The California Water Boards' Annual Performance Report -Fiscal Year 2012-13

ENFORCEMENT: NPDES WASTEWATER

WHAT THE MEASURE IS SHOWING

The enforcement response to violations varies by region and 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 10% and 46%. 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.

( Page last updated:  10/3/13 )

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