Section 15 Enforcement Response Plan and Guide by kch10832

VIEWS: 0 PAGES: 31

									                           Section 15: Enforcement Response Plan and Guide


15.1.0   Enforcement Response Plan and Guide

The Enforcement Response Plan (ERP) and Guide (ERG) is intended to implement an effective
enforcement program to deal with Industrial User noncompliance with applicable pretreatment standards
and requirements, and local, state, and federal rules and regulations. This ERP and ERG provide the
Director with an enforcement response plan that outlines, in a step-by-step fashion, the procedures to be
followed in order to identify, document, and respond to pretreatment and environmental violations.

15.1.1   Procedures for Implementing the Enforcement Response Plan and Guide

A. Authority to Implement Enforcement Response Plan and Guide

    The Austin Water Utility (Utility), a department of the City of Austin (City), pursuant to regulations
    promulgated by the Environmental Protection Agency, 40 CFR 403.8 (f)(5), hereby establishes this
    ERP and ERG (Exhibit 15.1) consistent with the Austin City Code, Chapter 15-10 (Chapter 15-10) as
    amended, and the Pretreatment Program Procedures Manual of the Special Services Division (SSD).
    The purpose of this ERP and the ERG is to achieve a maximum degree of compliance with
    pretreatment standards and requirements and local, state and federal rules and regulations by persons
    discharging to the Publicly Owned Treatment Works (POTW). Enforcement actions available to the
    Utility are intended to provide a wide range of reasonable enforcement responses appropriate to
    instances of noncompliance. The Director of the Austin Water Utility (Director) reserves discretionary
    authority to implement reasonable enforcement actions except where criminal complaints or civil
    actions have been filed in a competent court of law. Such pending legal action will be channeled and
    settled through the appropriate court of law. Enforcement authority to initiate administrative, civil or
    criminal enforcement responses includes, without limitation, the following:

    1.   To inspect a source of industrial waste or other prohibited waste or discharge, pretreatment,
         sampling, or monitoring equipment or method of pretreatment, monitoring or records required
         pursuant to Chapter 15-10.

    2.   To secure right of entry to inspect, sample, monitor or conduct enforcement activities with respect
         to any part of the sewer system servicing such premises.

    3.   To arrange for access by requiring the removal of security barriers or other obstacles.

    4.   To prohibit unreasonable obstruction or delay of access.

    5.   To seek administrative search warrants when refused access to a building, structure, property,
         any pretreatment facilities or other portion of the wastewater system discharging to the POTW.

    6.   To recover expenses, loss, or damage incurred by the Utility.

    7.   To seek restitution for theft of services, damage to property or harm to the City

    8.   To conduct surveillance of premises or persons suspected of noncompliance of local, state or
         federal environmental regulations.

    9.   To recover economic benefit resulting to a person over the period of noncompliance with Chapter
         15-10.

    10. To publish in the largest circulated newspaper all persons meeting the definition of Significant
        Noncompliance in accordance with Code of Federal Regulations, 40 CFR 403.




                                                    15-1
B. Investigation of Noncompliance

    The Director shall sample, inspect, monitor, investigate and conduct surveillance of industrial wastes
    discharged into the POTW to ensure compliance with local, state and federal regulations.
    Investigations and inspections shall be conducted in accordance with Chapter 15-10 and the
    Pretreatment Program Procedures Manual. The Director is also authorized to solicit the assistance of
    local, county, state and federal law enforcement agencies as deemed necessary.

    The Director shall review Wastewater Discharge Permit applications and self-monitoring reports, and
    shall collect samples and analyze them to ensure that industrial waste discharges are not exceeding the
    water quality limits established by Chapter 15-10 or standards promulgated by the Environmental
    Protection Agency and the Texas Commission on Environmental Quality (TCEQ). A site inspection
    will be required where applicable in order to verify the nature and concentration of pollutants. Each
    instance of noncompliance shall be handled as if preparing a criminal action.

    The Director is further authorized to establish sampling and inspection frequencies. Anyone found
    discharging or disposing to the POTW any wastewater in violation of the aforementioned regulations
    subject to administrative, civil or criminal actions. The Director may collect as many samples as is
    deemed necessary to ensure a discharge has been returned to compliance.

C. Director Discretion to Determine Appropriate Enforcement Responses

    1.   The Director shall take into consideration when determining the appropriate enforcement
         response, the following criteria: magnitude of the violation, duration of the violation, effect on the
         POTW or the receiving station, injury to personnel, compliance history of the IU or the good faith
         of the IU. The aforementioned criteria applicable to instances of noncompliance shall be
         evaluated in accordance with the ERG contained herein. All enforcement responses authorized
         under this ERP are cumulative of all others unless otherwise expressly provided. Accordingly, the
         selection of an enforcement response action shall not preclude the pursuit of criminal, civil or
         other administrative action for a violation of the Chapter 15-10 or a Wastewater Discharge Permit.

    2.   The Director may terminate water or wastewater service if a person is found in noncompliance
         with (violation of) Chapter 15-10 or a Wastewater Discharge Permit.The Director may initiate
         termination of water or wastewater service, provided the person discharging causes:

         a.    Damage to the collection system or caused a treatment plant upset;

         b.    A threat to worker health and safety is created by the discharge;

         c.    Disruption or inhibition of the treatment process that then causes the City to violate its
               NPDES or TPDES permit;

         d.    Stoppage of the collection system or causes a sanitary sewer overflow, or

         e.    Fails to render timely payment for a wastewater discharge permit or other applicable fees.

    3.   The Director is authorized to negotiate and establish a compliance schedule for a person whose
         discharge to the POTW is in violation of pretreatment standards and requirements or local, state,
         and federal rules and regulations. The Director may accept a compliance schedule from the person
         discharging to the POTW in lieu of deriving one for them. The Director may terminate water or
         wastewater service of those persons in violation of the aforementioned regulations if a person does
         not comply with the milestone(s) set forth in the compliance schedule approved by the Director.

    4.   All agreements and deadlines must be documented for possible use in court proceedings.
         Subsequent modifications to agreements or extension of deadlines must be approved or granted by




                                                     15-2
         the Environmental Conservation Division Manager, the Pretreatment Compliance Program
         Manager or the Pretreatment Legal Coordinator.

D. Timeframes for Director’s Enforcement Responses

    1.   Enforcement responses to code and Wastewater Discharge Permit violations will be initiated
         within ten (10) working days of discovery or at the discretion of the Environmental Conservation
         Division Manager, the Pretreatment Compliance Program Manager or the Pretreatment Legal
         Coordinator. Whenever use of a citation or warning citation as an enforcement response is
         selected, immediate issuance is allowed.

    2.   When appropriate, follow-up inspections will occur within ten (10) working days of a due date
         specified in a notice of violation in accordance with Section 15.2.1(B)(3) below.

    3.   Follow-up escalated action for repeat or reoccurring offenses will be taken within ten (10) working
         days of discovery and may include the issuance of a compliance schedule, civil or criminal action
         or additional administrative actions.

    4.   Emergency situations caused by violations include, without limitation: imminent danger to the
         public health, safety or welfare; endangerment to City personnel or the environment; or
         interference or pass-through at the POTW. The Director may initiate enforcement responses,
         including without limitation, issuance of cease and desist orders, water or wastewater service
         termination and revocation or termination of a wastewater discharge permit.

15.2.0     Administrative Enforcement Responses

In the case of code or permit violations, one or more of the following administrative enforcement
procedures shall be initiated against the person(s) responsible for the discharge violation.

15.2.1     Notification Process for Administrative Enforcement Responses

A. The Director may issue a written or verbal warning as an enforcement response when deemed
   appropriate for an offense committed contrary to Chapter 15-10 or a provision of a wastewater
   discharge permit. These warnings must be documented in the person’s case file, accordingly. The use
   of a Warning as an enforcement response is intended to address those offenses committed contrary to
   Chapter 15-10 or a provision of a wastewater discharge permit .

B. The Director is authorized to issue a Notice of Violation (NOV) to a person when it is determined that
   noncompliant conditions exist that are contrary to a person’s wastewater discharge permit, or order
   issued under Chapter 15-10, or any other pretreatment standard or requirement, or local, state and
   federal rules and regulations. The Director shall not be required to serve upon said person a written
   Notice of Violation. The person receiving such notice shall provide the Director, within 14 days of
   receipt, unless otherwise specified, an explanation of the violation, and a plan for the satisfactory
   correction and prevention of the violation.

    1.   Notice of Violations:

         The Director may issue a Notice of Violation (NOV) verbally or in writing (Exhibit 15.2)
         whenever a violation has been confirmed. Informal meetings and communications may also serve
         as a notice and will be documented in the customer's case file accordingly. The Director may
         serve a written Notice of Violation describing the violation(s) and the action(s) required to correct
         the same. The NOV shall be served upon a responsible person, including without limitation, the
         owner, occupant, manager, responsible corporate officer, agent, duly authorized representative or
         supervisor. An appropriate due date (see the following Guideline) will be included to show when
         the discharger must achieve compliance.




                                                    15-3
     A follow-up inspection shall be made within ten working days of a due date specified in an NOV
     and, if necessary, additional sampling conducted to determine the status of compliance. If
     compliance has not been achieved, the Director will determine the reason(s), and take appropriate
     action. This action may include a second notice specifying the escalated administrative
     enforcement action for said violation, issuance of a "citation," or a formal compliance letter.

     Second notices may include a warning notice that termination of water service will be initiated at a
     location where wastewater discharge remains in violation of Chapter 15-10. A warning notice will
     not be used when the corrective action includes the installation of major pretreatment facilities
     (e.g. grease interceptors, neutralization or chemical precipitation basins); a formal compliance
     letter will be issued. The compliance letter must include a statement requesting a schedule of
     proposed compliance milestones. Formal compliance letters shall be sent by certified mail or hand
     delivered.

2.   Offenses that Result in Notices of Violation

     The following offense(s) shall be deemed a violation of a Wastewater Discharge Permit or Chapter
     15-10, including without limitation:

     a.   Denied Right-of-entry or access to applicable records.

     b.   Discharge of Prohibited Wastes.

     c.   Discharge of Drainage Water or Groundwater, except as approved by the Director.

     d.   Unreported/unauthorized bypass of pretreatment.

     e.   Failure to install and maintain a sample port and/or a control manhole.

     f.   Illegal discharge.

     g.   Violation of Categorical Pretreatment Standards/Limits.

     h.   Discharging to the POTW without first securing a Wastewater Discharge Permit (WDP).

     i.   Manifests:

          i.   Failure to manifest hauled waste

          ii. Improperly manifesting hauled waste

          iii. Falsifying information

     j.   Non-compliance of "Orders" in accordance with Chapter 15-10, Sections 272, 273, 274 and
          275.

     k.   Violation of Code Provisions or Permit conditions.

     l.   Noncompliance with the 3 month grease trap pumpage requirement.

     m. Exceeding by 50% the wetted height of the grease trap

     n.   Failed to maintain a pretreatment device.




                                                  15-4
    3.   Dates for responding to NOVs shall be at the discretion of the Environmental Conservation
         Division Manager, the Pretreatment Compliance Program Manager or the Pretreatment Legal
         Coordinator, but at no time exceed the required dates.

C. Assurances of Voluntary Compliance or Consent Order

    Voluntary Compliance or Consent Orders are legal documents indicating a mutual agreement between
    the Director and the person responsible for a violation of Chapter 15-10. The person responsible for
    the
    violation shall describe the violation, the specific action(s) to be taken to correct the noncompliance
    and the time period for completion of the corrective action(s). This document shall be evidence of
    intent of the responsible person to ameliorate voluntarily the described violation(s). It shall be signed
    and dated by the person responsible for compliance and shall be judicially enforceable.

    1.   Written Assurances of Voluntary Compliance or Issued Consent Order. The Director may enter
         into assurances of voluntary compliance, consent orders or similar documents establishing an
         agreement for voluntary compliance with a person responsible for a violation of Chapter 15-10.

    2.   The assurance or consent must describe the violation and specific actions agreed to be taken by the
         person to correct the noncompliance and the time period for completion of the corrective actions.

    3.   An assurance of voluntary compliance, consent order or similar document evidencing the intent of
         the responsible person to ameliorate voluntarily the described violations of Chapter 15-10 must be
         signed and dated by the person responsible for compliance and is judicially enforceable.

    4.   If a person does not comply with an assurance of voluntary compliance, consent order or similar
         document, the Director may take action to enforce compliance.

    5.   An assurance of voluntary compliance, consent order or similar document does not limit or restrict
         the actions or remedies available for violations of Chapter 15-10 or the terms of the legal
         instrument.

D. Show Cause Hearing

    1.   The Director may order a person responsible for a violation of Chapter 15-10, the conditions of a
         wastewater discharge permit, or pretreatment requirements and standards, or local, state or federal
         rules and regulations to appear before the Director and show cause why a proposed enforcement
         action should not be taken.

         The responsible person receiving such order is required to respond by certified mail within three
         calendar days prior to the scheduled Show Cause Hearing. Notice must be served on the person
         specifying:

         a.   The time and place for the hearing,

         b.   The nature of the violation,

         c.   The proposed enforcement action,

         d.   The reasons for the action, and

         e.   A request that the person show cause why the proposed enforcement action should not be
              taken.

    2.   Service of a Show Cause Hearing Notice

         Must be served in person or by certified mail, return receipt requested, at least three calendar days
         before the hearing. The notice may be served on an employee, agent or other authorized
         representative of the person responsible for the violation.
                                                    15-5
    3.   Appearance of Responsible Person

         Whether or not the person appears as ordered, the Director may take immediate enforcement
         action following the noticed hearing date.

    4.   Show Cause Hearing not a Prerequisite

         A show cause hearing is not a prerequisite for taking other action against the person. The issuance
         of a show cause notice does not prevent the Director from pursuing emergency actions if the
         Director determines the actions are required to prevent pass through or other damage or
         interference with the POTW.

E. Compliance Orders

    The Director may issue a Compliance Order (Exhibit 15.3) to the responsible person to remedy a
    violation of the provisions of Chapter 15-10, conditions of a wastewater discharge permit, or other
    Order issued hereunder or any other pretreatment standard or requirement. The Order may direct the
    person responsible for the violation to comply within a specified time and manner.

    1.   If the Director determines that a person has violated or continues to violate the provisions of
         Chapter 15-10 or the conditions of a wastewater discharge permit or other order issued or a other
         pretreatment standard or requirement, the Director may issue an order to the person responsible for
         the discharge directing that the person correct the noncompliance within the time period and in the
         manner provided in the compliance order.

    2.   If the person does not comply within the time named in the compliance order, the Director may
         discontinue and disconnect water or wastewater service to the non-complying premises unless
         adequate treatment facilities, devices, or other related appurtenances sufficient to ensure
         compliance are installed and operated.

    3.   The compliance order may contain other requirements the Director deems necessary to protect the
         POTW or sanitary sewer including additional self-monitoring, reporting and waste management
         practices designed to minimize the amount of pollutants discharged to the POTW.

    4.   A compliance order may not extend a deadline for compliance established for a federal
         pretreatment standard or requirement established by federal law or by EPA order, regulation or
         otherwise.

    5.   A compliance order does not release the non-complying person of liability for a violation.

    6.   Issuance of a compliance order is not a prerequisite to taking any other action against the person.

F. Cease and Desist Orders

    The Director may issue a Cease and Desist Order (Exhibit 15.4) to the responsible person for a
    violation of Chapter 15-10, conditions of a wastewater discharge permit, or any other order issued
    hereunder, or that past violations committed by such person are likely to recur, to cease and desist
    immediately.

    1.   If the Director determines that a person is violating Chapter 15-10, the conditions of the person's
         wastewater discharge permit or other order issued, or that past violations committed by the person
         are likely to recur, the Director may issue an order directing the person to cease and desist the
         violations immediately and to:

         a.   Immediately comply with requirements of Chapter 15-10, the conditions of a wastewater
              discharge permit or other order issued,


                                                    15-6
          b.   Take remedial or preventive action needed to address a present, continuing or threatened
               violation including halting operations or terminating the wastewater discharge to the POTW
               through disconnection or otherwise.

     2.   Issuance of a cease and desist order is not a prerequisite to taking subsequent enforcement action
          against the non-complying person.

G. Emergency Suspensions

     If the Director determines that an actual or threatened discharge presents an imminent danger to the
     health, safety, and/or general welfare of persons or property, or presents an imminent danger of pass-
     through or other threat to the environment, or otherwise threatens to interfere with the operation of the
     POTW, the Director, after giving written or verbal notice to the person responsible for the discharge,
     may suspend the water and/or wastewater services of the premises from which the discharge emanates
     and disconnect or sever any connection to the City's sanitary sewer system.

     1.   A person notified of the suspension of the person’s water or wastewater service must immediately
          stop the discharge or eliminate its contribution to the sanitary sewer system.

     2.   If the person responsible for the discharge fails to comply immediately with the emergency
          suspension order, the Director may immediately undertake necessary measures to prevent or
          minimize damage to the POTW, to the environment, or to persons or property.

     3.   The Director may immediately sever sewer connections. Unless the Director has initiated
          proceedings for termination of the discharge, the Director may allow the discharge when the
          responsible person has demonstrated to the Director that the period of endangerment has passed.

     4.   Permission to discharge does not constitute a waiver of the City's right to pursue criminal or civil
          penalties or other authorized relief.

     5.   Before re-instating the suspended discharge, the person responsible for the discharge must submit
          to the Director a written detailed report describing the causes of the harmful discharge and the
          water supply measures the person has implemented to prevent a recurrence of the harm.

     6.   The Director does not have to provide a hearing before an emergency suspension.

H. Termination Order.

     If the Director determines that a person has violated the provisions of Chapter 15-10, the conditions of
     the person’s Wastewater Discharge Permit or other order, the Director may:

     1.   Order the person to terminate its discharge to the POTW; and

     2.   Enforce termination of the discharge by severance of the person’s sanitary sewer connection(s).

I.   Termination of Water/Wastewater Service

     If the Director determines that a person has violated Chapter 15-10, the conditions of the person’s
     Wastewater Discharge Permit, or other order, the Director may, in addition to other remedies available
     under Chapter 15-10, issue a notice terminating water or wastewater service to the person's premises.

     The Director may initiate service termination of water and/or wastewater service as an enforcement
     response to non-compliance with Chapter 15-10 or a Wastewater Discharge Permit.

     1.   After a customer has been found to be in violation of Chapter 15-10 or a Wastewater Discharge
          Permit, the Director is authorized, if such person is receiving water or wastewater service from




                                                     15-7
         the City, to disconnect or discontinue such person's water or wastewater service line from the City
         water distribution system and/or the sanitary sewer system. If such person does not use City
         water, the Director is authorized to disconnect or discontinue such person's connection to the
         sanitary sewer system. The Director shall give a specified length of time to bring the violation
         into compliance. The Director, to ensure compliance with the aforementioned ordinance, will
         initiate water or wastewater service termination.

    2.   To terminate water or wastewater service, the customer may be notified in writing at least twenty-
         four (24) hours prior to water or wastewater service termination. A notice to terminate service
         may be issued by the Director and sent to Austin Energy, Customer Service Office with a copy to
         the City Attorney. A copy of the notice shall be hand-delivered to the customer or designated
         representative. The notice shall be written so that the water and/or sanitary sewer service is not
         resumed until the violation has been corrected. The burden of proof of compliance is the
         responsibility of the customer, and reasonable evidence must be presented to the Director in
         writing and signed by a duly authorized representative.

    3.   No disconnected water and/or sanitary sewer connection, by order of the Director for violation of
         Chapter 15-10, shall be reconnected until the condition causing the termination of service has been
         corrected, and the Director has approved the correction.

    4.   Customers failing to pay a Wastewater Discharge Permit fee, within the designated timeframe,
         will be subject to water and/or wastewater service termination in accordance with the Pretreatment
         Program Procedures Manual (Water or Wastewater Service Termination SOP), Section 22.

15.2.2     Significant Noncompliance (SNC) Evaluation and Publication of SNC Industrial Users

A. Significant Noncompliance

    The Director shall evaluate Industrial Users (IUs) for SNC and publish annually in a newspaper of the
    largest circulation in the City of Austin a list of the IUs in SNC during a pretreatment report year in
    accordance with Chapter 15-10 and 40 CFR 403.

    1.   The IU Significant Noncompliance Evaluation will be initiated using wastewater reporting and
         discharge monitoring data to determine whether an IU meets the criteria for SNC.

    2.   Beginning on the first day of the pretreatment year (i.e. October 1 of a given year through
         September 30 of the following year), the pretreatment year shall be divided into four (4) quarters
         of three (3) months each.

    3.   At the end of each quarter, all monitoring data is evaluated for each industrial user for the previous
         six (6) months to determine whether the IUs are in SNC. This evaluation shall include all samples
         collected in accordance with the discharge permit issued to the industrial user, regardless of who
         collected the samples.

    4.   Any IU meeting the SNC criteria for any such six month period must be cited in the annual
         pretreatment program status report and published in the paper as required in the City's NPDES or
         TPDES permit.

    5.   Using this procedure, IU noncompliance will actually be evaluated over five (5) quarters rather
         than one calendar year, and violations at the end of one pretreatment year may result in an industry
         being cited as being in SNC for consecutive years as a result of a single noncompliant episode.

    6.   The SNC evaluation will consider all wastewater reporting and discharge monitoring data and
         analytical results derived by approved methods .




                                                     15-8
B. Publication of Non-Compliant Users List

    The Director shall publish annually in the City's largest daily newspaper a list of the IUs that, during
    the previous twelve (12) months, the Director determined to be in Significant Noncompliance (SNC)
    with applicable pretreatment standards and requirements of Chapter 15-10. Significant
    Noncompliance shall mean:

    1.   Chronic violations of wastewater discharge limits, defined here as those in which 66% or more of
         wastewater measurements taken for a specific pollutant during a six month period exceed the daily
         maximum limit or average limit for the same pollutant parameter by any amount;

    2.   Technical review criteria (TRC) violations, defined herein as those in which 33% or more of
         wastewater measurements taken for pollutant parameters during a six month period equal or
         exceed the product of the daily maximum limit or the average limit for the same pollutant
         multiplied by the applicable criteria (1.4 for fats, oils and grease, and 1.2 for all other pollutants
         except pH);

    3.   A discharge violation that the Director believes has caused, alone or in combination with other
         discharges, interference or pass-through (including endangering the health of POTW personnel or
         the general public);

    4.   A discharge of pollutants that has caused imminent endangerment to the public or to the
         environment or that otherwise has resulted in the City's exercise of its emergency authority to halt
         or prevent such a discharge;

    5.   Failure to meet, within ninety days of the scheduled date, a compliance schedule milestone
         contained in a wastewater discharge permit or enforcement order for starting construction,
         completing construction, or otherwise attaining final compliance;

    6.   Failure to provide within thirty days after the due date, any required reports, including baseline
         monitoring reports, ninety day compliance reports, periodic self-monitoring reports, and reports on
         compliance with compliance schedules;

    7.   Failure to accurately report noncompliance; or

    8.   Any other violation(s), which the City determines, has or will adversely affect the operation of the
         POTW or implementation of the local pretreatment program

15.2.3     Special Instructions

A. Any apparent violation that involves complex problems should be discussed with the Pretreatment
   Legal Coordinator, the Pretreatment Compliance Program Manager or the Environmental Conservation
   Division Manager.

B. Pretreatment personnel will not specify, design, or engineer a corrective action a person must enact in
   order to achieve compliance, but may refer to general methods of industrial waste control with respect
   to such a discharge.

C. All SSD personnel shall comply with all applicable safety procedures and use personal protective
   equipment during these inspections.

D. The Pretreatment personnel shall leave the premises in the event of a personality clash/altercation and
   return at a more controlled time with appropriate assistance and, if necessary, with law enforcement of
   jurisdiction.




                                                      15-9
15.3.0     Civil Enforcement

A. If a person has received notification that a violation of the provisions of Chapter 15-10, pretreatment
   requirements and standards, or local, state or federal rules and regulations has been committed and the
   person continues to commit acts in violation of Chapter 15-10 or fails to comply with Chapter 15-10,
   the Director may initiate legal action against the owner, occupant, or manager of the premises that is in
   violation of Chapter 15-10, to recover a civil penalty not to exceed $5,000 per day for each violation.

B. Each day or fractional part that the non-compliance continues constitutes a separate violation. A civil
   action for civil penalties does not preclude additional enforcement actions against a person for
   violations of Chapter 15-10. The Director is further authorized to file civil suit demanding relief
   through an action for injunction, temporary restraining order or claim for damages to recover for
   expenses, loss, or damage to City property occasioned by the violation.


15.4.0     Criminal Enforcement

A person violating Chapter 15-10 or provisions of a Wastewater Discharge Permit commits an offense. An
offense under this chapter is a class “C” misdemeanor, punishable in accordance with §1-1-99 (Exhibit
15.5). Each occurrence of a violation of Chapter 15-10 is a separate offense.

15.4.1     Criminal Prosecution

Criminal prosecution is the formal process of charging individuals and/or organizations, corporations,
political subdivisions or legal entities with violations of local, state and federal laws that are punishable,
upon conviction, by fines and/or imprisonment. Criminal Prosecution will be administered in courts of
competent jurisdiction and in accordance with the Texas Penal Code, the Texas Code of Criminal
Procedures and the Texas Rules of Criminal Evidence.

15.4.2     Evidentiary Data:

A. Date of Issuance - date citation was issued and or mailed,

B. Name of Offender - last, first and middle initial when applicable or name of manager or authorized
   agent, authorized representative or responsible corporate officer of the business or legal entity at the
   time of citation issuance. Staff is responsible for identification of the offender prior to the court
   hearing.

C. Name of Business - the name should be researched, verified and certified through the State
   Comptroller (sales tax permit), Secretary of State (charter, franchise or partnership documentation)
   and/or County Clerk's Office (assumed name certificate).

D. Address - the owner (committing the offense) or the business location or the Registered Agent where
   departmental notices and court notices and summons can be mailed.

E. Address of Offense - where the offense occurred.

F. Alleged Offense - complaints with specificity requirements established by the court is crucial to
   successfully litigating a complainant. State the alleged offense legibly and as briefly as possible.
   Avoid verbatim quoting of Austin City Code language. Use your own words. List the applicable
   Austin City Code chapter, section and subsection. The alleged offense shall be read in full to the
   offender. Staff should immediately request signature and avoid lengthy discussion until signature is
   secured.

G. Witness(es) - Director issuing a warning citation or citation, other City personnel or informants
   providing verifiable information or a person as a primary witness.




                                                     15-10
H. Date of Offense - the date when the offense occurred and was verified by the pretreatment personnel.

I.   Signature of Offender - a copy of the signed citation is immediately given to the offender. Upon
     refusal of signature, allow the offender to observe your documentation of offender's "refusal to sign" in
     the area designated for the offender's signature. Circumstances(s) pertinent to the refusal must be
     documented for use in court proceedings.

J.   Citation Notification - offenders refusing acceptance and signature of warning citations and citations
     will be notified via Certified Postal Mail of the alleged offense (with a copy of the Citation).

15.4.3    Offense Fine Schedule

     Municipal Court judges currently assess fines for the aforementioned offenses as follows:

                                                             Recommended
                                                             Standard           Maximum
          Offense                                            Fine *             Fine*

          Right of Entry                                     $605.00            $2000.00
          Manifest Ticket                                    $605.00            $2000.00
          Unanticipated Bypass                               $605.00            $2000.00
          Sampling Port                                      $605.00            $2000.00
          Unapproved Pretreatment                            $605.00            $2000.00
          Illegal Discharge                                  $605.00            $2000.00
          No Permit                                          $605.00            $2000.00
          Ordinance or Permit                                $605.00            $2000.00

          * Judges reserve judicial authority in assessing fines lower or higher than the recommended
            standard fine.

          * Standard and Maximum Fine Amounts Policy," of the City of Austin Municipal Court. The
            Court may assess a court cost associated with processing of a criminal complaint, which may
            increase the amount paid by a defendant. In no case may the maximum fine exceed the
            maximum fine allowed by State Law.

15.4.4      Citation Program

A. In cases where violations occur subject to the Citation Program, a "Citation" or a "Warning Citation"
   may be served as the "Notice of Violation" to the person committing the offense. The Citation
   Program affords the Director immediate response to pre-identified offenses.

B. The primary purpose of establishing a citation system is to effectively and efficiently address
   environmental violations of the Chapter 15-10and state and federal law.

C. Citations issued under the provisions of Chapter 15-10 and this Enforcement Response Plan will be
   filed at the City of Austin's Municipal Court. The issuance of Warning Citations will be left to the
   discretion of the Director. Warning Citations will not be filed at the Austin Municipal Court, but will
   serve as a prelude to escalated enforcement responses. Citations and Warning Citations shall be
   issued for the following offenses of Chapter 15-10 in accordance with procedures set forth herein:

     1.   Right of Entry - Entry denied or consent withdrawn, access to or copies of records denied.

     2.   Manifest Ticket - Fails to demonstrate or possess during transit or discharge.

     3.   Unanticipated Bypass - Implementation by an Industrial User or Significant Industrial User - fails
          to inform the Director.




                                                    15-11
    4.   Sampling Port - Fails to install or provide access.

    5.   Unapproved Pretreatment - Implementation of a pretreatment system or process by the Industrial
         User prior to securing written approval from the Director.

    6.   Illegal Discharge - Discharge of hauled waste or prohibited waste into the POTW without prior
         approval or permit.

    7.   No Permit - Discharge of wastewater orother waste without an Waste Discharge Permit issued by
         the Director.

    8.   Ordinance or Permit - Fails to comply with Chapter 15-10 provisions or Wastewater Discharge
         Permit conditions.

D. Warning Citation: Initially, a warning may be issued to the offender (defendant) upon verification of
   an offense. The Warning Citation must be properly completed (citing each offense and Chapter 15-10
   sections respectively) and served on the person committing the offense, preferably an agent, duly
   authorized representative or high managerial officer or to the responsible corporate officer of the
   business or legal entity. Warning citations that cannot be served on the offender, or when no one is
   present, shall be sent by certified mail to the business agent or owner. The Director shall make every
   effort to establish contact with the Authorized Representative.

E. Negotiation: The Director is may initiate negotiations with a person in order to achieve compliance.
   Negotiations may continue as long as the person demonstrates a good faith and effort to comply with
   Chapter 15-10, provisions of a Wastewater Discharge Permit or a modified permit that may include a
   compliance schedule. The Director authorized to grant reasonable extensions from the initial deadline.
   All agreements and deadlines must be documented for possible use in court proceedings. Subsequent
   extensions must be approved or granted by the Environmental Conservation Division Manager,
   Pretreatment Compliance Program Manager or Pretreatment Legal Coordinator.

F. Citation: Citations shall be issued for violations of Chapter 15-10 or provisions of a Wastewater
   Discharge Permit. On occasion, offenders will refuse to accept or sign the issued citation. The
   circumstance(s) of the refusal by an offender must be documented for use in court proceedings. The
   Director shall make every effort to secure information as to the reason for refusal to sign the citation,
   including the name and title or level of responsibility of the person refusing to sign the citation. The
   second step in the citation procedure is to file a criminal complaint in Municipal Court at which time
   all negotiations cease between departmental staff and defendant(s). Pretrial contacts and discussions
   shall involve or be channeled through the Pretreatment Legal Coordinator..

    The Director shall file criminal complaints in a competent court of law in accordance with applicable
    local, state and federal laws.

15.4.5     Cumulative Remedies

The remedies authorized under Chapter 15-10 are cumulative unless specifically prohibited by a state or
federal regulation.

15.4.6     Liability

A person may be held liable for a violation of Chapter 15-10 or provisions of a Wastewater Discharge
Permit if the person:

A. Commits or assists in the commission of a violation;

B. Is an authorized representative under Chapter 15-10; or




                                                    15-12
C. Is the owner, occupant, or manager of a premises, property or facility that is the source of a discharge.

15.5.0     Recovery of Economic Benefits of Noncompliance.

If the Director determines that a person has violated this Chapter, a permit, enforcement order, or
agreement, the Director may recover economic benefit accrued to the person due to the person’s non-
compliance (Exhibit 15.6), including:

    1.   The cost benefit resulting from the delay or avoidance of capital costs that would have incurred for
         compliance;

    2.   The cost benefit resulting from the delay or avoidance of operation and maintenance costs that
         would have been incurred for compliance including the cost of labor, utilities, chemicals, supplies,
         replacement parts, overhead, monitoring, permit fees, and other fixed or variable costs for the
         period of the violation(s);

    3.   A reasonable investment rate of return on the costs benefit calculated in (a) and (b) above over the
         period of the violations;

    4.   The value of a competitive advantage derived by the person attributable to the person’s non-
         compliance over the period of the violation(s) including increased profits or market share
         compared to competitors in compliance; and

    5.   Other economic benefit the Director may determine.




                                                   15-13
                           Exhibit 15.1 Enforcement Response Guide

Key to Enforcement Response Guide

AE      Administrative Enforcement - Utility initiated action in response to wastewater discharged
        contrary to the Sewers and Sewage Disposal Ordinance or a Wastewater Discharge Permit. This
        action includes, without limitation: Notice of Violation, Assurances of Voluntary Compliance,
        Show Cause Hearing, Compliance Orders, Cease and Desist Orders, Civil Penalties, Emergency
        Suspensions, Water or Wastewater Service Termination, Publication of Significant Noncompliant
        Users.

APD     Austin Police Department - Assistance from the Police Department will be requested to serve
        administrative search warrants or conduct investigations of environmental crimes.

CT      Citation - A "Citation" or "Warning Citation" (ticket) issued by Special Services Division Staff
        for a violation of ordinance provisions or of a wastewater discharge permit.

CA      Civil Action - Includes Injunction, Temporary Injunction or Temporary Restraining Order (TRO).

CM      Complaint - A criminal complaint filed at the Municipal Court of the City of Austin or any
        competent court of law, alleging an ordinance or permit violation.

CP      Criminal Prosecution - Legal action or proceedings initiated by the City, State or Federal
        governments in a competent court of law on behalf of the public, in order to secure the conviction
        and punishment of one accused of crime.

CR      Cost Recovery - The amount of money incurred by the Utility due to a violation. The recovered
        amount may include labor, materials, repairs by others and/or overhead.

EB      Economic Benefit - The economic benefit experienced by an IU as a result of noncompliance
        with pretreatment standards and requirements and to use this amount, plus an additional amounts
        which reflect the gravity of the violations, as the lowest acceptable settlement penalty.

ED      Environmental Docket - A docket established in Municipal Court of the City of Austin to
        conduct hearings pertaining to environmental crimes.

ECDM Environmental Conservation Division Manager - The managing agent or representative
     coordinating pretreatment programs and implementation of enforcement proceedings for the
     Special Services Division (SSD) of the Austin Water Utility (Utility).

FN      Fine - A pecuniary punishment or penalty imposed by a lawful court upon a person convicted of
        crime or misdemeanor resulting from civil action or criminal prosecution.

IH      Informal Hearing - A hearing conducted by the Director or his designee addressing an appeal by
        a person aggrieved by a decision, interpretation or ruling under this Article. Within sixty (60)
        days of the filing of such appeal, the Director shall conduct an informal hearing on the matter and
        allow such person to appear and present the facts and their position with respect to the appealed
        decision, ruling or interpretation .

IU      Industrial User - A source of an indirect discharge of pollutants into a POTW from any non-
        domestic source regulated by the Clean Water Act, Section 307 (b)(c)(d) and the Austin City Code
        (Chapter 15-10).

NOV     Notice of Violation - Notification from the Utility identifying violations of permit conditions or
        ordinance provisions in the form of verbal or written communications and citations.




                                                  15-14
PCPM Pretreatment Compliance Program Manager – The managing agent or representative
     responsible for supervising the implementation of the City's pretreatment program and enforce
     conditions of wastewater discharge permits and Ordinance provisions.

PCS     Pretreatment Compliance Specialist - The agent or representative responsible for
        implementation of the City's pretreatment program and enforce conditions of wastewater discharge
        permits and Ordinance provisions.

PLC     Pretreatment Legal Coordinator - The agent or representative who functions as liaison between
        the courts and other agencies and coordinates the administrative, civil and criminal enforcement of
        pretreatment programs, permit conditions or ordinance provisions for the Utility and supervises
        surveillance activities of suspects engaged in illegal conduct contrary to local, state and federal
        environmental laws.

POTW Publicly Owned Treatment Works - A system of conveyances and treatment for wastewater,
     inclusive of governmental officials/employees responsible for operation and maintenance of the
     collection system or treatment plant and the administration of the pretreatment program.

PR      Permit Revocation - The revocation of the Wastewater Discharge Permit held by an individual or
        an industry for violation of permit or ordinance provisions, after notice and administrative hearing,
        by the Director of the Austin Water Utility or his designee.

SIU     Significant Industrial User - Industrial Users which: are subject to Categorical Pretreatment
        Standards under 40 CFR 403.6 and 40 CFR Chapter I (N); discharge an average of 25,000 gallons
        or more per day of process wastewater to the POTW; contribute a process wastestream which
        makes up 5% or more of the average dry weather hydraulic or organic capacity of the POTW
        treatment plant; or has a reasonable potential for adversely affecting the POTW's operation or
        violating any pretreatment standard or requirement.

SSD     Special Services Division - The Division of the Austin Water Utility designated by the Director to
        implement the City's pretreatment program and enforce conditions of wastewater discharge
        permits and Ordinance provisions.

VL      Violation - Any breach or act by a person contrary to the Sewers and Sewage Disposal Ordinance
        or the Wastewater Discharge Permit issued by Austin Water Utility or any state or federal
        environmental guideline.

WDP     Wastewater Discharge Permit - A permit issued by the Utility authorizing discharge of
        wastewater to the City sanitary sewer system.

W/WW Water or Wastewater Service Termination – A person’s water or wastewater service is
/ST  terminated W/WW/ST for
     violations of the Sewers and Sewage Use Ordinance, including without limitation, for failing to
     remit payment of the wastewater discharge permit in a timely manner, failing to submit reports
     required by ordinance or wastewater discharge permit, causing stoppage of the collection system or
     causing a sanitary sewer overflow.




                                                   15-15
                                                        ENFORCEMENT RESPONSE GUIDE

A. ORDINANCE PROVISION OR PERMIT CONDITION VIOLATIONS - - - CITATION PROGRAM

   NONCOMPLIANCE                    NATURE OF VIOLATION                    ENFORCEMENT RESPONSE            PERSONNEL

   1.   RIGHT OF ENTRY              Entry denied or consent withdrawn,     Secure Administrative Search    ECDM, PLC, PCS, ED
                                    access to or copies of records         Warrant - serve/search site     APD
                                    denied. Recurring offense.             -Citation or Warning Citation   PCS
                                                                           -Criminal Prosecution           PCS, PLC, ED
                                                                           - W/WW/ST                       ECDM, PLC, PCPM

   2.   MANIFEST TICKET             Fails to demonstrate or possess        -Citation or Warning Citation   PCS
                                                                           -Criminal Prosecution           PCS, PLC, ED

   3.   BYPASS                      Unpermitted implementation by IU,      -Citation or Warning Citation   PCS
                                    failure to pretreat                    -Criminal Prosecution           PCS, PLC, ED
                                                                           - W/WW/ST                       ECDM, PLC, PCPM
                                                                           - EB                            ECDM, PLC, PCPM

   4.   SAMPLING PORT               Fails to install or provide access     -Citation or Warning Citation   PCS
                                    to sampling/inspection port            -Criminal Prosecution           PCS, PLC, ED
                                                                           - W/WW/ST                       ECDM, PLC, PCPM

   5.   UNAPPROVED PRETREATMENT     Unapproved implementation by IU-       -Citation or Warning Citation   PCS
                                                                           -Criminal Prosecution           PCS, PLC, ED
                                                                           - W/WW/ST                       ECDM, PLC, PCPM

   6.   ILLEGAL DISCHARGE           Discharge of prohibited waste or       -Citation or Warning Citation   PCS
                                    drainage water into the sanitary       -Criminal Prosecution           PCS, PLC, ED
                                    sewer system w/o prior approval        - W/WW/ST                       ECDM, PLC, PCPM
                                    from POTW                              - EB                            ECDM, PLC, PCPM

   7.   NO PERMIT                   Discharge of industrial waste w/o      -Citation or Warning Citation   PCS
                                    IWDP                                   -Criminal Prosecution           PCS, PLC, ED
                                                                           - W/WW/ST                       ECDM, PLC, PCPM

   8.   GENERAL VIOLATION           Ordinance provision or Permit          -Citation or Warning Citation   PCS
                                    Condition                              -Criminal Prosecution           PCS, PLC, ED
                                                                           - W/WW/ST                       ECDM, PLC, PCPM
                                                                           - EB                            ECDM, PLC, PCPM




                                                                   15-17
B. INDUSTRIAL WASTE DISCHARGE LIMITS

     NONCOMPLIANCE               NATURE OF VIOLATION                       ENFORCEMENT RESPONSE                   PERSONNEL

     1.   PROHIBITED DISCHARGES
          AND LIMITATIONS     SIU aware/unaware
                              - No harm to POTW                            NOV, AE or CR                          PCS, ECDM
                              - Harm to POTW                               AE, CP, CR, W/WW/ST                    PCS, PLC, ECDM, PCPM
                              - Fails to inform POTW                       AE, CP, CR, W/WW/ST, EB                PCS, PLC, ECDM, PCPM, ED

                                 SIU fails to comply with
                                 Administrative Enforcement                Administrative search warrant or       PCS, PLCP LC, ECDM, AP
                                                                           -Criminal prosecution (FN), or         PCS, PLCP LC
                                                                           -Civil action (TRO, Inj., CR) or       PCS, PLCP LC, ECDM
                                                                           - W/WW/ST, EB                          ECDM, PLC, PCPM, ED
                                 SIU repeats offense
                                 -Civil action or Administration           W/WW/ST and PR or                      PCS, PLP LC, ECDM, PCPM
                                 Enforcement pending                       -Criminal prosecution (FN) or          PCS, PLP LC, ED
                                 -Criminal prosecution pending             -Civil action (TRO, Inj., CR) and EB   PCS, ECDM, P LC, ED


                                 NON-SIU aware/unaware
                                 -No harm to POTW                          NOV or AE                              PCS, ECDM
                                 -Harm to POTW                             AE, CP, CR                             PCS, PLP LC, ECDM
                                 -Fails to inform POTW                     AE, CP, W/WW/ST                        PCS, PLP LC, ECDM, PCPM
                                                                           - W/WW/ST, EB                          ECDM, PLC, PCPM, ED

                                 NON-SIU fails to comply with              2nd Administrative Enforcement or      PCS, ECDM
                                 Administrative Enforcement                -Criminal prosecution (FN) or          PCS, PLP LC,
                                                                           -Civil action (TRO, Inj., CR)          PCS, PLP LC, ECDM
                                                                           - W/WW/ST, EB                          ECDM, PLC, PCPM, ED

                                 NON-SIU repeats offense                   Administrative search warrant or       PCS, PLP LC, ECDM, AP
                                 -Civil action r Administrative            -W/WW/ST and PR or                     PCS, PLP LC, ECDM
                                 Enforcement pending                       -Criminal prosecution (FN) or          PCS, PLP LC
                                 -Criminal prosecution pending             -Civil action (TRO, Inj., CR)          PCS, PLP LC, ECDM
                                                                           - W/WW/ST, EB                          ECDM, PLC, PCPM, ED

                                 SIGNIFICANT NONCOMPLIANCE (SNC)           Newspaper Publication                  ECDM, PLP LC, PCS
                                 -No harm to POTW                          AE, NOV, CR                            ECDM, PLP LC, PCS
                                 -IU notifies POTW                         AE, NOV, CR, CP or CA                  ECDM, PLP LC, PCS
                                 -IU fails to notify POTW                  AE, NOV, CR                            ECDM, PLCP LC, PCS, ED
                                 -Harms POTW                               PR, CR, CP, CA or                      ECDM, PLCP LC, PCS
                                                                           - W/WW/ST                              ECDM, PLC, PCPM


                                                                   15-18
                             REPEAT SIGNIFICANT NONCOMPLIANCE
                             Consecutive year for same violation      CP, EB                             ECDM, PLC, PCPM, PCS, ED


B. INDUSTRIAL WASTE DISCHARGE LIMITS

  NONCOMPLIANCE              NATURE OF VIOLATION                      ENFORCEMENT RESPONSE               PERSONNEL
  DISCHARGE
  2. LIMIT VIOLATIONS
                             NONCOMPLIANCE
                             -No harm to POTW                         NOV, CR,                           PCS, PLC, ECDM
                             -IU w/history of noncompliance           NOV, AE, CR, PCS, ECDM
                             -IU fails to notify POTW                 NOV, AE, CR,                       PCS, PLC, ECDM,
                             -Harms POTW                              AE, CR, CP                         PCS, PLC, ECDM, ED
                                                                      - W/WW/ST, EB                      ECDM, PLC, PCPM, ED

                             REPEATED NONCOMPLIANCE
                             -No harm to POTW                         Administrative search warrant or   PCS, PLC, ECDM, AP
                             -IU w/history of noncompliance           AE, CR, CP, CA, W/WW/ST            PCS, PLC, ECDM
                             -Harms POTW                              PR, CR, CP, CA or W/WW/ST          PCS, PLC, ECDM
                                                                      - W/WW/ST, EB                      ECDM, PLC, PCPM, ED


                             SIGNIFICANT NONCOMPLIANCE (SNC)          Newspaper Publication
                             -No harm to POTW                         AE, NOV, CR                        ECDM, PLC, PCS
                             -IU notifies POTW                        AE, NOV, CR, CP or CA              ECDM, PLC, PCS
                             -IU fails to notify POTW                 AE, NOV, CR, W/WW/ST               ECDM, PLC, PCPM, PCS
                             -Harms POTW                              PR, CR, CP, CA or W/WW/ST          ECDM, PLC, PCS, ED
                                                                      EB                                 ECDM, PLC, PCPM, ED

                             REPEAT SIGNIFICANT NONCOMPLIANCE                                            ECDM, PLC, PCPM, PCS
                             - Consecutive year for same violation    EB                                 ED




                                                              15-19
C. SAMPLING AND MONITORING VIOLATIONS

  NONCOMPLIANCE                NATURE OF VIOLATION                          ENFORCEMENT RESPONSE   PERSONNEL

  1.   SAMPLING AND ANALYSIS
                               Fails to sample and analyze at
                               the stated frequency per WDP                 NOV or AE,             PCS, PLC, ECDM, PCPM,
                                                                            EB                     ECDM, PLC, PCPM, ED

                               Fails to monitor pH levels as
                               required in WDP                              NOV, AE or CP          PCS, PLC, ECDM
                                                                            EB                     ECDM, PLC, PCPM, ED

                               Fails to inform POTW w/in 24hr.
                               of a known violation                         NOV, AE or CP          PCS, PLC, ECDM

                               Fails to repeat sampling and
                               analysis within 30 days and submit
                               results to SSD                               NOV or AE or CP        PCS, PLC, ECDM
                                                                            EB                     ECDM, PLC, PCPM, ED

                               Fails to use appropriate
                               analysis method                              NOV, AE                PCS, ECDM

                               Repeated failure to sample,
                               analyze or monitor                           CT, CR or W/WW/ST      PCS, ECDM, PLC, ED
                                                                            EB                     ECDM, PLC, PCPM, ED

  2.   IMPROPER SAMPLING

                               Sample at incorrect location                 NOV or AE              PCS, ECDM
                               Sampling type incorrect                      NOV or AE              PCS, ECDM
                               Sampling collection technique incorrect      NOV, AE                PCS, ECDM, PLC
                               Repeated improper sampling                   CT, CR, W/WW/ST        ECDM, PLC, PCPM, PCS, ED
                                                                            EB                     ECDM, PLC, PCPM, ED




                                                                    15-20
D.               REPORTING AND RECORDATION VIOLATIONS

NONCOMPLIANCE        NATURE OF VIOLATION                      ENFORCEMENT RESPONSE            PERSONNEL

1.   REPORTING
                     Fails to identify nature and
                     concentration of pollutants              NOV or AE, CP, CR, EB           PCS, PLC, ECDM, ED, PCMP

                     Fails to timely submit required
                     reports/documents, includes BMR          NOV or AE, CP, CR PCS, EB       PLC, ECDM, ED, PCMP

                     Fails to notify POTW of process
                     or production change                     AE, CT or CP, EB                PCS, PLC, ECDM, ED.PCMP

                     Submittal of required reports w/o
                     signature of designated signatory        NOV, AE, CP                     PCS, PLC, ECDM, PCMP

                     Fails to report results of
                     additional sampling                      NOV, AE, CP, EB                 PCS, PLC, ECDM, ED, PCMP

                     Fails to report accidental or
                     slug load discharge to POTW              NOV, AE, CR or CT, CP, ED       PCS, PLC, ECDM, ED.PCMP

                     Fails to submit accidenta1
                     discharge detail report
                     within 5 days to SSD                     NOV or CT, AE r CP, CR, EB      PCS, PLC, ECDM, ED, PCMP

                     Fails to submit a slug control
                     plan update                              NOV, AE, CP, EB                 PCS, PLC, ECDM, PCMP, ED

                     Fails to provide certification or
                     signature on required reports            NOV, AE, CP, EB                 PCS, PLC, ECDM, PCMP, ED

                     Fails to meter or report flow            NOV, AE, CR or CT, CP, EB       PCS, PLC, ECDM, PCMP, ED

                     Repeated reporting offense               AE, CT, CP, CR, W/WW/ST or EB   PCS, PLC, ECDM, PCMP, ED

                     Significant Noncompliance (SNC)          Newspaper Publication           ECDM, PLC, PCS, PCMP
                     -No harm to POTW                         AE, NOV, CR                     ECDM, PLC, PCS, PCMP
                     -IU notifies POTW                        AE, NOV, CR, CP or CA           ECDM, PLC, PCS, PCMP
                     -IU fails to notify POTW                 AE, NOV, CR                     ECDM, PLC, PCS, ED, PCMP
                     -Harms POTW                              PR, CR, CP, CA or W/WW/ST       ECDM, PLC, PCS, PCMP
                                                              EB                              ECDM, PLC, PCPM, PCS, ED

                     REPEAT SIGNIFICANT NONCOMPLIANCE
                     - Consecutive year for same violation CP, EB                             ECDM, PLC, PCPM, PCS, ED

                                                      15-21
D. REPORTING AND RECORDATION VIOLATIONS

  NONCOMPLIANCE                  NATURE OF VIOLATION                        ENFORCEMENT RESPONSE            PERSONNEL

  2.   RECORDATION
                                 Fails to retain and preserve
                                 records no less than 3 years               NOV, AE, EB                     PCS, ECDM, PLC, PCPM, ED

                                 Insufficient documentation or
                                 recordation of sample results              NOV, AE, EB                     PCS, ECDM, PLC, PCPM, ED

                                 Insufficient documentation or
                                 recordation in laboratory quality
                                 control reports                            NOV, AE, EB                     PCS, ECDM, PLC, PCPM, ED

                                 Repeated recordation offense               AE, CT, CR or EB                PCS, ECDM, PLC, PCPM, ED

                                 SIGNIFICANT NONCOMPLIANCE                  Newspaper Publication
                                 -No harm to POTW                           AE, NOV, CR                     ECDM, PLC, PCS
                                 -IU notifies POTW                          AE, NOV, CR, CP or CA           ECDM, PLC, PCS
                                 -IU fails to notify POTW                   AE, NOV, CR                     ECDM, PLC, PCS
                                 -Harms POTW                                PR, CR, CP, CA, W/WW/ST or EB   PCS, ECDM, PLC, PCPM, ED

                                 REPEAT SIGNIFICANT NONCOMPLIANCE
                                 - Consecutive year for same violation CP, EB                               ECDM, PLC, PCPM, PCS, ED

                                 Fails to follow procedures in 40 CFR 136   AE, NOV, CP, CA or EB           PCS, ECDM, PLC, PCPM, ED




                                                                 15-22
E. OTHER VIOLATIONS

  NONCOMPLIANCE           NATURE OF VIOLATION                     ENFORCEMENT RESPONSE             PERSONNEL

  ADDITIONAL PERMIT OR
  ORDINANCE VIOLATIONS    Fails to mitigate noncompliance
                          or halt production/discharge            AE or CP, CA, EB                 PCS, ECDM, PLC, PCPM, ED

                          Incorrect use of a combined
                          wastestream formula                     NOV, AE, CP                      PCS

                          Fails to report parameters and
                          calculations used in the formula
                          to derive alternate limits              NOV, AE, CP,CA,EB                PCS, ECDM, PLC, PCPM, ED

                          Fails to secure written
                          authorization prior to combining
                          wastestream(s) of process effluent      AE, CP, CA ,or EB                PCS, ECDM, PLC, PCPM, ED

                          Dilution of wastestream(s) in
                          lieu of pretreatment                    NOV or CT, AE or CP, CR, EB      PCS, ECDM, PLC, PCPM, ED

                          Falsification of information or
                          tampering of monitoring equipment       NOV or CT, AE or CP, CR, EB      PCS, ECDM, PLC, PCPM, ED

                          Fails to comply with Compliance
                          Schedule Requirements (e.g.,
                          interim scheduled or final
                          milestone events, etc.)                 AE, CT or CP, CA, EB             PCS, ECDM, PLC, PCPM, ED

                          Fails to properly operate or
                          maintain treatment equipment            AE, CT, CP,CA, EB                PCS, ECDM, PLC, PCPM, ED

                          Repeat of Additional Permit or
                          Ordinance Violations                    AE, CT, CR, CA, CP, W/WW/ST or   PCS, PLC, ECDM, ED


                         SIGNIFICANT NONCOMPLIANCE (SNC)          Newspaper Publication
                           -No harm to POTW                       AE, NOV, CR                      ECDM, PLC, PCS
                           -IU notifies POTW                      AE, NOV, CR or CA                ECDM, PLC, PCS
                           -IU fails to notify POTW               AE, NOV, CR                      ECDM, PLC, PCS
                           -Harms POTW                            PR, CR, CP, CA, W/WW/ST or EB    PCS, ECDM, PLC, PCPM, ED

                         REPEAT SIGNIFICANT NONCOMPLIANCE
                          - Consecutive year for same violation CP                                 ECDM, PLC, PCPM, PCS
                                                                EB                                 PCS, ECDM, PLC, PCPM, ED

                                                          15-23
                                     Structure and Content
                                  Notice of Violation (NOV)
Date line (Date)                                                         Notations: Certified Mail


Agent: (person’s name – responsible corporate officer/title)
Name of Firm, Company or Corporation
Full Address

Reference Line: (Always reference the Permit No. or the Serial No. of the Backflow Preventer)

Body of Letter:

1st Paragraph:
A. Cite the specific company
B. Address (location) of violation
C. General and specific statement as to the nature of the violation:

2nd Paragraph:
A. Specific Requirements
   1. Cite the section of the ordinance or permit in violation.
   2. State specific nature of violation
       a) exceedance of parameters,
       b) sampling port,
       c) self-monitoring
       d) reports (SMRs, backflow preventer test reports, etc.)

Note: Each violation should be addressed in a separate paragraph to eliminate any confusion or
      misunderstanding on the part of the customer/permittee.

3rd Paragraph:
A. Condition of compliance
    1) State the conditions that must be brought up to standards in or to effectuate compliance.
    2) Clearly state or detail necessary actions (appropriate steps) that must be taken on the part
       of the customer/permittee. If compliance is to be achieved in steps/phases please provide
       reasonable time frames (see ERP, ERG for deadlines or milestones) for each offense or
       phase of compliance.

Final Paragraph: (Quote the following exactly, this complies with the notice requirements that
informs them of the consequences of failure to comply.

CC: Duly Authorized Representative
Note: When sending notice to the responsible corporate officer of a corporation you still must
      send notice to the duly authorized representative as well. The original letter to the
      responsible corporate officer should always (cc:) the duly authorized representative.
      Then create a cover letter for the copy of the original notice. Send the cover letter along
      with the copy of the original notice to the Duly Authorized Representative.

In order to preclude the necessity for further action, which may include the filing of misdemeanor
charges, pursuing all civil and injunctive remedies available to a City under State law, or any
other remedy or combination of remedies available at law or equity, compliance with the
aforementioned ordinance or permit provisions must be achieved no later than . . .

Form NOV Letter (29 Jan 03)




                                               15-24
                                   Austin Water Utility

                                        City of Austin
IN THE MATTER OF                                   §

MY WASTE MANAGEMENT, INC.                          §        ADMINISTRATIVE
511 Disposal Alley
Austin, TX                                         §        COMPLIANCE ORDER


The following findings are made and order issued pursuant to the authority vested in the Director
of the Austin Water Utility, under Chapter 15-10, Section 008 (N)(4), of the City’s Sewer and
Sewage Disposal Ordinance. This order is based on findings of violation of the conditions of the
wastewater discharge permit issued under Special Procedures Relating to Prohibited Waste,
Section 005 (A), of the City’s Sewers and Sewage Disposal Ordinance.

1. My Waste Management, Incoporated, hereafter, “My Waste”, discharges process grease trap
   wastewater from the fixed site located at 511 Disposal Alley, Austin, Travis County, Texas
   containing pollutants into the sewer system of the City of Austin, hereafter, “City”.

2. My Waste is a “Significant Industrial User” as defined by Section 002 (49).

3. My Waste was issued a wastewater discharge permit on January 1, 1995, which contains
   prohibitions, restrictions, and other limitations on the quality of the wastewater it discharges to
   the sanitary sewer.

4. Pursuant to the ordinance and the aforementioned permit, data is routinely collected or
   submitted on the compliance status of My Waste.

5. This data shows that My Waste Management, Incorporated has violated its wastewater
   discharge permit in the following manner:

   a. My Waste has violated its permit by diluting its wastewater discharge between March 15,
      1995 and June 29, 1995, for a total of 5 separate violations.

   b. My Waste has violated its industrial waste discharge permit for failure to notify within 24
      hours of a pH excursion of 4.33.

   c. My Waste discharged the water from dewatered grease traps into various traps around
      town during construction of the new treatment interceptor located at 511 Disposal Alley in
      violation of its industrial waste discharge permit.

   d. My Waste has violated its industrial waste discharge permit between September 3, 1993
      and June 22, 1995 for FOG excursions in excess of 200 mg/l, for a total of 6 separate
      violations.

   e. My Waste has violated its industrial waste discharge permit for improper sample collection
      procedures related to the samples collected during mobile treatment operations.

   f. My Waste has violated its industrial waste discharge permit on September 3, 1993 for
      tampering with sampling equipment during a sampling event at the 511 Disposal Alley fixed
      site facility.



                                                15-25
THEREFORE, BASED ON THE ABOVE FINDINGS, MY WASTE IS HEREBY ORDERED TO:

1. Discontinue mobile treatment of grease trap waste effective January 1. 1996.

2. Remove all grease trap wastewater (total pump-out) when servicing business equipped with
   grease trap treatment devices.

3. This order does not constitute a waiver of the wastewater discharge permit which remains in
   full force and effect. The City of Austin reserves the right to seek any and all remedies
   available to it under the Sewer and Sewage Disposal Ordinance, Section 15-10-075 (A), for
   any violation cited by this order.

4. Failure to comply with the requirements of this order shall constitute a further violation of the
   Sewer and Sewage Disposal Ordinance and may subject My Waste to civil or criminal
   penalties or such other appropriate enforcement response as may be appropriate.

5. This order, entered this 23rd day of October 1995, shall be effective January 1, 1996.




                                                            __________________________
                                                            Chris Lippe, P.E., Director
                                                            City of Austin
                                                            Austin Water Utility
                                                            3907 S. Industrial Drive
                                                            Austin, TX 78744




                                                15-26
15-27
                                  CHAPTER 1-1: GENERAL PROVISIONS


         1-1-1     Application; citation; internal references
         1-1-2     General definitions
         1-1-3     Words and phrases
         1-1-4     Tense; number; gender; and grammar
         1-1-5     Calculation of time
         1-1-6     Creation of duties; discretion; rights; conditions; and prohibitions
         1-1-7     Signatures and oaths
         1-1-8     References to state or federal law
         1-1-9     Provisions considered as continuation of existing ordinances
         1-1-10    Effect of repeal of an ordinance
         1-1-11    Amendments or additions to code
         1-1-12    Severability
         1-1-13    Burden of proof of exceptions
         1-1-99    Offenses; general penalty


§ 1-1-1 APPLICATION; CITATION; INTERNAL REFERENCES.

         (A)       This title applies to the construction of the City Code.

         (B)       The code may be cited as the “Austin City Code” or the “City Code.”

          (C)       A reference to a title, chapter, article, section or subsection without further identification
is a reference to a title, chapter, or section of the code

         (D)      A reference to a title, chapter, article, section, subsection, or other numbered or lettered
unit without further identification is a reference to a unit of the next larger unit of the code.

          (E)     The heading of a title, chapter, article, section, subsection, or other numbered or lettered
unit of the code does not limit or expand the meaning of that part of the code.
Source: Sections 1-1-1, 1-1-2, 13-1-21(b), (c), and 1-1-4.

§ 1-1-2 GENERAL DEFINITIONS.

         Unless a different definition is expressly provided, in this code:

         (1)      BUILDING OFFICIAL means the person appointed by the City Manager to perform the
duties prescribed by ordinance or delegated by the City Manager.

         (2)      CITY, when referred to as an actor or as the recipient of an action, means the government
of the City of Austin, Texas. A reference to the City as a place includes all the territory over which the
government of the City of Austin has jurisdiction for the exercise of its municipal powers.

         (3)       CODE or CITY CODE means this code and incorporates future amendments.

         (4)       COUNCIL or CITY COUNCIL means the City Council of the City of Austin, Texas.

         (5)       DAY means the period of time between any midnight and the midnight following.

         (6)       HEALTH AUTHORITY means the health authority for the City of Austin appointed
under Chapter 121 of the Health and Safety Code to administer state and local laws relating to public
health, or the health authority’s designee.




                                                      15-29
         (7)      INCLUDES does not imply that items not expressed are excluded.

         (8)      OATH includes an affirmation.

         (9)    OWNER, when applied to real property, includes a part owner, joint owner, tenant in
common, tenant in partnership, joint tenant, or tenant by the entirety of the whole or of a part of the real
property.

         (10)     PERSON includes an individual, corporation, organization, government or governmental
subdivision or agency, business trust, estate, trust, partnership, association, and any other legal entity, but
does not include the City.

         (11)      PERSONAL PROPERTY includes every type of property, except real property as
defined in this section.

         (12)      PLAT means a map or drawing of a subdivision that is intended for recordation in the
plat records of the county in which the subdivision is located after approval by the Planning Commission,
the Zoning and Platting Commission, or the City Council.

         (13)     PROPERTY means real and personal property.

         (14)      PUBLIC PLACE means any thoroughfare or structure to which people usually resort, or
have a right to resort for business or pleasure.

         (15)     REAL PROPERTY includes land, tenements, and hereditaments.

         (16)     ROADWAY means that portion of a street or highway improved, designed, or ordinarily
used for vehicular travel.

        (17)     SIDEWALK means a portion of the street between the curblines, or the lateral lines of
the roadway, and the adjacent property lines, intended for the use of pedestrians.

         (18)      SIGNATURE includes a symbol executed or adopted by a person with present intention
to authenticate a writing.

         (19)     STATE means the State of Texas.

          (20)     STREET or HIGHWAY means the entire width between the boundary lines of every way
that is publicly maintained when any part of the way is open to the use of the public for purposes of
vehicular travel.

         (21)    WRITTEN includes any representation of words, letters, symbols, or figures.
Source: Section 1-1-2. (Ord. 010329-17; Am. Ord. 010607-8)

§ 1-1-3 WORDS AND PHRASES.

       (A)     Words and phrases shall be read in context and construed according to the rules of
grammar and common usage.

         (B)       Words and phrases that have acquired a technical or particular meaning, whether by
definition or otherwise, shall be construed accordingly.
Source: Code Construction Act.

§ 1-1-4 TENSE; NUMBER; GENDER; AND GRAMMAR.

         (A)      The present tense includes the future tense.


                                                     15-30
         (B)      The singular includes the plural and the plural includes the singular.

         (C)      A word of one gender includes the other genders.

         (D)     A definition of a term includes other grammatical conjugations or variations of the term.
Source: Section 1-1-2.

§ 1-1-5 CALCULATION OF TIME.

        (A)       If the last day to perform an act is a Saturday, Sunday, or City holiday, the period is
extended to include the next day that is not a Saturday, Sunday, or City holiday.

         (B)      If a number of months is to be computed by counting the months from a particular day,
the period ends on the same numerical day in the concluding month as the day of the month from which the
computation is begun, unless there are not that many days in the concluding month, in which case the
period ends on the last day of that month.

         (C)     A reference to a time of day means Central Standard Time or Central Daylight Saving
Time, whichever is in current use in the state.
Source: Section 1-1-2 and 13-1-21(a).

§ 1-1-6 CREATION OF DUTIES; DISCRETION; RIGHTS; CONDITIONS; AND PROHIBITIONS.

         (A)      “Shall” imposes a duty.

         (B)      “May” creates discretionary authority or grants permission.

         (C)      “Must” creates or recognizes a condition precedent.

         (D)      “May not” and “shall not” are synonymous, and impose a prohibition.

         (E)      “Is entitled to” creates or recognizes a right.

         (F)      “Is not entitled to” negates a right.

         (G)     “Is not required to” negates a condition precedent.
Source: Sections 1-1-2, 13-1-21(f), and the Code Construction Act.

§ 1-1-7 SIGNATURES AND OATHS.

        (A)      A requirement that a writing be signed permits the use of any symbol executed or
adopted by a person with present intent to authenticate the writing.

         (B)      A requirement that a writing be sworn means that the writing must be sworn to before a
person permitted to administer oaths under state law.
Source: Section 1-1-2.

§ 1-1-8 REFERENCES TO STATE OR FEDERAL LAW.

         When this Code refers to or adopts by reference a provision of state or federal law:

          (1)       the reference or adoption is intended to incorporate future amendments to the provision
of state or federal law to maintain parallel meaning with this Code; and




                                                     15-31
        (2)       if the provision of state or federal law is recodified or renumbered, the reference or
adoption is intended to incorporate the recodification or the renumbering.
Source: Code Construction Act.
§ 1-1-9 PROVISIONS CONSIDERED AS CONTINUATION OF EXISTING ORDINANCES.

         If an ordinance is codified or recodified, the provisions of that ordinance shall be considered as a
continuation of the former ordinance and not as a new enactment.
Source: Section 1-1-3.

§ 1-1-10 EFFECT OF REPEAL OF AN ORDINANCE.

           (A)    The repeal of a repealing ordinance does not revive the ordinance originally repealed.

         (B)       The repeal of an ordinance does not affect any punishment or penalty incurred before the
repeal took effect, or any suit, prosecution or proceeding pending at the time of the repeal, for an offense
committed under the ordinance.
Source: Section 1-1-5.

§ 1-1-11 AMENDMENTS OR ADDITIONS TO CODE.

         Ordinances of a general and permanent nature shall be drafted, so far as possible, as specific
amendments to this Code. Amendments to this Code shall be made by reference to the chapter and section
of the Code to be amended or added.
Source: Section 1-1-6.

§ 1-1-12 SEVERABILITY.

         The provisions of this Code and of its subunits are severable. If any provision of this Code or its
application to any person or circumstance is held invalid, the invalidity does not affect another other
provision or application of the code that can be given effect without the invalid provision or application.
Source: Section 1-1-8.

§ 1-1-13 BURDEN OF PROOF OF EXCEPTIONS.

         In a prosecution for the violation of a provision of the code, it is not necessary for the complaint to
negate or for the state to prove an exception in the Code concerning a prohibited act. The person charged
in a complaint may urge an exception as a defense.
Source: Section 1-1-7.

§ 1-1-99 OFFENSES; GENERAL PENALTY.

           (A)    The code creates an offense when:

                  (1)       an act is prohibited, declared to be unlawful, made an offense, or made a
misdemeanor;

                 (2)      the doing of an act is required, or the failure to do an act is declared to be
unlawful, made an offense, or made a misdemeanor; or

                  (3)    the violation of a provision of the code is declared to be unlawful, or made an
offense, or made a misdemeanor.

           (B)    An offense is a Class C misdemeanor, and if the code does not state a penalty for an
offense:




                                                     15-32
                 (1)       except as provided by Subsection (B)(2), the offense is punishable by a fine not
to exceed $500; or

                  (2)       if the offense is a violation of an ordinance that governs fire safety, zoning, or
public health and sanitation, including dumping of refuse, the offense is punishable by a fine not to exceed
$2,000.
Source: Section 1-1-99.




                                                    15-33

								
To top