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The California Water Boards' Annual Performance Report -Fiscal Year 2011-12

ENFORCEMENT: NPDES WASTEWATER

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GROUP: NPDES WASTEWATER
MEASURE: ENFORCEMENT RESPONSE 2000-2011
MESSAGE:  The composition of the enforcement response has changed overtime with a lower enforcement response.

 

MEASUREMENTS 

Violation Type 2000 2001 2003 2003 2004 2005 2006 2007 2008 2009 2010 2011

 

 


WHAT THE MEASURE IS SHOWING

The data shows that shows that the enforcement response varies by the year the violation occurs, in some cases violations received an enforcement action years after the date the violation occurs. Enforcement response is organized in 4 groups, violations receiving no enforcement has been between 24 and 36% in the years prior to 2011, and violations receiving the highest level of enforcement (a penalty or a compliance action) has been around 50%. The percentage of violations receiving only informal enforcement has fluctuated between 11% and 34%. The enforcement response for facilities regulated under the NPDES program is much higher than any other program due in part to the requirements to impose mandatory minimum penalties for certain types of NPDES violations. There is also a significant variation by regional board with some regions addressing violations only at the informal level. It is significant to point out the high percentage of violations receiving penalty actions in Region 4.

WHY THIS MEASURE IS IMPORTANT

The 2009 Water Quality Enforcement Policy guides staff in selecting the appropriate level of enforcement response that properly addresses violations and recommends the use of progressive enforcement. The policy describes progressive enforcement as “an escalating series of actions that allows for the efficient and effective use of enforcement resources.” Depending on the nature and severity of the violation, an informal enforcement action such as a warning letter to a violator, or a more formal enforcement action, including orders of the Boards requiring corrective action within a particular time frame, may be taken. In other instances, enforcement staff may use more informal tools, such as a phone call or a staff enforcement letter for compliance assistance. In the Water Quality Enforcement Policy appropriate enforcement response is related to the ranking and classification of violations grouped around enforcement cases. The priority enforcement cases are then identified and those with class I priority violations are targeted for formal enforcement action. Tracking violations and the enforcement response over time is necessary to assess the effectiveness of the Water Boards enforcement policies and actions.

TECHNICAL CONSIDERATIONS

  • Data Source: California Integrated Water Quality System (CIWQS).
  • Unit of Measure:Violations documented. Violations linked to an enforcement action.
  • Data Definitions: Violations with status "violation". Violations are not double counted and are grouped in 4 groups: Group 1: Violations not linked to an enforcement action with a status active or historical. Group 2: Violations linked to a penalty action with a status active or historical. Group 3: Violations linked to a compliance action with a status active or historical but not to a penalty action with a status of active or historical. Group 4: Violations linked to all other types of enforcement actions with a status of active or historical.
  • References: The Water Boards' NPDES Program
    Public Reports and Data
    Enforcement and Compliance Assurance Information
    The Water Boards' Enforcement Policy

GLOSSARY

National Pollutant Discharge Elimination System (NPDES)
The NPDES permit program (Section 402 of the Clean Water Act ) controls water pollution by regulating point sources that discharge pollutants into waters of the United States. Point sources are discrete conveyances such as pipes or man-made ditches. Individual homes that are connected to a municipal system, use a septic system, or do not have a surface discharge do not need an NPDES permit; however, industrial, municipal, and other facilities must obtain permits if their discharges go directly to surface waters. US EPA has approved the Water Board's program to issue NPDES permits.

Formal Enforcement
Formal enforcement actions are statutorily recognized actions to address a violation or threatened violation such as Cleanup and Abatement Orders.

Informal Enforcement
An informal enforcement action is any enforcement action taken by Water Board staff that is not defined in statute, such as staff letters and notices of violation.

Compliance Actions
Formal enforcement actions that directly require compliance using the authority established under Article 1 of Chapter 5 of the California Water Code such as Cease and Desist Orders, Cleanup and Abatement Orders and Time Schedule Orders.

Penalty Actions
Formal Actions that impose or settle a penalty or requires the completion of a project associated to a monetary amount.

All Other Enforcement Actions
All other formal and informal actions that communicates a violation or starts the procedures of an enforcement case or that requires additional information or starts an investigation.
Type of Enforcement Action Description Classification
Expedited Payment Offer A conditional offer that provides a discharger with an opportunity to resolve any outstanding violations subject to mandatory minimum penalties by acknowledging them and providing full payment of the accrued mandatory penalties identified in the payment letter

Informal

Verbal Communication Any communication regarding the violation that takes place in person or by telephone.

Informal

Staff Enforcement Letter Any written communication regarding violations and possible enforcement actions that is signed at the staff level.

Informal

Notice of Violation A letter officially notifying a discharger of a violation and the possible enforcement actions, penalties, and liabilities that may result.  This letter is signed by the Executive Officer.

Informal

Notice to Comply Issuance of a Notice to Comply per Water Code Section 13399.

Formal

13267 Order A letter utilizing Water Code Section 13267 authority to require further information or studies.

Formal

Clean-up and Abatement Order Any order pursuant to Water Code Section 13304.

Formal

Cease and Desist Order Any order pursuant to Water Codes Sections 13301-13303.

Formal

Time Schedule Order Any order pursuant to Water Code Section 13300.

Formal

Administrative Civil Liability (ACL) Complaint ACL Complaint issued by the Executive Officer.

Formal

Administrative Civil Liability (ACL) Order An ACL Order that has been imposed by the Water Board or SWRCB.

Formal

Settlement A settlement agreement per California Government Code Section 11415.6.

Formal

Referral Referral to the District Attorney, Attorney General, or USEPA.

Formal

Referred to a Task Force Any referral of a violation to an environmental crimes task force.

Formal

Referral to Other Agency Any referral to another State Agency.

Formal

Third Party Action An enforcement action taken by a non-governmental third party and to which the State or Water Board is a party.

Formal

Waste Discharge Requirements Any modification or rescission of Waste Discharge Requirements in response to a violation.

Formal

 

( Page last updated:  9/13/12 )

 
 

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