NC0023981_ERP_20200528

NAME OF POTW Enforcement Response Plan (ERP)
1. Introduction
It is the responsibility of the City of Lenoir Lower Creek WWTP NCO023981 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.
Notice of Violation
Consent Orders
Show Cause Hearing
Administrative Orders
Emergency Suspensions
Termination of Permit
Local SUO Section NC Model SUO Section
8.1(a)
8.1(b)
8.1(c)
8.1(d)
8.1(e)
8.1(f)
Modeled after Comprehensive Guide, Chapter 8: ERP Page: 3
Appendix 8-A, revised June 2008; June 2019

Civil Penalties 8.2
Injunctive Relief 8.3(b)
Water Supply Severance 8.3(c)
In addition to the actions listed above, a User who violates the provisions of NCGS 143-215.613 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;
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 User's effluent, alone or in conjunction with other
Users' effluents;
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 Violations
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.
Modeled after Comprehensive Guide, Chapter 8: ERP Page: 4
Appendix 8-A, revised June 2008; June 2019

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.
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.
S. 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: 5
Appendix 8-A, revised June 2008; June 2019

6. Chart: Responses Applicable to SIU/CIUs and Users Not Subject to 40 CFR 441 (see #7)
Type of Violation
POTW Action
Timeframe
Responsible
Expected Action
Escalated Action
Official
from User
if Needed
Unpermitted Discharges
Unpermitted Discharge
Notice of Violation
Within 30 Days of
Pretreatment
File Permit
Suspend Service
Unaware of
Discovery of
Coordinator
Application
Until Permit Is
Requirement
Discharge
Issued
Unpermitted Discharge
Notice of Violation with
Within 30 Days of
Director
File Permit
Suspend Service
Aware of Requirement
Penalty
Discovery of
Application
Until Permit Is
Assessed
Discharge
Issued
Unpermitted Discharge
Order to Cease Process
Order to Cease
Director
File Permit
Suspend Service
results in NPDES or
Causing Violation
Immediately
Application
Until Permit Issued
other State issued
Notice of Violation with
Notice of Violation
Steps Taken to avoid
permit or State General
recommended minimum
within 7 days
violation
Statute violations
of $1,000 and up to
$25,000/day per
violation Penalty
Unpermitted Discharge
Suspend Service
Suspend Service
Director
File Permit
results in
Notice of Violation
Immediately
Application
Endangerment
with recommended
Notice of Violation
Steps Taken to avoid
minimum $1,000 and up
within 7 days
future endangerment
to $25,000
per day per violation
Penalty
Modeled after Comprehensive Guide, Chapter 8: ERP Page: 1
Appendix 8-A, revised June 2008; June 2019

Type of Violation POTW Action I Timeframe I Responsible Expected Action Escalated Action
Official from User if Needed
Permit Limits Violations
Permit Limits
Violation
Single Event
Minor
Permit Limits
Violation
Technical Review
Criteria (TRC)
Permit Limits
Violation
Significant non -
Permit Limits
Violation
results in NPDES
or other State issued
permit or State General
Statute violations
Permit Limits
Violation
results in
Endangerment
Notice of non -
Compliance
or Notice of Violation
with $0 to $25,000
Within 30 days of
receiving data
Pretreatment Conduct Additional
Coordinator Monitoring and
Return to
Compliance
Notice of Violation with Within 30 days of Pretreatment
$0 to $25,000 Penalty receiving data Coordinator
Notice of Violation with Within 30 days of Pretreatment
$0 to $25,000 Penalty Receiving all Data Coordinator
Order to Cease process
causing Violation
Notice of Violation with
recommended minimum
$1,000 and up to
$25,000/ day per
violation Penalty
Suspend Service
Notice of Violation
with a recommended
minimum $1,000 and up
to $25,000 per day per
violation Penalty
Order to Cease Director
Immediately
Notice of Violation
Within 7 days of
Discovering
Violation
Suspend Service Director
Immediately
Notice of Violation
within 7 days
Modeled after Comprehensive Guide, Chapter 8: ERP Page: 2
Appendix 8-A, revised June 2008; June 2019
Conduct additional
monitoring and
return to compliance
Report cause of
Non-compliance and
steps taken to
prevent violation
Report cause of
Non-compliance and
steps taken to
prevent violation
File for Reissuance
of Permit
Notice of Violation
with Penalty
Second Notice of
Violation with
Increased Penalty
Enforceable
Schedule (AO) if not
resolved by end of
2nd 6-month period
Suspend Service
Until resolved
Enforceable
Schedule (AO) if not
resolved by end of
2nd 6-month period

Type of Violation
POTW Action
Timeframe
Responsible
Expected Action
Escalated Action
Official
from User
if Needed
Other Violations
Self Monitoring
Notice of Violation with
Within 30 Days of
Pretreatment
Conduct Missed
Second Notice of
Violations
a recommended
Discovery
Coordinator
Sampling
Violation with
Minimum Penalty Equal
Penalty equal to
or Greater Than Cost of
Twice Cost of
Missed Testing
Missed Testing
Reporting Violations
Notice of
Within 30 days of
Pretreatment
Submit Report
Notice of Violation
Late Report
Non -Compliance
the Report Due Date
Coordinator
Penalty Assessed
Possible SNC if over
30 days
Reporting Violations
Notice of
Within 30 days of
Pretreatment
Submit Revised
Notice of Violation
Incomplete or
Non -Compliance
Report Submission
Coordinator
Report
Penalty Assessed
Inaccurate Reports
Reporting Violations
Referred to District
As soon as suspected
Director
Intentional
Attorney
Falsification
Violation of Permit
Notice of Violation with
Within 30 Days of
Pretreatment
Varies
Second Notice of
Conditions
Penalty up to $25,000
Discovery
Coordinator
Violation
per day per violation
or
with Increased
Director
Penalty
Violation of Permit
Suspend Service
Suspend Service
Director
Steps taken to Avoid
Conditions
Notice of Violation with
Immediately
Reoccurrence
results in NPDES
up to $25,000 per day
Notice of Violation
or other State issued
per violation Penalty
Within 7 days
permit or State General
Statute violations or
Endangerment
Modeled after Comprehensive Guide, Chapter 8: ERP Page: 3
Appendix 8-A, revised June 2008; June 2019

Type of Violation
POTW Action
Timeframe
Responsible
Expected Action
Escalated Action
Official
from User
if Needed
Other Violations (cont)
Violations of
Notice of Violation
Within Time frame
Pretreatment
Additional
Same as Escalated
Enforcement Order
assess Stipulated
listed in
Coordinator
Monitoring and
Action for Same
Conditions or Limits
Penalty and Actions
Enforcement Order
or
Steps taken to avoid
Type of Violation
listed for same violation
or For the Same
Director
recurrence
Possible Revocation
type in ERP
Type of Violation in
of Order
ERP
Failure to Meet a
Notice of Violation and
Within 14 days of
Pretreatment
Submit a schedule to
Show Cause Hearing
Milestone Date in an
Assess Penalty
Discovery
Coordinator
complete the
Enforcement Order
Stipulated in Order
Requirement
(Does not
Affect Other Dates
Failure to Meet a
Show Cause Hearing
Within 30 days of
Director
Negotiate new Order
Possible
Milestone Date in an
and Assess Stipulated
Discovery
and Abide by New
Termination of
Enforcement Order
Penalties
Conditions
Service
Affects Other Dates)
Failure to Meet Final
Notice of Violation and
Within 14 days of
Director
Document
Possible
Compliance Date
Assess stipulated
Discovery
Compliance
Termination of
penalties
Service
Modeled after Comprehensive Guide, Chapter 8: ERP Page: 4
Appendix 8-A, revised June 2008; June 2019

7. Chart: Responses Applicable to Dental Dischargers Subject to 40 CFR 441
Type of Violation
POTW Action
Timeframe
Responsible
Expected Action
Escalated Action
Official
from User
if Needed
Failure to submit one-
Reminder via phone,
Within 60 days of
PT Coordinator
Submit report within
NOV; require report
time compliance report
email or letter
deadline
45 days
within 30 days
(10/ 12/2020)
Continued failure to
2" d NOV with Notice of
Within 30 days of
PT Coordinator
Submit report within
Issue penalty up to
submit one-time
Intent (to issue penalty)
most recent due date
10 days
an amount equal to
compliance report
(Recommend certified
the cost of installing
mail)
an amalgam
separator
Continued failure to
Turn over to POTW
submit report or pay
attorney for collection
penalty
Enforcement actions taken in response to the requirements of 40 CFR Part 441 not listed above will be taken/decided on a case -by -case basis.
Modeled after Comprehensive Guide, Chapter 8: ERP Pagc: 5
Appendix 8-A, revised June 2008; June 2019