"Enforcement Response Plan Evaluation Checklist" - Oregon

Enforcement Response Plan Evaluation Checklist is a legal document that was released by the Oregon Department of Environmental Quality - a government authority operating within Oregon.

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Oregon DEQ Industrial Pretreatment Program
ENFORCEMENT RESPONSE PLAN EVALUATION CHECKLIST
Name of POTW:
Date of Review:
Requirement
YES
NO
N/A
Section Reference
A. Does the Enforcement Response Plan (ERP) describe how
the POTW will investigate instances of noncompliance?
1. Does it indicate that inspections and sampling will be
used as a means to identify IU noncompliance?
2. Does it indicate that inspections and sampling will be
used as a means to follow-up on IU noncompliance?
3. Does it identify personnel responsible for conducting
inspections and sampling?
4. Does it identify personnel responsible for entering
inspection and sampling results into the IU’s file?
5. Does it specify time frames for entering inspection
and sampling data?
6. Does it describe procedures for tracking and
reviewing (including evaluating report completeness
and accuracy) all IU reports and notifications?
7. Does it specify personnel responsible for reviewing
reports and notifications?
8. Does it specify personnel responsible for
recommending enforcement action?
9. Does it describe procedures for tracking responses to
enforcement actions?
10. Does it include appropriate procedures for
determining violations and calculating SNC based on
continuous pH monitoring?
11. Does it clearly indicate the enforcement response that
will be taken in response to SNC, including causing
interference, pass through, filing late reports, etc.?
12. Does it indicate that the POTW will respond to
instances of SNC with an enforceable order within 30
days of identification?
B. Does the ERP describe the types of escalating
enforcement responses the POTW will take in response to
all anticipated types of violations?
1. Does it identify all possible types of noncompliance,
including:
a. Discharge without a permit (no harm)
b. Discharge without a permit (harm)
c. Failure to renew permit
PPD\WC15\WC15342.DOC
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Oregon DEQ Industrial Pretreatment Program
ENFORCEMENT RESPONSE PLAN EVALUATION CHECKLIST
Name of POTW:
Date of Review:
Requirement
YES
NO
N/A
Section Reference
A. Does the Enforcement Response Plan (ERP) describe how
the POTW will investigate instances of noncompliance?
1. Does it indicate that inspections and sampling will be
used as a means to identify IU noncompliance?
2. Does it indicate that inspections and sampling will be
used as a means to follow-up on IU noncompliance?
3. Does it identify personnel responsible for conducting
inspections and sampling?
4. Does it identify personnel responsible for entering
inspection and sampling results into the IU’s file?
5. Does it specify time frames for entering inspection
and sampling data?
6. Does it describe procedures for tracking and
reviewing (including evaluating report completeness
and accuracy) all IU reports and notifications?
7. Does it specify personnel responsible for reviewing
reports and notifications?
8. Does it specify personnel responsible for
recommending enforcement action?
9. Does it describe procedures for tracking responses to
enforcement actions?
10. Does it include appropriate procedures for
determining violations and calculating SNC based on
continuous pH monitoring?
11. Does it clearly indicate the enforcement response that
will be taken in response to SNC, including causing
interference, pass through, filing late reports, etc.?
12. Does it indicate that the POTW will respond to
instances of SNC with an enforceable order within 30
days of identification?
B. Does the ERP describe the types of escalating
enforcement responses the POTW will take in response to
all anticipated types of violations?
1. Does it identify all possible types of noncompliance,
including:
a. Discharge without a permit (no harm)
b. Discharge without a permit (harm)
c. Failure to renew permit
PPD\WC15\WC15342.DOC
- 9 -
ENFORCEMENT RESPONSE PLAN EVALUATION CHECKLIST
continued
Requirement
YES
NO
N/A
Section Reference
d. Isolated violations of discharge limit (no harm)
e. Isolated violations of discharge limit (harm)
f.
Recurring violation of discharge limit (no harm)
g. Recurring violation of discharge limit (harm)
h. Reported slug load (no harm)
i.
Reported slug load (harm)
j.
Late report
k. Report is incomplete
l.
Failure to monitor all regulated pollutants
m. Report is improperly signed or certified
n. Failure to submit a report or notice
o. Falsification of data
p. Use of improper sampling procedures
q. Failure to install monitoring equipment
r.
Missed compliance schedule milestones (no
effect on final compliance date)
s.
Missed compliance schedule milestones (effect
on final compliance date)
t.
Use of dilution instead of treatment
u. Failure to properly operate and maintain
pretreatment equipment
v. Denial of entry to POTW personnel
w. Failure to maintain records
x. Failure to report additional monitoring
2. Does the ERP reflect the full range of enforcement
responses that are allowed under State law and the
POTW’s sewer use ordinance?
3. Does the POTW’s sewer use ordinance provide
adequate legal authority for all enforcement actions
the POTW proposes to initiate?
4. When identifying appropriate enforcement actions,
does the ERP allow for consideration of the following
factors?
a. Magnitude of the violation
b. Duration of the violation
c. Effect on receiving water
d. Effect on POTW
e. IU’s compliance history
f.
IU’s good faith
PPD\WC15\WC15342.DOC
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ENFORCEMENT RESPONSE PLAN EVALUATION CHECKLIST
continued
Requirement
YES
NO
N/A
Section Reference
5. Does the ERP adequately describe procedures for
escalating enforcement responses?
6. Does the ERP include associated time frames for all
activities including data review, initial and escalated
enforcement actions, and follow-up actions?
7. Does the ERP indicate that data will be reviewed no
later than 5 working days after its receipt?
8. Does the ERP indicate that initial enforcement actions
will be taken no more than 30 days after detection of
a violation?
9. Do the proposed time frames in the ERP for initial
enforcement actions make sense? For example, will
NOVs be issued more promptly than more stringent
enforcement action?
10. Does the ERP allow for strong enforcement action to
be taken immediately in the event of a major
violation?
11. Does the ERP indicate that initial follow-up
compliance activities (e.g., inspections, sampling)
will occur no later than 30 to 45 days after taking
initial enforcement action?
12. If the violation persists, does the ERP specify that
escalating enforcement actions will be taken 60 to 90
days after the initial enforcement action?
C. Does the ERP identify by title the persons responsible for
each enforcement response?
1. Are the positions described in the ERP consistent
with those described in the POTW’s program
implementation procedures and sewer use ordinance?
2. Do the positions identified in the ERP allow
enforcement actions to be initiated in a timely and
effective manner?
D. Is the POTW’s responsibility to enforce all pretreatment
standards and requirements reflected in the ERP?
1. Do the enforcement procedures in the ERP allow for
final resolution of noncompliance? For example, is
there a procedure to ensure that the same enforcement
action will not be taken again and again without final
resolution?
2. Are the procedures identified in the ERP consistent
with those contained in the program implementation
procedures and sewer use ordinance?
E. In general, are the relevant elements of the ERP
referenced and incorporated into other sections of the
implementation manual?
PPD\WC15\WC15342.DOC
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