City of Grass Valley. Industrial Pretreatment Program Enforcement Response Plan

Transcription

1 City of Grass Valley Industrial Pretreatment Program Enforcement Response Plan

2 Table of Contents TABLE OF CONTENTS... I INTRODUCTION... 1 ENFORCEMENT RESPONSIBILITIES... 2 Duties of the Pretreatment Coordinator... 2 Duties of the Pretreatment Office Assistant... 2 Duties of the Pretreatment Inspector... 3 Duties of the City Attorney... 3 PROCEDURES TO IDENTIFY AND EVALUATE INSTANCES OF NON-COMPLIANCE... 4 Non-Residential User Inventory... 4 Review of Non-Residential User Reports... 4 Inspection and Sampling... 5 Typical Instances of Non-Compliance... 6 Evaluating the Degree of Non-Compliance... 6 ENFORCEMENT TOOLS... 9 Typical Enforcement Actions... 9 Escalated Enforcement Actions Administrative Citations Increase in Monitoring ENFORCEMENT RESPONSE GUIDE APPENDICES Appendix A Acronyms and Definitions Appendix B Sample Enforcement Documents City of Grass Valley i December 2010

3 Introduction Pursuant to federal regulations Title 40 of the Code of Federal Regulations (40 CFR) Part 403.8(f)(5), the following Enforcement Response Plan has been adopted and shall be complied with for the purpose of protecting a publicly-owned treatment works (POTW) against blockages of, damage to, interference with or pass-through from the POTW, or any other damages that is caused by non-residential discharges to the POTW. All Industrial Users (IUs) discharging to the City of Grass Valley (City) Wastewater Treatment Plant (WWTP) are subject to this Enforcement Response Plan. The Enforcement Response Plan outlines the procedures to be followed by City of Grass Valley Pretreatment Program staff to identify, document, and respond to pretreatment violations. Incorporated into this Enforcement Response Plan are specific criteria by which Pretreatment Program staff can determine the enforcement action most appropriate to the nature of the violation. In addition, this Enforcement Response Plan describes the duties of the Enforcement Coordinator, Enforcement Coordinator Office Assistant and Inspector; methods used to determine compliance with applicable regulations; and procedures to review compliance data. The accompanying Enforcement Guide lists the most common types of non-compliance and enforcement actions taken in a tabulated form to facilitate easy reference. Per authorities already in place, the Public Works Director or designee is appointed as the Pretreatment Coordinator is the official responsible for each type of enforcement response described, herein. City of Grass Valley 1 December 2010

4 Enforcement Responsibilities DUTIES OF THE PRETREATMENT COORDINATOR The Pretreatment Coordinator is the Public Works Director or designee and is responsible for the day-to-day implementation and enforcement of the Pretreatment Program. The Pretreatment Coordinator is also authorized to solicit the assistance of local, county, state, and federal law enforcement agencies as deemed necessary. The Pretreatment Coordinator ensures that the Enforcement Response Plan is followed in a timely and consistent manner. To achieve this, the Pretreatment Coordinator conducts the following duties: Reviews violations and makes a final determination on the level of enforcement to take. Ensures that compliance actions taken are consistent and timely. Signs routine enforcement actions such as notices of violation (NOVs). Reviews non-residential user s response letters to enforcement actions to ensure the response adequately addresses compliance issues. Coordinates and moderates compliance meetings and the preparation of compliance schedules. Reviews non-residential user compliance history reports. Compiles compliance reports for the semi-annual and annual pretreatment program compliance reports. Communicates and coordinates with associated regulatory agencies. Prepares referrals with the City Attorney to the Nevada County District Attorney s Office for criminal prosecution. DUTIES OF THE PRETREATMENT OFFICE ASSISTANT The primary role of the Pretreatment Office Assistant is to identify violations, in a timely manner, and to assist the Pretreatment Coordinator in tracking compliance issues and schedules. To achieve this, the Pretreatment Office Assistant conducts the following duties: Reviews monitoring results and identifies discharge violations. Verifies that non-residential users have responded, in a timely manner, to Notices of Violations, Compliance Meetings, and Compliance Schedules (tracks dates). Assists in the preparation and running of compliance meetings. City of Grass Valley 2 December 2010

5 Reviews compliance schedules and ensures that deadlines are being met. Prepares weekly compliance reports. DUTIES OF THE PRETREATMENT INSPECTOR The primary duties of the Pretreatment Inspector are to process enforcement actions in a timely manner. To achieve this, the Pretreatment Inspector conducts the following duties: Reviews self-monitoring reports and WWTP influent and effluent results to verify discharge violations. Prepares routine enforcement actions, and makes recommendations to the Pretreatment Coordinator. Tracks non-residential user s response to NOVs, Compliance Meetings, and Compliance Schedules. Reviews non-residential user s response letters to enforcement actions with the Pretreatment Coordinator to ensure that the response adequately addresses compliance issues. Reviews with the Pretreatment Office Assistant compliance meeting schedules, and ensures that deadlines are being met. Prepares non-routine compliance letters, (e.g., Administrative Orders and Citations). Prepares enforcement documentation including case referral reports and warrant request summaries. Reviews with the Pretreatment Coordinator the non-residential user compliance history reports. Enters all enforcement actions into the Enforcement Action Database. DUTIES OF THE CITY ATTORNEY The primary duties of the City Attorney with respect to the Pretreatment Program are to provide legal consultation as requested by the Pretreatment Coordinator and process enforcement actions in a timely manner. To achieve this, the City Attorney conducts the following duties: Provides legal consultation as requested by the Pretreatment Coordinator on consent agreements and administrative orders. Assists with obtaining an administrative warrant to inspect or sample a facility, if consent for access was denied. Oversees all referrals for civil litigation and City initiated criminal investigations. City of Grass Valley 3 December 2010

6 Procedures to Identify and Evaluate Instances of Non- Compliance There are many activities associated with the identifying and investigating noncompliance, including maintaining a non-residential user inventory, reviewing nonresidential user submittals, and inspecting and sampling activities. A brief description of these activities is provided below. NON-RESIDENTIAL USER INVENTORY An essential step for identifying non-compliance is identifying non-residential dischargers to the City sewer system, where they are located, and the nature and volume of the non-residential waste being discharged. Several City Departments assist with this task including the Finance Department (Business License Application), the Public Works Department (Water and Sewer Utility Application), the Building Department (Building Permit Application), and the Fire Department (Hazardous Materials Management Plan and Fire Permitting). There are other agencies that contribute to maintaining the non-residential user inventory including, the Nevada County Environmental Health (hazardous material storage, hazardous waste generation and restaurant inventories) and the USEPA (relating to hazardous materials storage, transport, or waste generation). REVIEW OF NON-RESIDENTIAL USER REPORTS Compliance monitoring involves review of compliance data obtained from selfmonitoring reports submitted to the City by non-residential users, and information obtained by the City through: 1) routine City inspections of permitted non-residential users; 2) referral follow-up inspections (citizen s hotline); 3) routine sewer system sampling; and 4) directed sampling of sewer connections. Compliance data from self-monitoring reporting, routine inspections, or sampling events are first screened and then entered into the LinkoCTS database. The City uses LinkoCTS software to: 1) compile compliance data; 2) assist with monitoring of compliance due dates; 3) create non-residential user permits; and 4) summarize data for quarterly annual reporting. Pretreatment Program staff completes this initial data screening and data entry activities within five days of receipt. Prompt screening of compliance data is especially important if no prior notification by the non-residential user was made, and a problem is noted that requires immediate City response. Situations that may require immediate response include discharges that may be toxic to the system or affect hydraulic capacities or the integrity of sewer lines. Pretreatment City of Grass Valley 4 December 2010

7 Program staff is trained to review compliance data for both discharge and nondischarge violations and provide proper notification to the appropriate Pretreatment Program technical staff (Pretreatment Inspector or Pretreatment Coordinator). When the initial screening suggests non-compliance, a Pretreatment Inspector or the Pretreatment Coordinator performs further data evaluation. If non-compliance is verified, then the appropriate enforcement actions are initiated. INSPECTION AND SAMPLING Inspection and verification sampling of non-residential sewer users are the methods by which Pretreatment Program staff obtains compliance data other than that which is submitted directly by non-residential users. Verification sampling that is performed by the City may seem redundant since self-monitoring is a non-residential user requirement, but in fact verification monitoring is a Federal pretreatment requirement. The authority to perform verification monitoring exists under Municipal Code Section Inspection and verification sampling may be a result of: 1. Random sampling and inspection on a routine basis. 2. Annual sampling and inspection of each Significant Industrial User (SIU) per 40 CFR Part 403 regulations. 3. Response to known or suspected compliance problems. 4. Investigating sources of slug loads. 5. Verification of corrective actions required of the user by the City. The City monitors wastewater from each SIU at least once per year. The City requires all sampling and analysis to be performed in accordance with 40 CFR Part 136. Quality Assurance/Quality Control procedures are followed to maximize sample integrity. At least once per year, the City conducts a comprehensive inspection of each SIU. The City follows inspection procedures to ensure consistent, thorough, and well-documented inspections. Other non-residential users are inspected to verify monitoring and record keeping requirements on a routine basis commensurate with the perceived risk posed to the City sewer system by the non-residential user. Samples may or may not be collected during the inspection of non-residential users. Information gathered during monitoring and inspections of non-residential users by the City is used to verify nonresidential user compliance status, and to determine if enforcement response must be initiated or continued. City of Grass Valley 5 December 2010

8 TYPICAL INSTANCES OF NON-COMPLIANCE The City of Grass Valley Municipal Code Section sets for authority for the City to assess administrative fines when any non-residential user has violated or continues to violate any provision of the Municipal Code, Wastewater Discharge Permit or order issued hereunder, or any other pretreatment standard or requirement. Offense(s) deemed a violation of a Wastewater Discharge Permit or Municipal Code Chapter shall include without limitation: 1. Denied right-of-entry or access to applicable records. (Section B, D) 2. Discharge of prohibited wastes. (Section A) 3. Discharge of drainage water or groundwater, except as approved by the Director. (Section A15) 4. Unreported/unauthorized bypass of pretreatment. (Sections [B][11], [12], [A], [B]) 5. Failure to install and maintain a sample port and/or a control manhole. (Section [A]) 6. Illegal discharge. (Sections , , ). 7. Violation of Categorical Pretreatment Standards/Local Limits. (Sections , ) 8. Discharging to the City sewer system without first securing a Wastewater Discharge Permit. (Section ) 9. Falsifying information. (Section , [C], [D]) 10. Non-compliance of "Orders" in accordance with Municipal Code Chapter (Sections , [J], [M], , [A], [B]) 11. Failure to install or maintain a grease removal device. (Section [A]) EVALUATING THE DEGREE OF NON-COMPLIANCE The Enforcement Response Guide describes violations and indicates minimum enforcement actions. If multiple violations for one or more parameters occur during a calendar day, the non-residential user will only be issued one enforcement action, and all violations will be listed. If multiple violations have occurred over a number of days, those violations will be grouped by day; and each group of violations will be issued an enforcement action. When considering the type of enforcement action to be taken, the Enforcement Response Guide serves as a minimum standard. USEPA s Guidance for Developing Control Authority Enforcement Response Plans Chapter 4.1 discusses six criteria that City of Grass Valley 6 December 2010

9 the City should consider when determining a proper enforcement response. Enforcement action may be escalated when considering the six criteria for evaluating the degree of non-compliance. When an enforcement action is increased over the minimum, written documentation will detail the reasons for the increased enforcement action. The six criteria for evaluating the degree of non-compliance are: 1. Magnitude of the Violation. Generally, an isolated instance of non-compliance can be met with an enforcement response listed in the Enforcement Response Guide. However, since even an isolated violation could threaten public health and the environment, damage public and private property, or threaten the integrity of the Pretreatment Program, the enforcement response to this type of violation must be escalated to: 1) mitigate the violation quickly; 2) prevent a reoccurrence of the violation(s); 3) provide an appropriate level of response; and 4) provide for cost recovery as appropriate. 2. Duration of the Violation. Violations (regardless of severity) which continue over prolonged periods of time should subject the non-residential user to escalated enforcement actions. The City response to these situations must prevent extended periods of non-compliance from occurring. 3. Effect of the Violation on the Receiving Water. One of the primary objectives of the Pretreatment Program is to prevent pollutants from passing through the WWTP and entering the receiving waters. Consequently, any violation which results in environmental harm warrants an escalated enforcement response. Environmental harm will be presumed whenever an non-residential user discharges a pollutant into the sanitary sewer system which: a. Passes through the WWTP and causes a violation of the City s National Pollutant Discharge Elimination System (NPDES) permit effluent limitations. b. Has a toxic effect on the receiving waters and causes a violation of the City s NPDES permit. A minimum response to these types of violations would be an administrative order and referral to the City Attorney. In addition, the response should ensure recovery from the non-residential user of any NPDES permit-related fines and penalties paid by the City. Termination of service may also be considered for repeat violations. 4. Effect of the Violation on the POTW. Some violations may have negative impacts on WWTP operations or personnel. These violations can result in increased treatment cost, upsets to treatment processes, interference, or harm WWTP personnel or equipment. A minimum response to these types of violations would be an administrative order and referral to the City Attorney. In addition, the response should ensure recovery from the non-residential user of any costs incurred by the City resulting from the violation, directly or indirectly. City of Grass Valley 7 December 2010

10 5. Compliance History of the Non-Residential User. When evaluating the level of enforcement action to be taken for a violation, the last eighteen months of compliance history of the non-residential user shall be reviewed. If a pattern of recurring violations for the same parameter is noted, then an escalated enforcement action may be warranted. As an example: if two Verbal Warnings have been issued in the past two months for ph discharge violations, and the non-residential user has another violation at the same level, then it would be appropriate to escalate the enforcement action to a Warning Notice. If 50% of samples taken in the past eighteen months were in violation, then it would be warranted to increase the enforcement action by one level. Any escalation of enforcement action will be documented on the enforcement approval form. This documentation will include all details for the increased enforcement. 6. Good Faith of the Non-Residential User. The non-residential user s good faith effort in correcting its non-compliance is a factor in determining which enforcement action to take. Good faith maybe defined as the user s honest intention to remedy its non-compliance, coupled with actions which give support to this intention. However, good faith does not eliminate the necessity of an enforcement action. City of Grass Valley 8 December 2010

11 Enforcement Tools TYPICAL ENFORCEMENT ACTIONS A Verbal Warning is generally issued for an isolated non-significant violation. In this case the Pretreatment Inspector notifies the non-residential user that a violation occurred and directs the user to take corrective actions. This notification serves as the enforcement action. Written documentation of a Verbal Warning (such as a Telephone Log) will be documented in the City s file (see Appendix B). The Pretreatment Inspector may schedule additional inspections and/or sampling, or may elect to implement more stringent enforcement action. A more stringent enforcement action may be the issuance of an NOV in place of a Verbal Warning in cases where there have been previous recent violations for the same parameter and according to the guidelines. Initiation of enforcement action beyond a Verbal Warning must be reviewed and approved by the Pretreatment Coordinator. A Notice of Violation (NOV) is generally issued for a significant violation and usually applies when there is evidence of neglect or intent to harm. The NOV documents the type of violation that occurred and directs the non-residential user to identify and correct the cause of the violation (see Appendix B for a sample letter documenting an NOV). The non-residential user is required to respond in writing, within thirty days, describing the cause of the violation and the corrective actions taken. Compliance Meetings are held when Severe Violations occur or when previous violations appear to remain uncorrected as evidenced by repeated violations. Many NOVs do not require a compliance meeting. The Enforcement Response Guide details when compliance meetings are required. During a compliance meeting, a compliance schedule and timeline are established. Progress on the compliance schedule is tracked by the Environmental Inspector and Pretreatment Office Assistant and reported to the Pretreatment Coordinator. Compliance schedules are completed when all tasks are completed and consistent compliance is achieved. A non-residential user s Wastewater Discharge Permit may be modified to include the provisions of a compliance schedule. A compliance meeting is generally scheduled when: The non-residential user exceeds 5 times the applicable discharge limit for any Toxic Pollutant or violates any California State Hazardous waste limit. The non-residential user has a ph violation of less than 2 or greater than 10 or has two NOVs in a two-month period. The non-residential user has demonstrated a pattern of non-compliance. A pattern of non-compliance would include: City of Grass Valley 9 December 2010

12 1. The non-residential user has been listed in accordance with the Regional Water Board Standard Provisions (1991) as inconsistently achieving compliance or as having significantly violated applicable pretreatment requirements for two consecutive quarters for the same parameter, 2. A non-residential user has four or more NOVs in a five-month period for any code violation, 3. Failure to respond to a NOV within 45 days of due date. A maximum of two compliance meetings per parameter, within a two-year period, may be held to address non-compliance before more stringent enforcement remedies are considered. In cases of severe non-compliance, or when the non-residential user has already had two previous compliance meetings, the non-residential user s Wastewater Discharge Permit may be modified to include the provisions of a compliance schedule. Violations that occur during implementation of a compliance schedule, and which involve the parameter(s) addressed by the compliance schedule, may be documented through enforcement actions of a lesser degree than indicated in the Enforcement Response Guide, if short-term measures have been implemented to prevent violations. If a facility is under a compliance schedule and receives an enforcement action less than what is called for in the procedures, the Pretreatment Inspector must write the following on the enforcement action approval form: 1. That the enforcement action is less severe than the procedural requirement because the non-residential user is under a compliance schedule, and 2. Reference the specific compliance meeting. This process allows for the documentation of all violations without over penalizing a non-residential user who is actively working to correct the violation. ESCALATED ENFORCEMENT ACTIONS Almost all cases of non-compliance are corrected by following the routine types of enforcement actions listed above and in the Enforcement Response Guide. In those cases where non-compliance is not corrected, the next step in the escalation of enforcement action is the issuance of an Administrative Order (AO). The types of Administrative Orders are listed under the definitions section. Additionally, the nonresidential user may be referred to the District Attorney s Office for criminal prosecution. For case referrals, the City Attorney is consulted and is lead in developing the referral document. Authority to initiate administrative, civil, or criminal enforcement responses is pursuant to Chapter of the Municipal Code. City of Grass Valley 10 December 2010

13 In rare instances when a discharge reasonably appears to present an imminent or substantial endangerment to the health or welfare of persons, it may be necessary to immediately suspend a non-residential user s discharge (after notice and opportunity to respond). In the event of a non-residential user s failure to voluntarily comply with the suspension order, escalating action, such as immediate severance of the sewer connection, may be initiated. Further, whenever a user is in severe violation, the nonresidential user s water service provided by the City may also be severed. Service will only recommence, at the non-residential user's expense, after it has satisfactorily demonstrated its ability to comply. In addition to the above, violations of California State Hazardous Waste limits may be referred to the Nevada County District Attorney. ADMINISTRATIVE CITATIONS Administrative Citations may be issued when regulations from the Municipal Code Chapter or Chapter 9.08 Part 9 are violated. Fines are assessed in accordance with Section of the Municipal Code. The fine amount is a minimum of one hundred ($100) dollars and no more than three thousand ($3,000) dollars for each offense. In addition, after 30 days, fines will be assessed an additional penalty of ten percent (10%) of the unpaid balance, and interest shall accrue thereafter at a rate of five percent (5%) per month. The Enforcement Response Guide indicates the fine amount based on the severity of the violation. Note that the fine schedule is a guide depending on the severity of the violation, fines may be increased within the limits set forth in Section of the Municipal Code. INCREASE IN MONITORING As a result of any discharge violation, there is a need to increase sampling and inspections to verify that the violation has been corrected. The magnitude of the violation will dictate how many follow-up samples and inspections will be needed. For violations receiving a Verbal Warning, one follow-up inspection will be conducted to verify that the violation has been corrected. Additional inspections may be conducted until the violation is corrected. One follow-up sample will also be taken within 45 days by the City. For violations in the NOV range, the following sampling schedule will be established: The City will resample once within 45 days and again within 90 days; and The non-residential user will be required to sample within 60 days of the violation. City of Grass Valley 11 December 2010

14 If any of follow-up sampling shows violations, then this sampling frequency will continue until the non-residential user achieves compliance. In addition to the sampling, one follow-up inspection will be conducted to verify that the violation has been corrected. City of Grass Valley 12 December 2010

15 Enforcement Response Guide This tabulated enforcement designates several enforcement options for different types of violations or non-compliance. City staff will select the appropriate response from the Enforcement Response Guide once a violation has been detected and recommend an action to the Pretreatment Coordinator. The Pretreatment Coordinator (or delegate) must use their best professional judgment in selecting a response for any given violations based on the factors presented in this Enforcement Response Plan. The Pretreatment Coordinator/Public Works Director must approve all enforcement actions recommended by City staff. Implementation of the Enforcement Response Plan must be consistent so that existing and potential non-residential users will not be able to cite inconsistency or arbitrary enforcement as a defense for their own non-compliant actions. Note that any of the violations tabulated in the Enforcement Response Guide may also be subject to Administrative Citations and Fines. City of Grass Valley 13 December 2010

16 Municipal Code Section E C.6 Type of Violation Degree and/or Nature of Violation Enforcement Response Discharge of corrosive matter Discharge of toxic pollutants Violation of local or federal limits Late submittal of discharge reports Self monitoring, baseline monitoring, compliance reports Slight Moderate Severe Instantaneous ph of 4.0 to 5.9 or continuous (log or chart) ph of less than 6.0 for less than 60 minutes Instantaneous ph less than 4.0 or continuous (log or chart) ph of less than 6.0 for more than 60 minutes 2 NOVs in a 2-month period or ph less than 2.0 or greater than 12 minutes Verbal Warning Slight Less than 2 times the limit Verbal Warning Moderate Severe More than 2 times but below 5 times the limit More than 5 times the limit Any exceedance that adversely impacts the WWTP or the environment Notice of Violation $100 Compliance Meeting $500 Notice of Violation $100 Notice of Violation Compliance Meeting Slight Less than 5 days late Document, but no further action Moderate 5 to 30 days late Verbal Warning Severe More than 30 days late Notice of Violation (also document as Significant Non- Compliance) Use of dilution waters Moderate Initial violation, no known harm Notice of Violation $100 Severe Initial violation which resulted in harm to environment or WWTP, or any recurring violation Admin. Citation Fine $250 Up to $3,000 $500 Compliance Meeting Up to $3,000 City of Grass Valley 14 December 2010

17 Municipal Code Section Type of Violation Degree and/or Nature of Violation Enforcement Response Improper monitoring Improper sampling and analysis or failure to maintain monitoring facilities and equipment Failure to notify of violation of permit conditions C G Failure to meet compliance schedule milestone Failure to comply with Best Management Practices F Impeding inspection procedures Deny access to inspectors, withhold copies of records from inspector Slight Initial violation Verbal Warning Moderate Severe Recurring violation or failure to correct within 30 days Failure to correct, greater than 30 days after due date Notice of Violation Compliance Meeting Moderate Initial violation Verbal Warning Severe Recurring violation Notice of Violation $500 Slight Less than 5 days late Document, but no further action Moderate 5 to 30 days late Verbal Warning Severe More than 30 days late More than 90 days late Notice of Violation Significant Non-Compliance Moderate Initial violation Verbal Warning Severe Recurring violation Notice of Violation $100 Moderate Initial violation Notice of Violation Severe Recurring violation Compliance Meeting and/or Administrative Order Admin. Citation Fine $100 Up to $3,000 Up to $3,000 City of Grass Valley 15 December 2010

18 Municipal Code Section C D Type of Violation Degree and/or Nature of Violation Enforcement Response Falsification of information False statements, wastewater diverted from monitoring or pretreatment equipment Discharge without a permit Failure to install or properly maintain grease removal devices, failure to maintain pumping or cleaning records Discharge into a storm drain, discharge of viscous or solid matter, discharge of hot, flammable or explosive substances Moderate Initial violation Notice of Violation $100 Severe Recurring violation Compliance Meeting and/or Administrative Order Moderate Application not received within 30 days of notification Notice of Violation $100 Severe Application more than 30 days late Compliance Meeting and/or Administrative Order Moderate Initial violation Verbal Warning Admin. Citation Fine Up to $3,000 Up to $3,000 Severe Recurring violation Notice of Violation Up to $3,000 Severe Any violation Notice of Violation and/or Administrative Order. Other actions such as permit suspension, termination of service, water supply severance, and judicial enforcement Up to $3,000 City of Grass Valley 16 December 2010

19 APPENDIX A Acronyms and Definitions

20 Appendix A Acronyms and Definitions ACRONYMS AO Administrative Order BOD Biochemical Oxygen Demand CFR Code of Federal Regulations CWA Clean Water Act ERG Enforcement Response Guide ERP Enforcement Response Plan IU Industrial User NOV Notice of Violation NPDES National Pollutant Discharge Elimination System POTW Publicly-Owned Treatment Works RCRA Resource Conservation and Recovery Act SNC Significant Non-Compliance SWDA Solid Waste Disposal Act TRC Technical Review Criteria TSS Total Suspended Solids WWTP City of Grass Valley Wastewater Treatment Plant DEFINITIONS Administrative Citation: Enforcement action that assesses monetary penalties for non-compliance. Administrative Order (AO): Enforcement document that directs a non-residential user to undertake or to cease specified activities. An administrative order may incorporate compliance schedules, time frames, administrative penalties, and termination of service orders. Administrative orders may include: Finding of Non-compliance: A written notice instructing a non-residential user to identify and correct causes of non-compliance. Consent Order: Documents non-compliance and includes actions required to be accomplished by specific dates. Consent orders are developed during Compliance Meetings and both parties agree to terms. Compliance Order: Directs a non-residential user to achieve or restore compliance by a date specified in the order. A compliance order is often a stipulated agreement that may include a compliance schedule, the payment of City of Grass Valley A-1 December 2010

21 Appendix A Acronyms and Definitions monetary penalties, or cost recovery for and the imposition of fines when milestones are not met. Cease and Desist Order: Directs a non-residential user to cease illegal or unauthorized discharges immediately or to terminate discharge altogether. Termination of Service or Permit Revocation: A notice delivered to a nonresidential user serving notification of the intent to revoke its Wastewater Discharge Permit or the termination of service. Civil Action: An order, hearing, or other action by the presiding court. Such orders may include penalties. Compliance Inspection: An inspection to determine compliance status and to identify practices, which may lead to non-compliance. Compliance inspections are not normally scheduled. Compliance Meeting: A meeting between the City and a non-residential user to discuss the causes of non-compliance, corrective actions to achieve compliance, and time frame for implementing corrective actions. Compliance Schedule: A timetable in which a non-residential user will implement corrective actions in order to achieve consistent compliance. Consistent Compliance: No more than one parameter in violation and that value was less than twice the most stringent limit. Additionally, within 45 days of the nonresidential user having been notified of the violation, the non-residential user has identified and corrected the cause of the violation and verified compliance through testing for that parameter. Control Authority: The entity directly administering and enforcing Pretreatment Standards and requirements for non-residential users. The City of Grass Valley is the Control Authority for the City of Grass Valley Pretreatment Program. Conventional Pollutant: Any pollutants listed in 40 CFR Part Conventional Pollutants. This section lists the five conventional pollutants as: biochemical oxygen demand (BOD), total suspended solids (TSS), ph, fecal coliform, and oil and grease. Criminal Action: Similar to civil action, but the charges are for criminal neglect that may include fines and or penalties. Domestic Wastewater: 1) wastewater from normal residential activities including, but not limited to, wastewater from kitchen, bath and laundry facilities, or 2) wastewater City of Grass Valley A-2 December 2010

22 Appendix A Acronyms and Definitions from the personal sanitary conveniences (toilets, showers, bathtubs, fountains, noncommercial sinks, and similar structures) of commercial, industrial, or institutional building, provided that the wastewater exhibits characteristics that 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 facilities. Fines: Monetary penalties imposed by the court or by the City for violation of discharge regulations. Good Faith Effort: Prompt and vigorous pollution control measures undertaken by a non-residential user which show that extraordinary efforts have been made to achieve compliance. Good faith may also be defined as the user s honest intention to remedy its non-compliance coupled with actions, which give support to this intention. (See USEPA s Guidance for Developing Control Authority Enforcement Response Plans 4.1.6) Inconsistent Compliance: Any one parameter that exceeded twice the most stringent limit and when re-sampled within 30 days of the date the non-residential user is notified of the violation, it is found to be in compliance and does not fall within the significant non-compliance classification. Industrial User (IU): Any non-residential user that discharges industrial wastes to the sanitary sewer system. Interference: A discharge which, alone or in conjunction with a discharge or discharges from other sources, both: 1. Inhibits or disrupts the WWTP, its treatment processes or operations, or its sludge processes, use or disposal; and 2. Therefore is a cause of a violation of any requirement of the City s NPDES Permit (including an increase in the magnitude or duration of a violation) or of the prevention of sewage sludge use or disposal in compliance with the following statutory provisions and regulations or permits issued there under (or more stringent State or local regulations): Section 405 of the Clean Water Act, the Solid Waste Disposal Act (SWDA) (including Title II, more commonly referred to as the Resource Conservation and Recovery Act [RCRA], and including State regulations contained in any State sludge management plan prepared pursuant to subtitle D of the SWDA), the Clean Air Act, the Toxics Substances Control Act, and the Marine Protection, Research and Sanctuaries Act. Notice of Violation (NOV): An official notice that a violation of discharge regulations has occurred. A written response to the NOV identifying causes of the violation and City of Grass Valley A-3 December 2010

23 Appendix A Acronyms and Definitions corrective actions taken to prevent recurring violations is required within thirty days of the mailing date. Significant Non-Compliance (SNC): Significant non-compliance (as defined in 40 CFR Part (f)(2)(vii)), is a compliance status in which one or more of the following is found: Chronic violations of wastewater discharge limits, defined here as those in which sixty-six percent or more of all the measurements taken during a six-month period exceed (by any magnitude) the daily maximum limit or the average limit for the same pollutant parameter. Technical Review Criteria (TRC) violations, defined here as those in which thirtythree percent or more of all the measurements for each pollutant parameter taken during a six-month period equal or exceed the product of the daily maximum or the average limit multiplied by the applicable TRC (TRC=1.4 for BOD, TSS, fats, oil and grease, and 1.2 for all other pollutants except ph). Any other violation of a pretreatment effluent limit (daily maximum or long-term average) that the Control Authority determines has caused, alone or in combination with other non-residential users, interference or pass through (including endangering the health of POTW personnel or the general public). Any discharge of a pollutant that has caused imminent endangerment to human health, welfare, or to the environment or has resulted in the POTW s exercise of its emergency authority under 40 CFR Part 403.8(f)(1)(vi)(B) to halt or prevent such a discharge. Failure to meet, within ninety 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. Failure to provide, within thirty days after the due date, required reports such as baseline monitoring reports, ninety day compliance reports, periodic self monitoring reports, and reports on compliance with compliance schedules. Failure to accurately report non-compliance. Any other violation or group of violations, which the Control Authority determines, will adversely affect the operation or implementation of the local pretreatment program. When any action by the non-residential user meets one or more of the criteria for Significant Non-Compliance (SNC) the non-residential user shall be designated SNC, and reported in the Semiannual and Annual Pretreatment Program reports, and published in the newspaper annually. Toxic Pollutant: Any pollutant listed in 40 CFR Part Toxic Pollutants". This section lists sixty-five pollutants and their compounds as toxic pollutants. City of Grass Valley A-4 December 2010

24 Appendix A Acronyms and Definitions Verbal Warning: A documented warning communicated to the non-residential orally. The violation is usually slight or within the range of analytical error. City of Grass Valley A-5 December 2010

25 APPENDIX B Sample Enforcement Documents

26 CITY OF GRASS VALLEY PRETREATMENT PROGRAM Telephone Log Phone Call From: Phone Call To: Phone Number: Date of Initial Call: Time of Initial Call: Business Contacted: Purpose of Communication: Message(s) Left: Date Time With Whom For Whom Date and Time Call Returned Person Contacted: Conversation: Follow-up:

27 CITY OF GRASS VALLEY LETTERHEAD By Certified Mail Date Facility Name Facility Contact Address City, State, Zip Re: Notice of Violation Pursuant to Pretreatment Program Ordinance (Municipal Code Chapter 13.20) Dear Mr./Ms. Facility Contact, This letter refers to a recent inspection by City of Grass Valley staff at Facility Name on Inspection Date. As noted during the inspection, a grease trap or interceptor was found to be missing from your establishment. The lack of this removal system is a direct violation of the Municipal Code as stated below. As noted during the inspection, a grease trap or interceptor was found to be inadequately sized for your establishment. The insufficient capacity of the device is in direct violation of the Municipal Code as stated below. Section (A)(1) of the Grass Valley Municipal Code states that: All food service establishments shall have grease, fats, and oils removal systems approved by the City of Grass Valley. All removal systems shall be of a capacity sufficient to provide the appropriate quality of effluent in accordance with City requirements and the Uniform Plumbing Code. As set forth in Municipal Code Section , please advise the City at the address below, in writing and within 30 days of receipt of this notice of violation, as to the specific steps that you have taken to correct this violation and to assure that similar violations do not occur. If corrective action cannot be completed within 30 days, advise the City in writing and you shall be given a compliance schedule with a deadline not to exceed six (6) months from the initial notification date (date at the top of this letter). You have the right to appeal this matter as set forth in the Municipal Code Section Your facility may be liable for all enforcement costs incurred by the City in correcting the violation. The delivery of this letter will be deemed complete upon receipt of certification that the certified mail was received. If you have questions regarding the contents of this letter, please contact Contact Name at (530) XXX-XXXX. City Signature Block

28 CITY OF GRASS VALLEY LETTERHEAD ADMINISTRATIVE COMPLIANCE ORDER Address here Month, Day, 20XX Permit # LEGAL AUTHORITY The following findings are made and order issued pursuant to the authority vested in the Public Works Director, under Section xxx of the City of Grass Valley Municipal Code Chapter ###.##. FINDINGS 1. Facility Name was issued wastewater discharge permit number on date which contains prohibitions, restrictions, and other limitations on its discharge to the sanitary sewer. 2. Facility Name was issued Notice of Violation on date for its violation of the City Municipal Code in the following manner(s): a. BASED ON THE ABOVE FINDINGS, FACILITY NAME IS HEREBY ORDERED TO: 1. Within 5 days, submit all delinquent compliance reports. 2. Within 10 days, pay a fine of $ for the above described violations in accordance with Chapter of the City s Municipal Code.

29 Administrative Compliance Order date Page 2 Facility Name 3. Failure to comply with the requirements of this order shall constitute a further violation of the Municipal Code and will subject the Facility Name to civil penalties of at least $1, per day per violation or such other appropriate enforcement responses as outlined in Municipal Code Chapter et al. 4. All reports and notices required by this order shall be sent, in writing, to the City of Grass Valley Public Works Director, 125 East Main Street, Grass Valley, CA This order, entered, shall be effective upon receipt by City of Grass Valley Pretreatment Program Coordinator 125 East Main Street Grass Valley, CA (530) xxx-xxxx