NC0088226_TX-2021-0002_20210420

CERTIFIED MAIL: 7019 0140 0001 1259 0912
RETURN RECEIPT REQUESTED

April 20, 2021

Suzanne Fountain
Wells Fargo Bank N A
550 S Tryon St 30th Floor
Charlotte, NC 28202

SUBJECT: Assessment of Civil Penalty for Violations of NC General Statute 143-215.1(a)(6)
NPDES Permit No. NC0088226
Wells Fargo Bank NA
Wells Fargo Tryon St. GWR
Case No. TX-2021-0002
Mecklenburg County

Dear Ms. Fountain:

This letter transmits a Civil Penalty assessment against Wells Fargo Bank NA in the amount of
$3,073.88 ($3,000 civil penalty + $73.88 enforcement costs).

This assessment is based upon the following facts: A review of the facility’s toxicity self-
monitoring data from the months of December 2020 through February 2021 has been conducted.
This review has shown the subject facility to be in violation of the discharge limitations and/or
monitoring requirements found in NPDES WW Permit No. NC0088226. The facility’s toxicity
self-monitoring reports revealed the following effluent toxicity permit limit violations:

December 8, 2020 FAIL (7-day P/F) non-compliant
January 12, 2021 <45% (7-day chronic value) non-compliant
February 9, 2021 <45% (7-day chronic value) non-compliant

Based upon the above fact(s), I conclude as a matter of law that Wells Fargo Bank NA violated
the terms, conditions or requirements of NPDES Permit No. NC0088226 and N.C.G.S 143-
215.1(a)(6) in the manner and extent shown above.

DocuSign Envelope ID: E6B675E3-951D-48CA-AB16-C9516BE7708F

A civil penalty in accordance with the maximum established by N.C.G.S. 143-215.6A(a)(2), may
be assessed against a person who violates the terms, conditions or requirements of a permit
required by N.C.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, I, Cindy Moore, Supervisor, Aquatic Toxicology Branch, hereby
make the following civil penalty assessment against Wells Fargo Bank NA:

$ 1,000 For 1 of 3 violation(s) of G.S. 143-215.1(a)(6) and
NPDES Permit No. NC0088226, by discharging waste
into the waters of the State in violation of the facility’s
permit effluent limit for chronic toxicity for December
8, 2020.

$ 1,000 For 2 of 3 violation(s) of G.S. 143-215.1(a)(6) and
NPDES Permit No. NC0088226, by discharging waste
into the waters of the State in violation of the facility’s
permit effluent limit for chronic toxicity for January
12, 2021.

$ 1,000 For 3 of 3 violation(s) of G.S. 143-215.1(a)(6) and
NPDES Permit No. NC0088226, by discharging waste
into the waters of the State in violation of the facility’s
permit effluent limit for chronic toxicity for February
9, 2021.

$ 73.88 Enforcement costs.

$ 3,073.88 TOTAL AMOUNT DUE

Pursuant to G.S. 143-215.6A(c), in determining the amount of the penalty I have taken into
account the Findings of Fact and Conclusions of Law and the factors set forth at G.S. 143B-
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 on 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;
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(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.

Within thirty (30) days receipt of this notice, you must do one of the following:

1. Submit payment of the penalty:

Payment should be made directly to the Department of Environmental Quality (do not
include waiver form). Payment of the penalty will not foreclose enforcement action for
any continuing or new violation(s).

Please submit payment to the attention of:

Wastewater Branch
Division of Water Resources
1617 Mail Service Center
Raleigh, North Carolina 27699-1617

OR

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) one or more of the civil penalty assessment factors in G.S. 143B-282.1(b)
were wrongfully applied to the detriment of the petitioner;
(2) the violator promptly abated continuing environmental damage resulting
from the violation;
(3) the violation was inadvertent or a result of an accident;
(4) the violator had been assessed civil penalties for any previous violations;
DocuSign Envelope ID: E6B675E3-951D-48CA-AB16-C9516BE7708F

(5) 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 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:

Water Sciences Section
Division of Water Resources
1621 Mail Service Center
Raleigh, NC 27699-1621

OR

3. File a petition for an administrative hearing with the Office of Administrative
Hearings:

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:

DocuSign Envelope ID: E6B675E3-951D-48CA-AB16-C9516BE7708F

Office of Administrative Hearings
6714 Mail Service Center
Raleigh, NC 27699-6714
Telephone [phone] Facsimile: [phone]

A copy of the petition must also be served on DEQ as follows:

Mr. William Lane, General Counsel
Department of Environmental Quality
1601 Mail Service Center
Raleigh, NC 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.

Please be advised that any continuing violation(s) may be the subject of a new enforcement
action, including an additional penalty. If you have any questions about this civil penalty
assessment, please contact Zach Thomas 919-743-8439 or Cindy Moore at 919-743-8442.

________________ _____________________________________

Date Cindy Moore, Supervisor, Aquatic Toxicology Branch
Division of Water Resources, NCDENR

ATTACHMENTS

cc: John McMahan, ORC (via email: [e-mail])
Chris Orrell, ECS (via email: [e-mail])
Ed Watson, MRO (via email: [e-mail])
ATB Enforcement File
Laserfiche

DocuSign Envelope ID: E6B675E3-951D-48CA-AB16-C9516BE7708F
4/20/2021
JUSTIFICATION FOR REMISSION REQUEST

Case Number: TX-2021-0002 County: Mecklenburg
Assessed Party: Wells Fargo Bank NA
Permit No. (if applicable): NC0088226 Amount Assessed: $ 3,073.88

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 applies. 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:
DocuSign Envelope ID: E6B675E3-951D-48CA-AB16-C9516BE7708F
STATE OF NORTH CAROLINA DEPARTMENT OF ENVIRONMENTAL
QUALITY
COUNTY OF MECKLENBURG

IN THE MATTER OF ASSESSMENT ) WAIVER OF RIGHT TO AN
OF CIVIL PENALTIES AGAINST ) ADMINISTRATIVE HEARING AND
) STIPULATION OF FACTS
Wells Fargo Bank NA )
Wells Fargo Tryon St GWR )
)
)
NPDES PERMIT NO. NC0088226 ) CASE NO. TX-2021-0002

Having been assessed civil penalties totaling $3,073.88 for violation(s) as set forth in the assessment document
of the Director of the Division of Water Resources dated April 20, 2021, the undersigned, desiring to seek
remission of the civil penalties, 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 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 , 20____.

SIGNATURE

ADDRESS

TELEPHONE

DocuSign Envelope ID: E6B675E3-951D-48CA-AB16-C9516BE7708F