California Water Boards' Annual Performance Report - Fiscal Year 2017-18
ENFORCE: NPDES WASTEWATER
ALL NPDES WASTEWATER FACILITIES
MESSAGE:
FY 17-18: Compared to FY 16-17 enforcement efforts, the regional boards issued 65% more penalty actions during FY 17-18. Most formal enforcement still focused on addressing mandatory minimum penalties.
ENFORCEMENT ACTIONS
| KEY STATISTICS FOR FY 2017-18 | |
| Number of Informal Actions: | 189 |
| Number of Compliance Actions: | 15 |
| Number of Penalty Actions: | 119 |
MEASUREMENTS - Data last updated on: 10-25-2018 (9:48 am)
| Region | Enforcement Actions | |||
|---|---|---|---|---|
| Informal Actions |
Compliance Actions |
Penalty Actions |
Total | |
| 1 | 0 | 2 | 7 | 9 |
| 2 | 18 | 2 | 13 | 33 |
| 3 | 1 | 1 | 4 | 6 |
| 4 | 7 | 5 | 54 | 66 |
| 5 | 116 | 5 | 36 | 157 |
| 6 | 1 | 0 | 0 | 1 |
| 7 | 17 | 0 | 3 | 20 |
| 8 | 0 | 0 | 0 | 0 |
| 9 | 29 | 0 | 2 | 31 |
| TOTAL | 189 | 15 | 119 | 323 |
WHAT THE MEASURE IS SHOWING
The Regional Boards use informal actions more frequently to notify dischargers that violations have been noted and recorded. The use of formal actions (compliance actions and penalty actions) in several regions is limited to the imposition of penalties. Using information from other measures, a large number of penalty actions for the National Pollutant Discharge Elimination System (NPDES) program addressed mandatory minimum penalties. Compared to the previous fiscal years for both formal and informal enforcement actions, the penalty actions in FY 17-18 (119) was higher than the number of penalty actions taken in FY 16-17 (72) and previous fiscal years. Compared to previous fiscal years, informal enforcement (all other actions) continues to decrease, from 602 informal (all other actions) in FY 10-11, 395 in FY 11-12, 283 in FY 12-13, 264 in FY 13-14, 215 in FY 15-16, 189 in FY 16-17, to 189 in FY 17-18.
WHY THIS MEASURE IS IMPORTANT
Enforcement plays a significant role in the Water Boards' strategies to protect water quality and represents a significant amount of work for both the State and Regional Boards. Enforcement deters potential violators and protects public health and the environment. Enforcement can prevent pollution from occurring and can promote prompt cleanup and correction of existing pollution problems. The Water Boards use progressive enforcement by addressing some violations with an informal response such as a phone call or staff enforcement letter, and if needed, a more formal action. If violations continue, the enforcement response should be quickly escalated to increasingly more formal and serious actions until compliance is achieved. This measure displays the use of formal versus informal actions to address documented violations.
TECHNICAL CONSIDERATIONS
- Data Source: CIWQS Period: July 1, 2017 to June 30, 2018.
- Unit of Measure: Number of enforcement actions with an effective date during FY 17-18.
- Data Definitions: See glossary.
- 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
- 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
- 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.
