The California Water Boards' Annual Performance Report -Fiscal Year 2014-15

ENFORCEMENT: NPDES WASTEWATER

MEASUREMENTS  - Data Last Updated on: 03-09-2017 (3:18 pm)

WHAT THE MEASURE IS SHOWING

The enforcement response for facilities regulated under the NPDES program is higher than other programs due to the requirements to impose mandatory minimum penalties for certain types of NPDES violations. However, the last few years has seen a decrease in violations subject to mandatory penalties, which explains the decrease in violations receiving penalty actions. Also, there can be a gap before a violation is addressed with an enforcement action, which can in part explain the recent increase in violations without enforcement.

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. 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
  Office of Enforcement
  The Water Boards' Enforcement Policy

GLOSSARY

Compliance Actions

Compliance actions are formal enforcement actions that impose sanctions and/or require compliance. Compliance Actions include Notices to Comply (NTC), Notices of Noncompliance (NNC), Time Schedule Orders (TSO), Cease and Desist Orders (CDO) and Clean Up and Abatement Orders (CAO).

Formal Enforcement Actions

Formal enforcement actions are statutorily based actions to address a violation or threatened violation of water quality laws, regulations, policies, plans, or orders.

Informal Enforcement Actions

Informal enforcement actions are enforcement actions taken by Water Board staff that are not defined in statute or regulation. Informal enforcement action can include any form of communication (oral, written, or electronic) between Water Board staff and a discharger concerning an actual, threatened, or potential violation. Informal enforcement actions cannot be petitioned to the State Water Board.

The purpose of an informal enforcement action is to quickly bring an actual, threatened, or potential violation to the discharger's attention and to give the discharger an opportunity to return to compliance as soon as possible. The Water Board may take formal enforcement action in place of, or in addition to, informal enforcement actions

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.

Penalty Actions

Penalty Actions are formal enforcement actions where administrative or judicial actions impose a penalty or require the completion of a project associated to a monetary amount. Penalty actions include liabilities imposed with an Administrative Civil Liability (ACL) and settlement agreements pursuant to Government Code section 11415.60.

( Page last updated:  11/25/15 )