California Integrated Water Quality System Project (CIWQS)

Creating a Violation from an Inspection Record – Definitions

Violation Type
Type Description
Deficient Monitoring Monitoring is missing or incorrect in some way, such as sample/analysis method, location, QA/QC criteria not met, lab not ELAP-certified. Single entry for all monitoring violation. Single entry for each reporting period. For example, if sample/analysis method was not complied with for one monitoring result, one violation should be recorded. If two sample/analysis method was not complied with for two monitoring result, one violation should be recorded, etc. If one monitoring result was not completed for the reporting period, record one violation for the reporting period. If three pH monitoring results and ten flow monitoring results were not completed for the reporting period, record one violation. Use the description field to describe why the report is deficient.
Other Requirements – Basin Plan Prohibition [[stand alone]] Violation of Basin Plan prohibition (e.g., discharge to prohibited zone, etc.). Do not use if also a violation of a permit condition, just record as a violation of a permit condition. Single entry for each occurrence.
Other Order Requirements – BMP BMPs not maintained, deficient, or not implemented. Single entry for each reporting period, inspection, or type. For example if a BMP was not implemented for a given length of time, record one violation. If two different types of BMPs were not implemented for a given length of time, record two violations.
Other Requirements – Enforcement [[stand alone, no parent]] Action This type of violation is to be recorded when an enforcement action is violated. For example, if a Time Schedule Order contains interim limits and those limits are exceeded, the violation should be recorded as this type. Number of violations of enforcement action should be recorded as per similar violations. For example, deficient monitoring violations should be recorded as one violation and two Cat 1 violations should be recorded as two violations.
Other Requirements – Fees [[stand alone, no parent]] Annual fees not paid on time or in full. Single entry for each billing period violated. For example, if a discharger does not pay annual fees for 2006, record one violation. If the discharger then pays for 2007 but still does not pay for 2006, do not record additional violations.
Other Requirements – File (to be “Storm Water Non-filer”) [[stand alone, no parent]] Storm water non-filer in accordance with CWC section 13399.25. Single entry for each site.
Other Requirements – Permit Conditions (to be “Order Conditions”) [stand alone] Violations of prohibitions, provisions, and maintenance-type requirements (e.g., pond freeboard and internal DO process) contained in WDRs. Multiple violations of the same permit condition occurring within the same reporting period may be grouped together. For example, there is a requirement that pond freeboard must be greater than 2 ft at all times, and there were three days during which the freeboard was 1 ft, record one violation. If the order specifies to monitor a parameter 3 times per month and two of those are in exceedance, record one violation.
Other Requirements – Pretreatment [stand alone] Failure to implement pretreatment program adequately. For example, not reporting a waste stream, not doing inspections, failing to insert prohibitions into user permits, etc. All instances of violation should be recorded as one violation per reporting period or inspection. For example, if during an inspection a new waste stream was discovered and it was found that the program was not being implemented as reported, record one violation.
Other Requirements – SWPPP [stand alone] Storm water pollution prevention plan not on site, not implemented (i.e. self-inspections, updating plan, etc. Failure to implement BMPs should be recorded under the BMP violation type), or not in existence. All items not fulfilled should be recorded as a violation per inspection or reporting period. For example, if during an inspection it was found that the SWPPP was not on site and then when the SWPPP was submitted it was found that the SWPPP was not signed, record one violation.
Other Requirements – Unregulated discharge (to be “Unauthorized Discharge”) Discharges without WDRs (including coverage under a general order) or discharges other than that described in an order (e.g. surface water discharge by discharger with non-NPDES WDRs). For discharges to non-federal waters, only record discharges that continue after a report of waste discharge has been requested but not submitted. For SSO related discharges use “SSO” violation type. For storm water non filers, use “File” violation type. Single entry for each incident. For multiple days of discharge, note the number of days in the description.
Reporting – Deficient Reporting Incomplete report (i.e., missing signature, certification statement, laboratory identification, etc.); failure to notify per requirement (i.e., call out violation in self-monitoring report cover sheet). If the SMR calls out that monitoring was not completed, record as deficient monitoring. If the discharger does not report that monitoring is missing but it is, record as deficient reporting. If it is found that monitoring was not completed, add a deficient monitoring violation in addition to reporting violation. Record one violation for each deficient report.
Reporting – Failure to Notify Failure to notify regional board of spill within defined period of time. As specified in the Water Code, this applies to both regulated and unregulated sites. A violation for the spill should also be recorded. Single entry for each occurrence. Note number of days they failed to notify the regional board in the description.
Reporting – Late Report Use this type of violation if no report is received or the report is received after due date. If and when report is received, enter the number of days late in Violation Description field. For NPDES, record separate violation for each 30 days. Otherwise, single entry for each late report.
Water Quality Effluent – ATOX Violation of acute toxicity effluent limitation. Single entry for each acute test result that is out of compliance.
Water Quality Effluent – CAT1 Violation of effluent limitation (for any program) for Group I pollutant (e.g., BOD, TSS, aluminum, nitrate). Check Pollutant Finder database if uncertain. Single entry for each violation. For example, for a daily limit, if it is violated three days within the reporting period, record three violations. If there is a monitoring result that exceeds a daily and a weekly limit, record two violations. For instantaneous maximum limit exceedances monitored continuously, record, at most, one violation per day. For NPDES effluent limit violations, if the exceedance is greater than 40%, check the “serious” box near the bottom of the general info tab of the violation module.
Water Quality Effluent – CAT2 Violation of effluent limitation (for any program) for Group II pollutant (e.g., chlorine, copper, cyanide). Check Pollutant Finder database if uncertain. Single entry for each violation. For example, for a daily limit, if it is violated three days within the reporting period, record three violations. If there is a monitoring result that exceeds a daily and a weekly limit, record two violations. For instantaneous maximum limit exceedances monitored continuously, record, at most, one violation per day. For NPDES effluent limit violations, if the exceedance is greater than 20%, check the “serious” box near the bottom of the general info tab of the violation module.
Water Quality Effluent - CTOX Violation of chronic toxicity effluent limitation. Single entry for each chronic test that is out of compliance.
Water Quality Effluent – OEV Violation of any constituent-specific effluent limitation not included in Group I or Group II. Single entry for each. For example, for a daily limit, if it is violated three days within the reporting period, record three violations. If there is a monitoring result that exceeds a daily and a weekly limit, record two violations. For instantaneous maximum limit exceedances monitored continuously, record, at most, one violation per day.
Water Quality –Groundwater (to be Water Quality - Receiving Water – Groundwater) Violation of receiving water limitation where discharge is to groundwater. Record date range in description field, if applicable.
Water Quality – Receiving Water – Surface Water Violation of receiving water limitation where discharge is to surface water. Single entry for each exceedance. Record date range in description field, if applicable.
Water Quality – Hydro Modification Noncompliance with dredge and fill requirements. Record one violation for each requirement violated.
Water Quality – Sanitary Sewer Overflow/Spill Discharge from collection system (except for private laterals); other spills and/or bypassing of treatment unit(s). Single entry for each spill.

Violation Description
Be as detailed as necessary but as brief as possible. Use this field to describe the violation. For deficient include why a report was deficient. For late reports, include report due date. For violations of permit conditions, summarize or insert the prohibition, specification, or provision that was violated and what the violation was. For effluent limit exceedances, enter the reporting period; constituent; limit; units; limitation period; and result. For example: (1stQ; TDS; 450; mg/L; M; 800) or (1stS, pH; 6.5-8.5; pH units; D; 5.7). For groundwater violations, note whether it is a new or existing release, whether the discharger is in evaluation monitoring or corrective action (if applicable), the type of release (salts, metals, VOCs, etc.), and the number of impacted monitoring wells. For storm water samples exceeding a limit or bench mark value, enter the constituent; limit; units; and result (e.g., TSS; 100; mg/L; 435).

Reporting Periods
M = Monthly
Q = Quarterly
S = Semi-Annually
A = Annually

Limitation Bases
IM = Instantaneous Maximum
DM = Daily Maximum
AW = Average Weekly
AM = Average Monthly

Program
This is the program associated to the requirement(s) that were violated.

Priority
Priority violations include: all NPDES violations that the United States Environmental Protection Agency (USEPA) requires to be reported on the Quarterly Non-Compliance Report (QNCR) for the purpose of tracking significant non-compliance; all violations subject to mandatory minimum penalties pursuant to California Water Code section 13385; and other violations that the SWRCB and/or RWQCB considers to be significant and therefore high priority.

A violation must be marked as a Priority violation in order to mark it as a Serious violation.

Serious
The Serious box should be checked if the violation is one of the following:

  • A late report violation and
    • the report is more than 30 days late. (A separate serious violation should be created for each 30 day period that the report is late.)
    • the report helps determine compliance with effluent limitations
  • A Category 1 violation where the limit was exceeded by at least 40 percent
  • A Category 2 violation where the limit was exceeded by at least 20 percent

The box is required to be checked in order for the violation to appear on the MMP Report as a Serious Violation.

Violation Rank
This field is used to assign the relative significance of each violation. This field is required to be completed with one of the values defined below. For more discussion on this topic, see the Enforcement Policy.
Rank Description
Class A Violations that potentially pose an immediate and substantial threat to beneficial uses and/or that have the potential to individually or cumulatively cause significant detrimental impacts to human health or the environment. Unless unusual, unique or exceptions circumstances exist, Class A violations ordinarily include, but are not limited to, the following:
  • Discharges causing exceedances of primary maximum contaminant levels for chemical constituents in receiving waters with a beneficial use of municipal and domestic supply (MUN);
  • Unauthorized discharges of sewage, regardless of level of treatment, within 1,000 feet of a municipal water intake;
  • Discharges exceeding water quality based effluent limitations for priority pollutants as defined in the California Toxics Rule by 100 percent or more;
  • Discharges causing demonstrable detrimental impacts to aquatic life and aquatic-dependent wildlife (e.g., fish kill);
  • Discharges violating numeric acute toxicity effluent limitations;
  • Discharges violating numeric acute toxicity effluent limitations;
  • Unauthorized discharges from Class II surface impoundments;
  • For discharges subject to Title 27 requirements, failure to implement corrective actions in accordance with WDRs;
  • Unpermitted fill of wetlands exceeding 0.5 acre in areal extent;
  • Unauthorized discharges of construction materials to receiving waters with beneficial uses of COLD, WARM, and/or WILD; and,
  • Discharges causing in-stream turbidity in excess of 100 nephelometric turbidity units (NTU) in inland surface waters with beneficial uses of COLD, WARM, and/or WILD, except during storm events.
Violations involving recalcitrant parties who deliberately avoid compliance with water quality regulations or Water Board orders are also considered Class A priority violations because they pose a serious threat to the integrity of the Water Boards’ regulatory programs.
Class B Violations that are not ranked as Class A violations. The following ranks were used in the 2010 Enforcement Policy.
Class 1 Class I priority violations are those violations that pose an immediate and substantial threat to water quality and that have the potential to cause significant detrimental impacts to human health or the environment. Violations involving recalcitrant parties who deliberately avoid compliance with water quality regulations and orders are also considered class I priority violations because they pose a serious threat to the integrity of the Water Boards’ regulatory programs.
Class 2 Class II violations are those violations that pose a moderate, indirect, or cumulative threat to water quality and, therefore, have the potential to cause detrimental impacts on human health and the environment. Negligent or inadvertent noncompliance with water quality regulations that has the potential for causing or allowing the continuation of an unauthorized discharge or obscuring past violations is also a class II violation.
Class 3 Class III violations are those violations that pose only a minor threat to water quality and have little or no known potential for causing a detrimental impact on human health and the environment. Class III violations include statutorily required liability for late reporting when such late filings do not result in causing an unauthorized discharge or allowing one to continue. Class III violations should only include violations by dischargers who are first time or infrequent violators and are not part of a pattern of chronic violations.
Not Authorized to Assign Rank This value is used when the actual rank cannot be determined by the person performing the data entry. It can only be used temporarily.