RESPONSE Failure to report violation, spill/slug or changed discharge (continued) Recurring incident AO with fine; Civil Litigation; Terminate Service Falsification Criminal Investigation; Terminate Service, Civil Litigation Failure to accurately report noncompliance No actual or potential harm to the POTW or environment NOV; AO; AO with fine NOV Actual or potential harm to the POTW AO; AO Recurring incident AO with Falsification Criminal Failure to Notify: (24-hour, slug/potential problems, changed discharges, hazardous waste, upset, bypass) Actual or potential harm to POTW AO; AO with fine Recurring incident AO with fine; Civil Litigation Failure to report additional monitoring Isolated incident Phone call; email. WL; NOV Recurring incident AO; AO with fine Failure to monitor for all required parameters Isolated incident Phone call; email; NOV Recurring incident NOV; AO; AO with fine Improper sample handling/analytical procedures Isolated incident Phone call; email; Recurring incident NOV; AO; AO with fine Failure to resample within time frame Isolated incident Phone call; email; WL; NOV Prior Notification from CA AO; AO with fine Recurring incident AO; AO with fine Page 12 of 14 Table 2: ENFORCEMENT RESPONSE GUIDE TYPE OF VIOLATION CIRCUMSTANCES RESPONSE Failure to Install Monitoring Delay less than 30 days NOV Equipment/sampling point Delay greater than 30 days NOV; AO; AO with fine Isolated incident AO with fine Tampers with monitoring Recurring incident Civil Litigation, Termination of equipment/sample Service Sampling at incorrect location Isolated incident Phone call; email; NOV Recurring incident AO; AO with fine Failure to keep monitoring equipment Delay less than 30 days Phone call; email; NOV functioning properly, per manufacturers AO; AO with fine; Termination specifications Delay greater than 30 days of Discharge COMPLIANCE SCHEDULES Missed milestone Less than 90 days late or will not affect NOV final compliance date Greater than 90 days late or will affect final milestone (good cause for delay), AO; AO with fine SNC Greater than 90 days late or will affect AO with fine; Civil Action; final milestone (no good cause for delay), Termination of discharge SNC Not in compliance as of final Less than 90 days late NOV; AO compliance date Greater than 90 days late; reasonable NOV; AO; AO with fine cause for delay, SNC Greater than 90 days late; no reasonable AO; AO with fine; Civil cause for delay, SNC Litigation Inadequate recording keeping Files incomplete or missing (no evidence Verbal warning at inspection; of intent) NOV Files incomplete or missing (evidence of AO with fine; Civil Litigation; intent) Termination of Service Wastestreams diluted in leu of Initial violation NOV;AO treatment Recurring AO; AO with fine Page 13 of 14 Table 2: ENFORCEMENT RESPONSE GUIDE TYPE OF VIOLATION CIRCUMSTANCES RESPONSE Refusal of Entry No violation of effluent parameters NOV, AO, AO with fine suspected Violation of effluent parameters suspected AO, AO with fine Suspected harm to welfare of community Termination of Service, Search Warrant Failure to mitigate noncompliance or No adverse impact on POTW or NOV halt production environment Adverse impact on POTW or environment AO; AO with fine Failure to properly operate and No adverse impact on POTW or NOV maintain pretreatment system environment Adverse impact on POTW or environment AO; AO with fine, Termination of Service Recurring AO; AO with fine; Termination of Service Page 14 of 14