Tuning up Your ERP for Performance and Efficiency: A Review of San Jose’s Enforcement Response Plan

1. Tuning up Your ERP for Performance and Efficiency: A Review of San Jose’s Enforcement Response Plan

2. Background • First ERP written in 1991 • Revised in 1998 • Revised again in 2002 • To be revised in 2003 • A never ending tale of the search for perfection

3. More Background • Internal City Audit Conducted in 2000 • Audit Report Findings of May 2001

4. Tune-up Considerations • What items needed to be addressed from the City Audit • What items do the guidance document suggest • What items will your Regional Board be checking for

5. Audit Findings • Issued incorrect enforcement actions. • Did not issue enforcement actions for all identified violations. • Missed some administrative citations. • Did not apply sewer surcharge correctly.

6. Audit Changes • Provide for consistent enforcement • Build clear guidelines into the ERP and ERG • Support the ERP with procedures

7. Areas of Improvement • Better describe the duties and responsibilities of pretreatment staff. • Refine the Enforcement Response Guide to allow more flexibility. • Ensure supervisory oversight. • Include supporting procedures. • Include supporting flow charts.

8. Responsible Staff Prior to Audit • Prior to our City audit, an inspector was designated as the Enforcement Coordinator • After the audit, the Senior Environmental Inspector was designated as the Enforcement Coordinator in order to provide supervisory oversight

9. Responsible Staff • Enforcement Coordinator • Enforcement Coordinator Assistant • Inspector

10. Enforcement Coordinator • Reviews violations and makes final determination of enforcement action • Signs routine enforcement actions • Review response letters • Coordinates and moderates compliance meetings • Reviews company’s compliance history • Compiles compliance reports for pretreatment program compliance reports • Works with tributary agencies and their respective attorney’s office

11. Enforcement Coordinator Assistant • Review monitoring results and verify discharge violations • Verify timely responses for violations, compliance meetings and compliance schedules • Assist with compliance meetings • Prepare weekly compliance reports

12. Inspector • Review monitoring results and identify any violations • Recommend enforcement actions to the EC • Track the Industrial User’s response to violations, and compliance schedules • Prepare compliance letters • Review compliance history of IU • Enter all enforcement actions into tracking

13. Elements of an ERP • Describe how the POTW will investigate instances of noncompliance. • Describe the types of escalated enforcement actions that the POTW will take and the time periods for these actions. • Show how the POTW will enforce on violations of the pretreatment standard. • Criteria for scheduling sampling and sampling. • A system to track due dates for SMR’s, responses to notices of violation and other enforcement actions.

14. Regional Board Checklist • When the Regional Water Quality Control Board reviewed our Enforcement Response Plan a five page checklist was used. Some of the key areas of this checklist are as follows.

15. Checklist Details • How does the POTW investigate instances of noncompliance? • Describe the types of Escalating Enforcement Responses the Control Authority will take. • Identify the officials who must approve each type of response. • Does the ERP present any obstacles to effective enforcement?

16. More Checklist Items • Responsible Staff • Time Frames • Inspection Procedures • Sampling Procedures • Data Management • Escalating Enforcement Details