NC0022934_Enforcement PC-2019-0020_20190404

ROY COOPER
Governor
MICHAEL S. REGAN
Secretary
LINDA CULPEPPER
Director
NORTH CAROLINA
Environmental Quality
4 April 2019
CERTIFIED MAIL 7018 0360 0002 2099 1185
RETURN RECEIPT REQUESTED
Mr. Lawrence Schwartz
UCS, Inc.
P.O. Box 657
Lincolnton, NC 28092
SUBJECT: Assessment of Civil Penalty for Violations of Permit Conditions
NPDES Permit NCO022934
UCS, Inc./UCS Main Plant
Case No.: PC-2019-0020
Gaston County
Dear Mr. Schwartz:
This letter transmits a notice of a civil penalty assessed against UCS, Inca in the amount of $9,683.68 (includes
$1,683.68 in enforcement costs).
This assessment is based upon the following facts:
On May 25, 2018, Mooresville Regional Office (MRO), Water Quality Regional Operations Section (WQROS) of
Division of Water Resources issued a Notice of Violation (NOV) to UCS, Inc. This NOV was issued in response
to observations from an inspection on May 22, 2018. These observations concerned the operation and
maintenance of the lagoon treatment system and the outfall structure. These observations are outlined in the
attached Findings and Decision and Civil Penalty Assessment (F&D CPA) documents.
On August 1, 2018, MRO staff met with UCS, Inc. representatives (at the UCS, Inc. business site) to discuss the
inspection findings and required corrective actions needed to achieve compliance with NPDES Permit
NC0022934. MRO staff issued a follow-up email on the same day (August 1, 2018) to UCS, Inc. that requested
information on the condition of the treatment facility. The requested information is outlined in the attached F&D
CPA.
On November 13, 2018, a meeting was held with MRO staff, UCS, Inc. representatives (at the UCS, Inc.
business site), and consultants with Shield Engineering. The consultants were able to determine that the
influent flow is gravity fed into the lagoon structure. They were able to determine that the effluent structure
has a leak and is not operating properly. At the meeting, MRO staff discussed with the UCS, Inc.
representatives and the consultants a compliance schedule in order to evaluate and provide information on the
facility. As a result, a follow-up email outlining the compliance schedule was sent to the permittee the next
day. On November 14, 2018, a compliance schedule was sent by email to the permittee and is outlined in the
attached F&D CPA.
North Carolina Department of Environmental Quality I Division of Water Resources
-D E �� Mooresville Regional Office 1 610 East Center Avenue, Suite 301 1 Mooresville, North Carolina 28115
NORTH GARG NI ��
o.P,nm.mofEnmroo—toia.af �� 704.663.1699

UCS, Inc./USC Main Plant
Case No. PC-2019-00204
4 April 2019
Page 2 of 4
After the facility failed to meet the December 1, 2018 deadline, MRO staff made attempts to contact USC, Inc. by
phone and email (December 5, 2018 and December 13, 2018). To date, none of DWR's attempts to make contact
were successful.
On December 19, 2018, MRO of DWR issued a Continuing Notice of Violation/Notice of Intent to Enforce
(NOV-2018-PC-0480) for violations of NPDES Permit NCO022934 Part IL Section C.2. to UCS, Inc.
On March 5, 2019, the MRO of the DWR issued a Notice of Violation/Notice of Intent to Enforce (NOV-2019-
PC-0176) for violations of NPDES Permit NCO022934 Part II Section B.8. Duty to Provide Information. The
permittee failed to furnish to the Permit Issuing Authority, within a reasonable time, any information which the
Permit Issuing Authority may request to determine whether cause exists for modifying, revoking and reissuing, or
terminating this permit or to determine compliance with this permit. .
The State's enforcement costs in this matter may be assessed against UCS, Inc. (UCS) pursuant to NCGS. 143-
215.3(a)(9) and NCGS 143B-282.1(b)(8).
Based upon the above facts, the Division concludes as a matter of law that UCS violated the terms, conditions or
requirements of NPDES Permit NC0022934, in the manner and extent shown above. In accordance with the
maximums established by G.S. 143-215.6A(a)(2), a civil penalty may be assessed against any person who violates the
terms, conditions or requirements of a permit required by G.S. 143-215.1(a).
Based upon the above findings of fact and conclusions of law, and in accordance with authority provided by the
Secretary of the Department of Environmental Quality and the Director of the Division of Water Resources, the
Division hereby makes the following civil penalty assessment against UCS, Inc.:
$ 0 For violations of NPDES Permit NCO022934 Part II Section B.8. Duty to Provide
Information by failing to furnish to the Permit Issuing Authority, within a reasonable
time, any information which the Permit Issuing Authority may request to determine
whether cause exists for modifying, revoking and reissuing, or terminating this
permit or to determine compliance with this permit.
$ 8,000.00 For violations of NPDES Permit NCO022934 Part II Section C.2. Proper Operation
and Maintenance by failing to properly operate and maintain the wastewater
treatment plant.
$ 1,683.68 Enforcement Costs
$ 9,683.68 TOTAL AMOUNT DUE
Pursuant to G.S. 143-215.6A(c), in determining the amount of the penalty the Division has taken into account the
Findings of Fact and Conclusions of Law and the factors set forth at G.S. 14313-282.1(b), which are:
(1) The degree and extent of harm to the natural resources of the State, to the public health, or to private property
resulting from the violation;
(2) The duration and gravity of the violation;
(3) The effect on ground or surface water quantity or quality or air quality;
(4) The cost of rectifying the damage;
(5) The amount of money saved by noncompliance;
(6) Whether the violation was committed willfully or intentionally;
(7) The prior record of the violator in complying or failing to comply with programs over which the
Environmental Management Commission has regulatory authority; and
(8) The cost to the State of the enforcement procedures.

UCS, Inc./USC Main Plant
Case No. PC-2019-00204
4 April 2019
Page 3 of 4
Within thirty days of receipt of this notice, you must do one of the following:
1. Submit payment of the penalty:
Payment should be made directly to the order of the Department of Environmental Quality (do not include waiver
form). Payment of the penalty will not foreclose further enforcement action for any continuing or new violation(s).
Please submit payment to the attention of.
Division of Water Resources
Water Quality Permitting Section
1617 Mail Service Center
Raleigh, North Carolina 27699-1617
2. Submit a written request for remission or mitigation including a detailed justification for such request:
Please be aware that a request for remission is limited to consideration of the five factors listed below as they may
relate to the reasonableness of the amount of the civil penalty assessed. Requesting remission is not the proper
procedure for contesting whether the violation(s) occurred or the accuracy of any of the factual statements contained
in the civil penalty assessment document. Because a remission request forecloses the option of an administrative
hearing, such a request must be accompanied by a waiver of your right to an administrative hearing and a stipulation
and agreement that no factual or legal issues are in dispute. Please prepare a detailed statement that establishes why
you believe the civil penalty should be remitted and submit it to the Division of Water Resources at the address listed
below. In determining whether a remission request will be approved, the following factors shall be considered:
(1) whether one or more of the civil penalty assessment factors in NCGS 14313-282.1(b) was wrongfully applied
to the detriment of the petitioner;
(2) whether the violator promptly abated continuing environmental damage resulting from the violation;
(3) whether the violation was inadvertent or a result of an accident;
(4) whether the violator had been assessed civil penalties for any previous violations; or
(5) whether payment of the civil penalty will prevent payment for the remaining necessary remedial actions.
Please note that all evidence presented in support of your request for remission must be submitted in writing. The
Director of the Division of the Division of Water Resources will review your evidence and inform you of his decision
in the matter of your remission request. The response will provide details regarding the case status, directions for
payment, and provision for further appeal of the penalty to the Environmental Management Commission's Committee
on Civil Penalty Remissions (Committee). Please be advised that the Committee cannot consider information that was
not part of the original remission request considered by the Director. Therefore, it is very important that you prepare a
complete and thorough statement in support of your request for remission.
In order to request remission, you must complete and submit the enclosed "Request for Remission of Civil Penalties,
Waiver of Right to an Administrative Hearing, and Stipulation of Facts" form within thirty (30) days of receipt of this
notice. The Division of Water Resources also requests that you complete and submit the enclosed "Justification for
Remission Request." Both forms should be submitted to the following address:
Division of Water Resources
Water Quality Permitting Section
1617 Mail Service Center
Raleigh, North Carolina 27699-1617
K'
3. File a petition for an administrative hearing with the Office of Administrative Hearings:

UCS, Inc./USC Main Plant
Case No. PC-2019-00204
4 April 2019
Page 4 of 4
If you wish to contest any statement in the attached assessment document, you must file a petition for an
administrative hearing. You may obtain the petition form from the Office of Administrative Hearings. You must file
the petition with the Office of Administrative Hearings within thirty (30) days of receipt of this notice. A petition is
considered filed when it is received in the Office of Administrative Hearings during normal office hours. The Office
of Administrative Hearings accepts filings Monday through Friday between the hours of 8:00 a.m. and 5:00 p.m.,
except for official state holidays. The original and one (1) copy of the petition must be filed with the Office of
Administrative Hearings. The petition may be faxed provided the original and one copy of the document is received in
the Office of Administrative Hearings within five (5) business days following the faxed transmission. The mailing
address for the Office of Administrative Hearings is:
Office of Administrative Hearings
6714 Mail Service Center
Raleigh, North Carolina 27699-6714
Telephone [phone] Facsimile: [phone]
Mail or hand -deliver a copy of the petition to:
Mr. William F. Lane, General Counsel
Department of Environmental Quality.
1601 Mail Service Center
Raleigh, North Carolina 27699-1601
Please indicate the case number (as found on page one of this letter) on the petition.
Failure to exercise one of the options above within thirty (30) days of receipt of this letter, as evidenced by an internal
date/time received stamp (not a postmark), will result in this matter being referred to the Attorney General's Office for
collection of the penalty through a civil action. Please be advised that additional penalties may be assessed for
violations that occur after the review period of this assessment.
If you have any questions, please contact Ori Tuvia at 704-663-1699 or via e-mail ([e-mail]).
Sincerely,
W. Corey Basinger, Regional Supervisor
Water Quality Regional Operations Section
Mooresville Regional Office
Division of Water Resources, NCDEQ
ATTACHMENTS
cc: DWR Mooresville Regional Office Enforcement File
Central Files w/attachments
Gaston County Health Department
ec: DWR Laserfiche w/attachments
Derek Denard, DWR Compliance & Expediated Permitting Branch [[e-mail]]

STATE OF NORTH CAROLINA NORTH CAROLINA DEPARTMENT OF
ENVIRONMENTAL QUALITY
COUNTY OF GASTON
IN THE MATTER OF ) CASE NO. PC-2019-0020
UCS, INC. )
FINDINGS AND DECISION
AND ASSESSMENT OF
CIVIL PENALTIES
FOR VIOLATIONS OF: )
NPDES PERMIT NO. NC0022934 )
Acting pursuant to North Carolina General Statute (G.S.) 143-215.6A, I, W. Corey Basinger, of
the Division of Water Resources (hereby known as DWR), make the following:
I. FINDING OF FACT
A. UCS, Inc. is a person organized and existing under the laws of the State of North
Carolina.
B. The UCS Main Plant discharges to South Fork Catawba River, a Class WS-IV
waterbody in the Catawba River Basin.
C. On September 18, 2015, UCS, Inc. was issued NPDES Permit Number
NC0022934 for the operation of an existing 0.3-acre waste stabilization lagoon
followed by chlorination disinfection and the discharge of wastewater located at
the UCS Main Plant facility pursuant to the application received on January 30,
2015, in accordance with the provisions of Article 21 of Chapter 143, General
Statutes of North Carolina.
D. On May 25, 2018, Mooresville Regional Office, Water Quality Regional
Operations Section (hereby known as MRO) of DWR issued a Notice of Violation
(NOV) to UCS, Inc. This NOV was issued in response to observations from an
inspection on May 22, 2018, which included the following:
• There is woody vegetation, animal burrows, and erosion on the side
slopes/dikes.
• The outfall structure (where the chlorine disinfection is located) is
deteriorating and needs maintenance.
• The access to the outfall structure (pier. bridge) appears unstable.
• The outfall structure, which contains the chlorine disinfection box, is part
of permitted wastewater system and must be maintained.
• The Permittee should conduct an engineering evaluation of the system to
verify its integrity, which includes:
o confirming the path/piping for influent wastewater to the lagoon
o assessing the sludge level in the lagoon

o assessing the structural stability of the lagoon slopes/dikes after
vegetation removal
o evaluation of the outfall structure.
• The permittee must locate the effluent pipe location.
E. On August 1, 2018, MRO staff met with UCS, Inc. representatives (at the UCS,
Inc. business site) to discuss the inspection findings and required corrective
actions needed to achieve compliance with NPDES Permit NC0022934. MRO
staff issued a follow-up email on the same day (August 1, 2018) to UCS, Inc. that
requested the following information on the condition of the facility:
• The permittee was to confirm whether the wastewater is gravity fed or passes
through the pump station.
• The permittee was to have a Professional Engineer evaluate the status of
lagoon (structural stability of the lagoon slopes/dike and sludge level).
• The permittee was to have a Professional Engineer evaluate the outfall
structure to determine if any leaks are present.
• The permittee was to determine whether or not the system is discharging, and
if so, where precisely is the location of the discharge pipe.
F. On November 13, 2018, a meeting was held with MRO staff, UCS, Inc.
representatives (at the UCS, Inc. business site), and consultants with Shield
Engineering. The consultants were able to determine that the influent flow is
gravity fed into the lagoon structure. They were able to determine that the effluent
structure has a leak and is not operating properly. At the meeting, MRO staff
discussed with the UCS, Inc. representatives and the consultants a compliance
schedule in order to evaluate and provide information on the facility. As a result, a
follow-up email outlining the compliance schedule was sent to the permittee the
next day.
G. On November 14, 2018, the following compliance schedule was sent by email to
the permittee:
• By December 1, 2018, pump the water and investigate the chamber
located behind the old gas chlorine building. If the effluent pipe is
accessible, evaluate the flow passing through the pipe as well as the
potential to chlorinate the effluent for sampling purposes. In addition,
attempt to locate the discharge point of the effluent pipe into the river.
• By January 10, 2019, submit a timeline to the Mooresville Regional Office
outlining the chosen path forward for the facility to achieve full
compliance with NPDES Permit NC0022934. The timeline will indicate if
the facility intends to achieve compliance by abandoning the pond and
install septic with drain fields (approved by Gaston County), which will
allow NPDES Permit NCO022934 to be rescinded, or a timeline to address
the concerns listed in NOV-2018-PC-0 184 regarding the condition of the
lagoon and the chlorine contact structure.
• In addition, by January 10, 2019, please submit a plan describing the
proposed installation of three shallow/water table monitoring wells for the

purpose of assessing groundwater quality as related to operation of the
wastewater system.
H. After the facility failed to meet the December 1, 2018 deadline, MRO staff made
attempts to contact USC, Inc. by phone and email (December 5, 2018 and
December 13, 2018). To date, none of DWR's attempts to make contact were
successful.
I. On December 19, 2018, MRO of DWR issued a Continuing Notice of
Violation/Notice of Intent to Enforce (NOV-2018-PC-0480) for violations of
NPDES Permit NC0022934 Part II. Section C.2. to UCS, Inc.
J. On March 5, 2019, MRO of DWR issued a Notice of Violation/Notice of Intent to
Enforce (NOV-2019-PC-0176) for violations of NPDES Permit NC0022934 Part
II Section B.B. Duty to Provide Information. The permittee failed to furnish to the
Permit Issuing Authority, within a reasonable time, any information which the
Permit Issuing Authority may request to determine whether cause exists for
modifying, revoking and reissuing, or terminating this permit or to determine
compliance with this permit.
K. NPDES PERMIT NO. NC0022934 contains the following relevant permit
conditions:
NPDES Permit NC0022934 Part II Section B.B. Duty to Provide Information
The Permittee shall furnish to the Permit Issuing Authority, within a
reasonable time, any information which the Permit Issuing Authority may
request to determine whether cause exists for modifying, revoking and
reissuing, or terminating this permit or to determine compliance with this
permit. The Permittee shall also furnish to the Permit Issuing Authority upon
request, copies of records required by this permit [40 CFR 122.41(h)].
NPDES Permit NC0022934 Part II. Section C.2. Proper Operation and
Maintenance
The permittee shall at all times properly operate and maintain all facilities and
systems of treatment and control (and related appurtenances) which are
installed or used by the permittee to achieve compliance with the conditions of
this permit. Proper operations and maintenance also includes adequate
laboratory controls and appropriate quality assurance procedures. This
provision requires the Permittee to install and operate backup or auxiliary
facilities only when necessary to achieve compliance with the conditions of
the permit.
L. The cost to the State of the enforcement procedures in this matter totaled:
$1,683.68.

Based upon the above Finding of Fact, I, W. Corey Basinger, make the following:
II. CONCLUSION OF LAW
A. UCS, Inc. is a `person' within the meaning of G.S. 143-215.6A pursuant to G.S.
143-212 (4).
B. South Fork Catawba River located at the site constitutes waters of the State within
the meaning of G.S. 143-212 (6).
C. UCS, Inc. was issued NPDES Permit No. NC0022934 in accordance with G. S.
143-215.1(a) for the operation and maintenance of a wastewater treatment system
and the discharge of wastewater in compliance with permit limits and conditions.
D. UCS, Inc. violated NPDES Permit NC0022934 Part II Section B.B. Duty to
Provide Information by failing to furnish to the Permit Issuing Authority, within a
reasonable time, any information which the Permit Issuing Authority may request
to determine whether cause exists for modifying, revoking and reissuing, or
terminating this permit or to determine compliance with this permit.
E. UCS, Inc. violated NPDES Permit NC0022934 Part II Section C.2. Proper
Operation and Maintenance by failing to properly operate and maintain the
wastewater treatment plant.
F. UCS, Inc. may be assessed civil penalties in this matter pursuant to G.S. 143-
215.6A (a)(2), which provides that a civil penalty of not more than twenty-five
thousand dollars ($25,000) per violation per day may be assessed against a person
who is required but fails to apply for or to secure a permit required by G.S. 143-
215.1, or who violates or fails to act in accordance with the terms, conditions, or
requirements of such permit or any other permit or certification issued pursuant to
authority conferred by this Part.
G. The State's enforcement cost in this matter may be assessed against UCS, Inc.
pursuant to G.S. 143-215.3 (a)(9) and G.S. 14313-282.1(b)(8).
H. W. Corey Basinger of the Division of Water Resources, pursuant to delegation
provided by the Secretary of the Department of Environmental Quality and the
Director of the Division of Water Resources, has the authority to assess civil
penalties in this matter.

Based upon the above Findings of Fact and Conclusions of Law, I, make the following:
III. DECISION
Accordingly, UCS, Inc. is hereby assessed a civil penalty of:
$ 0 For violations of NPDES Permit NCO022934 Part II Section B.8.
Duty to Provide Information by failing to furnish to the Permit
Issuing Authority, within a reasonable time, any information which
the Permit Issuing Authority may request to determine whether
cause exists for modifying, revoking and reissuing, or terminating
this permit or to determine compliance with this permit.
$ 8,000.00 For violations of NPDES Permit NCO022934 Part II Section C.2.
Proper Operation and Maintenance by failing to properly operate
and maintain the wastewater treatment plant.
$ 1,683.68 Enforcement Costs
$ 9,683.68 TOTAL AMOUNT DUE
As required by G.S. 143-215.6A(c), in determining the amount of penalty, I considered the
factors set out in G.S. 14313-282.1(b), which are:
(1) The degree and extent of harm to the natural resources of the State, to the public health,
or to private property resulting from the violations;
(2) The duration and gravity of the violations;
(3) The effect on ground or surface water quantity or quality or air quality;
(4) The cost of rectifying the damage;
(5) The amount of money saved by noncompliance;
(6) Whether the violations were committed willfully or intentionally;
(7) The prior record of the violator in complying or failing to comply with programs over
which the Environmental Management Commission has regulatory authority; and
(8) The cost to the State of the enforcement procedures
L
Date W. Corey Basi er, Regional Supe isor
Water Quality Regional Operations Section
Mooresville Regional Office
Division of Water Resources, NCDEQ

STATE OF NORTH CAROLINA DEPARTMENT OF ENVIRONMENTAL
QUALITY
COUNTY OF GASTON
IN THE MATTER OF ASSESSMENT ) WAIVER OF RIGHT TO AN
OF CIVIL PENALTIES AGAINST ) ADMINSTRATIVE HEARING AND
UCS, INC. ) STIPULATION OF FACTS
PERMIT NO. NCO022934 ) CASE NO. PC-2019-0020
Having been assessed civil penalties totaling $9,683.68 for violation(s) as set forth in the
assessment document of the Division of Water Resources dated April 4, 2019, the undersigned, desiring
to seek remission of the civil penalty, does hereby waive the right to an administrative hearing in the
above -stated matter and does stipulate that the facts are as alleged in the assessment document. The
undersigned further understands that all evidence presented in support of remission of this civil penalty
must be submitted to the director of the Division of Water Resources within thirty (30) days of receipt of
the notice of assessment. No new evidence in support of a remission request will be allowed after (30)
days from the receipt of the notice of assessment.
This the day of , 2019.
SIGNATURE
ADDRESS
TELEPHONE

JUSTIFICATION FOR REMISSION REQUEST
DWR Case Number: PC-2019-0020
Assessed Entity: UCS, Inc.
Permit No.: NCO022934
County: Gaston
Amount Assessed: $9,683.68
Please use this form when requesting remission of this civil penalty. You must also complete the "Request
For Remission, Waiver of Right to an Administrative Hearing, and Stipulation of Facts" form to request
remission of this civil penalty. You should attach any documents that you believe support your request and
are necessary for the Director to consider in evaluating your request for remission. Please be aware that a
request for remission is limited to consideration of the five factors listed below as they may relate to the
reasonableness of the amount of the civil penalty assessed. Requesting remission is not the proper
procedure for contesting whether the violation(s) occurred or the accuracy of any of the factual statements
contained in the civil penalty assessment document. Pursuant to N.C.G.S. § 143B-282.1(c), remission of a
civil penalty may be granted only when one or more of the following five factors apply. Please check each
factor that you believe applies to your case and provide a detailed explanation, including copies of
supporting documents, as to why the factor applies (attach additional pages as needed).
❑ (a) one or more of the civil penalty assessment factors in N.C.G.S. 143B-282.1(b) were
wrongfully applied to the detriment of the petitioner (the assessment factors are listed in the civil
penalty assessment document);
❑ (b) the violator promptly abated continuing environmental damage resulting from the violation
(i.e., explain the steps that you took to correct the violation and prevent future occurrences);
❑ (c) the violation was inadvertent or a result of an accident (i.e., explain why the violation was
unavoidable or something you could not prevent or prepare for);
❑ (d) the violator had not been assessed civil penalties for any previous violations;
❑ (e) payment of the civil penalty will prevent payment for the remaining necessary remedial
actions (i.e., explain how payment of the civil penalty will prevent you from performing the activities
necessary to achieve compliance).
EXPLANATION: