NC0021423_Enforcement Response Plan_20190204

Town of Spruce Pine, North Carolina
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PERCS Unit 9 Section
Division of Water Resources
Department of Environmental Quality
1617 Mail Service Center
Raleigh, NC 27699-1617
NPDES NC0021423
Hi, please find attached our updated Enforcement Response Plan for the Town of Spruce Pine.
Please let me know if there is anything else that needs changed in the document. Thank you
for working with me on this update.
Thank you,
Richard Canipe
Town of Spruce Pine
Manager
Post Office Box 189,Spruce Pine,North Carolina 28777-0189
Telephone: [phone] Fax: [phone] Website: www.sprucepine-nc.gov

Town of Spruce Pine
Enforcement Response Plan (ERP)
1. Introduction
It is the responsibility of the Town of Spruce Pine (NPDES NC0021423) 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 (local SUO
Section 8.4). Therefore, any combination of the enforcement actions can be taken against a non-
compliant user.
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.
Local SUO Section
Notice of Violation 8.1(a)
Consent Orders 8.1(b)
Show Cause Hearing 8.1(c)
Administrative Orders 8.1(d)
Emergency Suspensions 8.1(e)
Termination of Permit 8.1(f)
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 143-215.6B 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 (local 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;
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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 (local 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.
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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.
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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 Within 30 Days Of Director File Permit Suspend Service
Aware Of Requirement With 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
$25,000/day per
violation Penalty
Unpermitted Discharge Suspend Service Suspend Service Director File Permit
results in Notice of Violation Immediately Application
Endangerment with recommended Notice of Violation Steps Taken to avoid
minimum$,1000 and up within 7 days future endangerment
to $25,000
per day per violation
Penalty
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Type of Violation POTW Action Timeframe Responsible Expected Action Escalated Action
Official from User if Needed
Permit Limits Violations
Permit Limits Notice of non- Within 30 days of Pretreatment Conduct Additional Notice of Violation
Violation Compliance receiving data Coordinator Monitoring and with Penalty
Single Event or Notice of Violation Return to
Minor with $0 to $25,000 Compliance
Penalty
Permit Limits Notice of Violation with Within 30 days of Pretreatment Conduct additional Second Notice of
Violation 0 to $25,000 Penalty receiving data Coordinator monitoring and Violation with
Technical Review return to compliance Increased Penalty
Criteria(TRC)
Permit Limits Notice of Violation with Within 30 days of Pretreatment Report cause of Enforceable
Violation 0 to $25,000 Penalty Receiving all Data Coordinator Non-compliance and Schedule(AO) if not
Significant non- steps taken to resolved by end of
Compliance prevent violation 2nd 6-month period
Permit Limits Order to Cease process Order to Cease Director Report cause of Suspend Service
Violation causing Violation Immediately Non-compliance and Until resolved
results in NPDES Notice of Violation with Notice of Violation steps taken to Enforceable
or other State issued recommended minimum Within 7 days of prevent violation Schedule (AO) if not
permit or State General $ 1000 and up to $ Discovering resolved by end of
Statute violations 25,000/day per Violation 2nd 6-month period
violation Penalty
Permit Limits Suspend Service Suspend Service Director File for Reissuance
Violation Notice of Violation Immediately of Permit
results in with a recommended Notice of Violation
Endangerment minimum $1000 and up within 7 days
to$25,000 per day per
violation Penalty
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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 Violatio
ns g 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
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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
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