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Modeled after Comprehensive Guide, Chapter 8: ERP Page: 1
Appendix 8-A, revised June 2008
Town of Old Fort Enforcement Response Plan (ERP)
1. Introduction
It is the responsibility of Town of Old Fort (NPDES NC0021229) to enforce all applicable Federal, State,
and local pretreatment regulations. These regulations are outlined in Federal regulation 40 CFR 403 and
State regulation 15A NCAC 2H .0900, and the local SUO. This Enforcement Response Plan (ERP) has
been established as an element of the POTW's pretreatment program. The purpose of the ERP is to
provide for fair and equitable treatment of all Users for anticipated enforcement situations. In general,
enforcement actions will be taken in accordance with this enforcement Response Plan. However, the
enforcement actions available are not exclusive (NC Model SUO Section 8.4). Therefore, any
combination of the enforcement actions can be taken against a non-compliant user.
Enforcement actions taken in response to the requirements of 40 CFR Part 441 will be taken/decided on
a case-by-case basis.
2. Enforcement Actions Available to the POTW
The Director of the POTW is empowered through North Carolina General Statute (NCGS) 143-215.6A
and the local Sewer Use Ordinance (SUO) to take a wide variety of enforcement actions. The following
is a list of those actions and the corresponding section of the local SUO that describes each.
Corresponding sections from the NC model SUO are listed as well.
Local SUO Section NC Model SUO Section
Notice of Violation 8.1(a) 8.1(a)
Consent Orders 8.1(b) 8.1(b)
Show Cause Hearing 8.1(c) 8.1(c)
Administrative Orders 8.1(d) 8.1(d)
Emergency Suspensions 8.1(e) 8.1(e)
Termination of Permit 8.1(f) 8.1(f)
Civil Penalties 8.2 8.2
Injunctive Relief 8.3(b) 8.3(b)
Water Supply Severance 8.3(c) 8.3(c)
In addition to the actions listed above, a User who violates the provisions of NCGS 143-215.6B may be
referred by the Director to the District Attorney for possible criminal prosecution.
In determining the amount of civil penalties for a particular violation the Director shall consider the
following factors (NC model SUO section 8.2)
1. The degree and extent of the harm to the natural resources, to the public health, or to
public or 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 non-compliance;
Modeled after Comprehensive Guide, Chapter 8: ERP Page: 2
Appendix 8-A, revised June 2008
6. Whether the violation was committed willfully or intentionally;
7. The prior record of the violator in complying or failing to comply;
8. The costs of enforcement to the POTW.
Adjudicatory hearing procedures regarding permit decisions, civil penalties, and administrative orders
may be found in the SUO (NC Model SUO Section 10).
3. Investigation of Noncompliance
The Staff of the POTW will generally investigate User compliance with permits or the provisions of the
SUO in three ways:
1. on-site inspections of the User to include scheduled and unscheduled visits;
2. scheduled and unscheduled sampling of the Users effluent;
3. review of self-monitoring data, if required, from the User.
The compliance status of Significant Industrial Users will be evaluated at a minimum once every 6
months.
4. Types of Violation
The following is a list of different types of violations, by category. This list is not inclusive, but serves
as a general list of anticipated types of noncompliance. The User's permit, local SUO, and State and
Federal regulations serve as additional references for pretreatment requirements.
Unpermitted Discharges. Users are responsible for obtaining and renewing permits, if required.
Permit Limits. Users are responsible for maintaining compliance with all effluent limits. The POTW
will evaluate the extent of the limits violation(s). In determining the extent of violation(s), Significant
Non-Compliance (SNC) as defined by State and EPA regulations will be determined.
Self-Monitoring Violations. A User who fails to adequately conduct all the monitoring required in the
permit, including monitoring frequencies and sampling methods specified, is in violation. This includes
a User who does not resample per their permit when a limit violation occurs.
Reporting Violations. A User who fails to provide information (e.g.. self monitoring reports) required
in their Permit or the SUO in the required time frame is in violation. Late or incomplete reports will also
be considered violations. A SIU who submits a report more than 30 days late is possibly considered in
SNC.
Permit Conditions. Failure to apply or reapply for a permit is considered a violation. Users who violate
the general or other conditions (e.g.. slug loading, dilution prohibition) outlined in their permits or the
SUO shall be considered to be in violation.
Modeled after Comprehensive Guide, Chapter 8: ERP Page: 3
Appendix 8-A, revised June 2008
Enforcement Orders. Failure to meet the requirements of an order (e.g.. interim limits, milestone dates),
whether the order was entered into voluntarily or mandated by the POTW, shall be considered a
violation. Missing a scheduled compliance milestone by more than 90 days is considered SNC.
5. Responses: Timeframes, Responsible Officials, Escalated Actions.
The attached chart further outlines types of violations and specifies POTW actions (initial and escalated),
timeframes, and the officials responsible for completing the actions. This chart shall be considered a
part of the Enforcement Response Plan.
Responses to violations affecting the operation of the POTW, resulting in POTW NPDES violations, or
resulting in environmental harm or endangerment to human health will be taken immediately or as soon
as possible following discovery.
A User may be sent a Notice of Violation (NOV) or Notice of Noncompliance (NNC) for each individual
violation. Alternatively, violations over a period of time may be summarized. In general, NOVs in
response to violations will be issued within 30 days of discovery of the violations. Users found to be in
SNC for two (2) consecutive 6 month periods will be issued an enforceable order to return to compliance.
In all cases, escalated or continuing enforcement action will be taken against Users who do not return to
compliance in a timely manner.
Cases of falsifying reports, tampering with monitoring or sampling equipment, or otherwise preventing
the collection of representative data may be referred to the District Attorney for possible criminal
investigation.
Show cause hearings may be held at the Director's discretion prior to taking enforcement actions.
Modeled after Comprehensive Guide, Chapter 8: ERP Page: 1
Appendix 8-A, revised June 2008
6. Chart: Responses Applicable to SIU/CIUs and Users Not Subject to 40 CFR 441
Type of Violation POTW Action Timeframe Responsible
Official
Expected Action
from User
Escalated Action
if Needed
Unpermitted Discharges
Unpermitted Discharge
Unaware Of
Requirement
Notice Of Violation Within 30 Days Of
Discovery Of
Discharge
Pretreatment
Coordinator
File Permit
Application
Suspend Service
Until Permit Is
Issued
Unpermitted Discharge
Aware Of Requirement
Notice Of Violation
With Penalty
Assessed
Within 30 Days Of
Discovery Of
Discharge
Director File Permit
Application
Suspend Service
Until Permit Is
Issued
Unpermitted Discharge
results in NPDES or
other State issued
permit or State General
Statute violations
Order to Cease Process
Causing Violation
Notice of Violation with
recommended minimum
of $1,000 and up to
$25,000/day per
violation Penalty
Order to Cease
Immediately
Notice of Violation
within 7 days
Director File Permit
Application
Steps Taken to avoid
violation
Suspend Service
Until Permit Issued
Unpermitted Discharge
results in
Endangerment
Suspend Service
Notice of Violation
with recommended
minimum $,1000 and up
to $25,000
per day per violation
Penalty
Suspend Service
Immediately
Notice of Violation
within 7 days
Director File Permit
Application
Steps Taken to avoid
future endangerment
Modeled after Comprehensive Guide, Chapter 8: ERP Page: 2
Appendix 8-A, revised June 2008
Type of Violation POTW Action Timeframe Responsible
Official
Expected Action
from User
Escalated Action
if Needed
Permit Limits Violations
Permit Limits
Violation
Single Event
Minor
Notice of non-
Compliance
or Notice of Violation
with $0 to $25,000
Penalty
Within 30 days of
receiving data
Pretreatment
Coordinator
Conduct Additional
Monitoring and
Return to
Compliance
Notice of Violation
with Penalty
Permit Limits
Violation
Technical Review
Criteria (TRC)
Notice of Violation with
0 to $ 25,000 Penalty
Within 30 days of
receiving data
Pretreatment
Coordinator
Conduct additional
monitoring and
return to compliance
Second Notice of
Violation with
Increased Penalty
Permit Limits
Violation
Significant non-
Compliance
Notice of Violation with
0 to $ 25,000 Penalty
Within 30 days of
Receiving all Data
Pretreatment
Coordinator
Report cause of
Non-compliance and
steps taken to
prevent violation
Enforceable
Schedule (AO) if not
resolved by end of
2nd 6-month period
Permit Limits
Violation
results in NPDES
or other State issued
permit or State General
Statute violations
Order to Cease process
causing Violation
Notice of Violation with
recommended minimum
$ 1000 and up to $
25,000/ day per
violation Penalty
Order to Cease
Immediately
Notice of Violation
Within 7 days of
Discovering
Violation
Director Report cause of
Non-compliance and
steps taken to
prevent violation
Suspend Service
Until resolved
Enforceable
Schedule (AO) if not
resolved by end of
2nd 6-month period
Permit Limits
Violation
results in
Endangerment
Suspend Service
Notice of Violation
with a recommended
minimum $1000 and up
to $25,000 per day per
violation Penalty
Suspend Service
Immediately
Notice of Violation
within 7 days
Director File for Reissuance
of Permit
Modeled after Comprehensive Guide, Chapter 8: ERP Page: 3
Appendix 8-A, revised June 2008
Type of Violation POTW Action Timeframe Responsible
Official
Expected Action
from User
Escalated Action
if Needed
Other Violations
Self Monitoring
Violations
Notice of Violation with
a recommended
Minimum Penalty Equal
or Greater Than Cost of
Missed Testing
Within 30 Days of
Discovery
Pretreatment
Coordinator
Conduct Missed
Sampling
Second Notice of
Violation with
Penalty equal to
Twice Cost of
Missed Testing
Reporting Violations
Late Report
Notice of
Non-Compliance
Within 30 days of
the Report Due Date
Pretreatment
Coordinator
Submit Report Notice of Violation
Penalty Assessed
Possible SNC if over
30 days
Reporting Violations
Incomplete or
Inaccurate Reports
Notice of
Non-Compliance
Within 30 days of
Report Submission
Pretreatment
Coordinator
Submit Revised
Report
Notice of Violation
Penalty Assessed
Reporting Violations
Intentional
Falsification
Referred to District
Attorney
As soon as suspected Director
Violation of Permit
Conditions
Notice of Violation with
Penalty up to $25,000
per day per violation
Within 30 Days of
Discovery
Pretreatment
Coordinator
or
Director
Varies
Second Notice of
Violation
with Increased
Penalty
Violation of Permit
Conditions
results in NPDES
or other State issued
permit or State General
Statute violations or
Endangerment
Suspend Service
Notice of Violation with
up to $25, 000 per day
per violation Penalty
Suspend Service
Immediately
Notice of Violation
Within 7 days
Director Steps taken to Avoid
Reoccurrence
Modeled after Comprehensive Guide, Chapter 8: ERP Page: 4
Appendix 8-A, revised June 2008
Type of Violation POTW Action Timeframe Responsible
Official
Expected Action
from User
Escalated Action
if Needed
Other Violations (cont.)
Violations of
Enforcement Order
Conditions or Limits
Notice of Violation
assess Stipulated Penalty
and Actions listed for
same violation type in
ERP
Within Time frame
listed in
Enforcement Order
or For the Same
Type of Violation in
ERP
Pretreatment
Coordinator
or
Director
Additional
Monitoring and
Steps taken to avoid
recurrence
Same as Escalated
Action for Same
Type of Violation
Possible Revocation
of Order
Failure to Meet a
Milestone Date in an
Enforcement Order
(Does not
Affect Other Dates)
Notice of Violation and
Assess Penalty
Stipulated in Order
Within 14 days of
Discovery
Pretreatment
Coordinator
Submit a schedule to
complete the
Requirement
Show Cause Hearing
Failure to Meet a
Milestone Date in an
Enforcement Order
(Affects Other Dates)
Show Cause Hearing
and Assess Stipulated
Penalties
Within 30 days of
Discovery
Director Negotiate new Order
and Abide by New
Conditions
Possible Termination
of Service
Failure to Meet Final
Compliance Date
Notice of Violation and
Assess stipulated
penalties
Within 14 days of
Discovery
Director Document
Compliance
Possible Termination
of Service