Development & Tracking of an Enforcement Case

Followed by a Panel Discussion

Enforcement Action Referral (EAR)

Lisa Westbrook,TCEQ Enforcement Division, Compliance and Monitoring Coordinator (CMC)

How does a wastewater system qualify for an EAR from a CMC Record Review?

• Record Reviews – Self Reported Data • Discharge Monitoring Reports (DMRs)• Enforcement Initiation Criteria (EIC)

• Effluent violations• Missing DMRs• Discharging with an expired permit

• National Pollutant Discharge Elimination System (NPDES)• Texas Pollutant Discharge Elimination System (TPDES)

Examples of violations that meet the EIC for an EAR during a CMC Record Review

Effluent Violations - exceedance of permit limits• Conventional Pollutants

• ≥ 40% , ≥ 2 months during 2 consecutive quarters• nutrients, detergents, oils, solids, oxygen demand

• Toxic Pollutants• ≥ 20% , ≥ 2 months during 2 consecutive quarters• Metals, TRC, cyanide, organic pollutants

• Chronic Exceedance • any permit limit, any exceedance amount

4 months or more during 2 consecutive quarters

Example: Wastewater Facility EAR Scenario

• Record review for a wastewater facility for 12 months (January – December 2017)

• Effluent Violations Reports & Missing DMR Reports

• Effluent Violations found: Exceedance of BOD, 40% or more for January – March 2017 at Outfall 001A

• Permit Reporting Violation – Failure to report Sludge DMRs due July 31, 2017 (SLD-F, SLD-P, SLL-A, SLL-Y, SLS-A)

• System Qualifies for an EAR

Example: Wastewater Facility EAR Scenario• Review System File (Permit Status, Customer/Regulated Entity, Contact Info.)

• Review DMRs with Effluent Violations• Confirm Missing DMRs• Contact Customer to request missing DMRs• Develop Investigation Report & EAR, cite violations with TAC & TWC

• Management Review Process• Mail out Notice of Enforcement to Customer• Send EAR to Wastewater Enforcement Coordinator Team

Development of an Enforcement Case

Steven Van LandinghamTCEQ Enforcement Division, Enforcement Coordinator (EC)

Enforcement Process

• Timelines– 60, 60, 180 days

• Screening– Compliance History, Findings Order, Fees, Additional Issues

• Documents– Cover Letter, Agreed Order, Penalty Calculation Worksheet, Compliance History

The Penalty Policy and the PCW

• Statutory Limits ~ $25,000/day (Texas Water Code ch 7)

• Environmental and Programmatic Matrices

The Penalty (cont.)

The Penalty (cont.)

After Agenda

Technical Requirements start and case is transferred to an Order Compliance Team

Development & Tracking of an Enforcement Case

Followed by a Panel Discussion

Tracking of an Enforcement Case

Deanna DunseithEnforcement DivisionOrder Compliance Tracker

Your Order is Effective. Now What?

• Initial phone call and/or Initial Contact letter• Due dates for each Technical Requirement in the Order are established.

• Technical Requirements generally address the violations cited in the EAR and may include measures to prevent future violations

Missing Sludge Reports and DMRs• Develop and implement updated operational

procedures (SOP) within 30 days of the effective date of the Order.

• Submit missing reports. – If no discharge occurred, you will need to check the “No

Discharge” box and submit it. If your then operator took your files with him or if the reports were shoved in a box in the attic of City Hall and critters ate them, then you must enter in the appropriate NODI code and provide those to us. (Yes, it happens! )

Resolving Your Effluent Violation• Submit 3 most recent months of DMRs along with a corrective action statement and signed certification paragraph within 90 days of the effective date of the Order.

• What does this mean?!– DMRs with NO excursions, regardless of the parameter that got you into enforcement

– Tell us what actions you took to fix your effluent issue(s)– Print out and sign the certification paragraph in the Order

What Happens if You Don’t, Can’t or Won’t•Phone call 10 days before your final due date

•Notice of Noncompliance (NONC) to get your attention and encourage you to contact your friendly Order Tracker

•No response after 30 days will trigger another EAR with Order Violations and NOE

•Last chance to ask for an Extension!

But I Need Help and/or More Time!!• Call your Order Tracker or Small Business & Local Government Assistance (SBLGA) Coordinator for assistance

• Extension Requests are available to allow additional time to comply with your effluent limits

• SBLGA can connect you with Financial Managerial and Technical (FMT) Assistance

• TWICC.org for “one stop shopping” financial assistance

You Did It!!• You submitted all of your missing Sludge Report for the period ending July 2017 and every effluent parameter is within permit limits

• Your corrective action statement was provided• The certification included your John Hancock• Any SEP or CSEP, in lieu of a penalty payment, was completed

• Upon management review and approval, you should receive a Notice of Compliance to frame, file or throw darts at!

Q&A Session