UNITE D ST ATES ENVIRONME N TAL PROTECTION AGE N CY

WA SH IN GT O N , D.C. 20 4 6 0



### May 22, 2006

OF FI CE OF

ENFORCEMEN T AND

COMPLIA NCE ASSURA NCE



### MEMORANDUM

SUBJECT: Final Single Even t Viola t ion Data Entry Guide f o r the Perm it Com p liance

System (PCS)

FROM: David A. Hindin, Director /s/

Enforcem ent Targeting, and Data Division (ETD D)

TO: Regional W a ter Br anch Chief s

Regional W a ter Enf o rce m ent Branch Chief s

On Septem ber 30, 2005, we sent you an Interim Single Event Violation Data

Entry Guide for PCS. Si ngle event violati ons are one-tim e or long-term violations

discovered by the perm itting authority t ypically during inspections (and not through

autom a ted reviews of Discharge Monitoring Repo rts). The attached docu m ent is the final

version of this Data Entry Guide, which in cludes changes m a de in PCS in response to

comments received in th e las t five months, and will s e rve as the key reference document

for tracking these violations in PCS. W h ile none of the changes were m a jor, we updated

the In ter i m Single Even t Viola tion Data Entr y Guide to m a inta in its acc uracy r e gard ing

several revised codes in the database. To su mm arize th e key s t eps th at hav e led to this

point:

• The list of single event violation codes wa s revised through a series of m eetings

and conference calls with St ates and Regions in F a ll 2004. These new codes were

added to PCS in March 2006, and we will also include th em in the initial release

of ICIS-NPDES.

• This subject was presented at the last two PCS National Meetings, in 2004 and

2005, with States and Regions in attendance.

• The Inte rim Data Entry Guide was discusse d on a series of c onference calls with

EPA Regions in May and June of 2005.

• The Interim Single Even t Vi ola tion Data Entry Guide f o r PCS was issued to

Regional Water and Enforcem ent Branch Chie fs for distribution to their S t ates on

Septem ber 30, 2005.

The Final Single Event Violation Data En try Guide for PCS includes edits to 11

single event violation codes desc riptions, and the deletion of one code. This is reflected

in Attachm e nt 1, the Single Event Violation code table. There have also been som e

### m i nor corrections to update and reorganize the infor m ati on provided in Attachm e nt 5,

“Entering and Tracking Single Event Violations, Linking Them to Enforcem ent Actions,

and Detecting and Resolving RNC in PCS”. Lastly, the Final Single Event Violation

Data Entry Guide f o r PCS includes the rev i si on of Section 7 “wet weather” violation

scenar ios to ref e r to sp ec if ic unive rse s su ch as C A FOs, CSOs, SSOs, and Storm W a te r.

Please no te that sing le ev ent vio l ation s are cu rren t ly a requ ired (WENDB) data

elem ent for NPDES major and PL 92-500 (cons truction grant) non-m a jor facilities in

PCS. At fac ilities whose perm its do not re qu ire DMRs, single-even t violations are the

ONLY source of nation a l data rega r d ing viola tio ns that are d i scover e d by the perm itting

authority. T h e developm ent and distribution of this Data Entry Guide emphasizes the

growing importance of m a intaini ng an electron ic reco rd of inspection-based violations.

Now that th e Single Eve n t Viola tion Data Entry Guide is f i n a l, m y Division will

be m onitoring the entry of single event viola tions. This is already one of the State

Review Fram e w ork m e trics. For calendar ye ar 2005, we have noticed that only Regions

3, 4, 6, and 8 entered any into PCS. In allocating our resources to m a nage core program s,

it is im portant that we can dem onstrate the outcom e of our compliance monitoring

investm e nts. Tracking the viola tion s aris i ng f r o m these inve stm e nts will help us to

dem onstrate the im porta nce of these activ ities. We realize that this will be som e wha t of a

“cultu re change” for the NPDES program in te rm s of data entry; however we believe

that, with th e new viola t ions codes a nd this Data Entry Guide

, any initia l dif f i cultie s in

adjusting to elec tronic tr acking of th ese vi o l ation s will be ov e r com e to reveal th e

advantages of this approach.

Please d i stribute the attached document to the ap propria te Regional and state

m a nagers and data entry staff. Any questions m a y be directed to Am elie Van Den Bos at

vandenbos.am e lie@epa.gov

.

Attachm e nts (1)

cc: Kate Anderson, OCE

Ken Gigliello, OC

Daniel Palm er, OC

Lucy Reed, OC

PCS Data Stewards

## S INGL E 

## E VENT 

## V IOLATION 

## D ATA 

## E NT R Y 

## G UI DE F O R T H E



## P ERM I T 

## C OMPLI ANC E 

## S YSTEM 

## (PCS)

May 22, 2006

Table of Contents P a g e

1. Introduction

2. Background

3. Entering a Single Event Violation

4. Reportable Non-Com p liance/ Signif icant Non-Com p liance ( R NC/ SNC)

D e t e r m i n a t i o n

5. Relationship of Single Event Violations to Quarterly Non-Compliance Report

(QNCR) and Enforcement and Compliance History Online (ECHO)

6. Traditional Program and Pretre atm e nt Scenar ios f o r DMR-subm itting

F a c i l i t i e s

7. Violation Tracking for CAFOs, CSOs, SSOs, and Storm W a te r 1

1

2

3

3

6

9

Attachments :

1 - Available Single Event Violation codes

2 - Availab l e RNC Detection cod e s

3 - Available RNC Resolution codes

4 - Available QNCR Status codes

5 - Entering and Tracking Single Event Viol ations, Linking T h em to Enforcem ent

Actions, and Detecting and Resolving RNC in PCS

USEPA/OECA/OC/ETDD

### 1

. Introduction

Single event violations are violations of the CWA’s NP DES requirem e nts that are

docum ented during a compliance inspection, re ported by the facility, or determ ined

through other com p liance m onitoring m e thods by the perm itting authority. Exam ple s of

single event violations include failure to obtain required pe rmit, sam pling wastewater in

an unauthorized location, or an unauthorized wastewater bypass or discharge. Single

event violations do not include violations ge n era ted autom atically by eith er PCS or I C IS

(e.g., effluent lim it violation from a DM R, or compliance schedule violations).

Single event violations include one-tim e events and long-term violations. Single-event

viola tions a r e used by EPA to m aintain and r epo rt th e com p liance status o f a f acility f o r

violations that are not autom a tically f l agged by the data base. Methods of detection of

single event violations include in spec tions, inf o r

m ation colle ction reques t s, sta t e /tr iba l

referrals, DMR comm e nts, annual reports, non -com pliance reports, and other reports

required under the perm it, enforcem e n t order, or regulation, facility self-audits, and

citizen com p lain ts. In the case of u nperm itted f acilities, s i n g le even t violations m a y be

entered in response to violations of CWA NP DES regulations. In certain cases, single

event violations m a y also include violations of the NPDES perm it or an enforcem ent

order. The data are critical to form ing an historical record of inspection findings and

com p liance determ inatio ns that are m ade by the NPDES perm itting auth ority.

Single Event Violations are re quired to be entered into th e na tiona l Perm it Com p lianc e

System (PCS) as def i ne d in the W ater Enf o rcement Nation al DataBase ( W ENDB list) f o r

NPDES major and PL 92-500 non-m a jor perm i tte es. EPA strongly encourages the entry

of single-event violations at non-m a jor faci lities; however, at this tim e , there is no

requirem e nt for such entry. The purpose of this docum e nt is to provide guidance and

clarification on the data entry and use of Singl e Event Violations in PCS so that the data

elem ents are m a intained in a nationally cons istent way. Regions and states that are

entering data into the single-event fields of PCS should follow this Guide.

2. Background

Violation tracking is im portan t becau se it cr eates an histo r ic electronic record of

inspection or com p liance m onitoring findings. Tracking inspection results can im pact

future enforcem ent decisions, particularly wh en a perm ittee continues to exhibit the sam e

viola tion ov er the course of several y ears. Repea t violation s m ay lead the perm itting

authority to escalate o r reclass i fy the vi olation (e.g. by designating Reportable NonCom p liance or Significant N on-Compliance). Electronic doc um entation of violations

also im proves the accuracy of public inform ation, particularly since the lack of any

violations in the system is norm a lly interpre ted as full com p liance by the database user.

To harm oni ze the tracking of single-event viol ations with the violations and program

areas that are of m o st impor tance to the NPDES program , EPA has taken several steps to

im prove reporting and tracking. First, the or iginal list of single- event codes were re

designed to rem ove redundancies and to m a tch more closely to program priority areas

(see Attachm e nt 1 for t he list). Secondly, this guide has been prepared to offer practical

1

### exam ples on how the data should be m a intained in the system. The authorized perm itting

authority should consult the list of reportable single-event violations (Attachm e nt 1), and

enter any listed violation that is determ ined through inspec tions, review of self-reported

inform ation, or other m eans of disco v ery. If the perm itting authority has the need to

track additional violations beyond those lis ted on the table, the system provides the

f l exibility to enter an “other vio l ation ” code, which can be augm ented with comment

field narrative.

3. Entering a Single Event Violation

Single Event Violations must be entered m a nually (m anually m eans the system does not

autom a tically generate the violation using DM R inform ation) by staff at the appropriate

perm itting a u thority. To enter a Sing le Event Vio l ation into P C S, the per m itting

authority (i.e., region, state, tribe) needs to identify the following—

• 

### Either the sp ecif i c pe rm it that is bein g violated (i.e., NPDES I D ) or, in the case

where the r e is no perm it, the vio l atin g f acility or site (i.e., Un perm itted I D )

• 

### The type of the violation (Attachm e nt 1 provides a list of codes and definitions)

• 

### The date on which the violati on occurred or, if this is not available, date on which

the violation was discovere d (i.e., Violation Date).

This is the m i ni m u m infor m ation required to en ter a Sing le Event Viola t ion f o r a spe cif ic

perm it in PCS. This can be accom p lished throug h either batch or onlin e (i.e., W e b) data

entry. Thes e data elem ents in com b inati on form a unique key by which the Single Event

Violation ca n late r be id entif ie d and retrieved in PCS.

OECA recommends that single-ev e nt viola tion s discover ed by the perm itting author ity

and listed on the single-event violation table should be:

(1) tracked as a single ev ent vio l ation

, (2) linked to the inspection if applicable,

(3) if a quarterly non-co mpliance status is needed, placed in RNC or SNC (by entering

an RNC detection code - see Attach m e nt 2 - that will trigge r “repor table

noncom pliance”), and

(4) re solved (pending) w ith e ithe r a form al enforcem ent action or penalty order (linked

to the violation), and a com p lian ce schedule (if appropriate).

Note: If the viola tion is entered for tracking pur poses and will no t receive action,

steps 3 and 4 are not necessary.

4. Reportable Non-Compliance/ Signif icant Non-Compliance (RNC/ SNC)

Determ inat ion

Should the region, state, or tribe determ ine that the Si ngle Event Violation m e rits

class i ficatio n as RNC or SNC (e.g. m ee ting SNC definition ) , the RNC Detection

Code/Date (see Attachment 2) should be ente red

. Once an enforcem ent action h a s b een

2

### taken, th e RNC Resolution Code/Date (see Atta chm e nt 3) can be entered m a nually or

autom a tically as a result of linking that Singl e Event Violatio n to a form al Enforcem ent

Action Final Order that includes a C o m plian ce S c hedule. For m o re technical details,

please s ee A ttachm ent 5.

5. Relationship of Single Event Violatio ns to Quarterly Non-Compliance Report

(QNCR) and Enforcement and Complia nce History Online (ECHO)

The following statem ents apply to Q N CR pro cessing and single event violation tracking

in PCS:

- facilities with any perm it violation during a quarter are considered in violation

- the “QNCR Status” field (see Attach m e nt 4 for c odes) is used in PCS to track

the quarterly non-com p liance status f o r both m a jor and non-major perm its;

however, only m a jor f acilities with RNC or SNC-level v i ola t ions will m ake

the QNCR

- non-m ajor facilities th at have violati ons will no t go on the QNCR, (unless the

perm itting a u thority re -d esigna tes th e f acility as a m ajor); ho wever, the

facility-level noncom pliance status will b e publicly available (via FOIA or

web site such as ECHO)

The PCS Quality Assurance Guidance Manual s t ates that single event violations should

be entered into PCS within 5 working days of notif ica tion of the vio l ation event. If th is

does not happen, and an RNC or SNC level single event viola tion is ente r ed retroac tiv ely

after the quarter has been analyzed by PC S for RNC/SNC determ ination, then the user

will be exp e cted to m a nually popu late the facili ty level QNCR status values with eith er N

or E as appropriate for that quarter (see Atta chment 4), in addition to the RNC detection

and resolution codes.

3

### The table b e low describ e s the m o st comm on PC S data en try p r ogress i on a s it r ela tes to

the violation review process outlined in th e Enforcem ent Managem e nt System (EMS).

All data entry should be done accord ing to th e ta rgets for data quality set f orth in the P C S

Quality Ass u rance Guid ance Manua l.

Table 1. Data Progression Exam ple 1

Activity P e rformed PCS Data Entry In Violation In SNC

A Com p liance

Monitoring Enter Insp ec tion

- -

B Non-Com p liance

Determ ined Enter app r o priate Single Event

Violation(s) and link to

Inspection record Yes No

C SNC Determ ined Add appropriate RNC

Detection and Resolution Code

to Violation record Yes Pending

system

generated

RNC/

SNC

Status

D Notice of Violation

(NOV) sent Add Enforc em ent Action Code

and link to Violation record

Yes Pending

system

generated

RNC/

SNC

Status

E RNC/SNC Process i ng System -generated. No data

entry required. Yes Yes

F SNC Addres sed with

Form al Enforcem ent

Action and

Com p liance Schedule Enter Form al Enforcem ent

Action and Com p liance

Schedule, and link to Violation

f o r autom atic RNC/SNC

resolu tion Yes System

generated

“Resolved

Pending”

status

G Com p letion of

Com p liance Schedule Com plete schedule, close out

action, and put end date on

single event violation No No

4

### Another var i ation on this progress i on is pres ented in the f o llo wing table, where a f acility

return s to co mpliance be f o re it is designated in S N C.

Table 2. Data Progression Exam ple 2

Activity P e rformed PCS Data Entry In Violation In SNC

A Com p liance

Monitoring Enter Unper m itted Facility

data - -

B Non-Com p liance

Determ ined Enter app r o priate Single Event

Violation(s) “Failure to Apply

for a Perm it” Yes No

C SNC Determ ined Add appropriate RNC

Detection and Resolution Code

to Violation record Yes Pending

system

generated

RNC/ SNC

Status

D Notice of Violation

(NOV) sent Add Enforc em ent Action Code

and link to Violation record Yes Pending

system

generated

RNC/ SNC

Status

Facility app l ies f o r a pe r m it 30 days late r.

E Perm it Application Enter Perm it applic ation data

and link to Unperm itted

Facility - -

F Non-com p liance

Resolved Put end date on single event

violation for unperm itted

facility and add m a nual RNC

Resolution Code No Pending

system

generated

RNC/ SNC

Status

G RNC/ SNC

Processing at

Unperm itted Facility System -generated. No data

entry required. No System

generated

“Resolved”

status

5

### The following scenarios dem onstrate how PCS s hould be used to docum e nt a com plete

and consistent set of “pipeline” data (inspe ction, violation type/dur ation, action) that is

necessary for inspection-driven program s

. For “a ctionable” single event violations,

authorized program s should use SNC designa tions consistent with the EMS. All

scenar ios as sum e tim ely data en try a ccording to the standa rds set f o rth in the PCS Quality

Assurance Guidance M a nual.

6. Traditional Program a nd Pretreatment Scena r ios for DMR-submitting Facilitie s

(practices for facilities th at have autom a tic QNCR generation - m a jor or non-m a jor

standard perm its)

Scenario 1 - Violation found via inspection at facility that s ubmits D M Rs - action

required.

Facts: On 1/1/05, state determ ines that sam p ling has been im properly

conducted since 9/1/04, which produces DM Rs that are not correct. State

determ ines that detected violation has “m asked” true SNC. Facility agrees to

fix problem for future quarters beginn ing in the April 2005 quarter. Formal

adm i nistrative enforcement action is com pleted on 5/1/05.

PCS Data Entry: After the 1/1/05 inspection (IN SP, INMY) is com p leted

, the

perm itting a uthority ente rs the SEV ( S VCD) and selec t s 9/1 / 0 4 as the v i olation

date (SVDT). [Note that by entering the violation date as 9/1/04 , this assu mes the agency wants to “backdate” th e violation to when it started. ] The code

“INS” m a y be entered into the SEV user-d efined field (RDS1) to indicate that

the violations were discovered thr ough an inspection. Although the singleevent violation date is recorded as 9/1/04, the R N C detection code (SNCS) is

entered with the detectio n date (SNDS) of 1/1/05. RNC entry will trigger SNC

(QNCR status code=E) in the Jan-Mar re porting quarter. State takes a form al

enforcem ent action (ENAC) on 5/1/05 (E NDT) and links the action to the

single-event violation using EVTP/EVS C/EVSD fields in the enforcem ent

action key record. RNC m a y be m a nually resolved (SRCS) with a date of

5/1/05 (SRDS) and the enforcem ent action should be closed. If the

enforcem ent action inclu d es a respon se due from the facility that correctiv e

m easures have been taken, a com pliance schedule (EVNT, DTSC) can be

enter e d to r e solve th e SNC. The us er enters com p liance schedule code

“com p liance with final event” (6209 9), which moves the facility into

“Resolved pending” until the enforcem ent action is closed (with ENST=CL

and ESDT).

6

### Scenario 2 - One time significant an d preventable spill at major oc curs w i th

fish kill.

Facts: Facility operato r error causes spill on 1 / 1/05. Region determ ines s p ill is

significant and that a penalty order is n eeded on 3/1/05. No injunctive relief

was needed.

PCS Data Entry: SEV code (SVCD) and date (SVDT) of 1/1/05 is entered.

RNC Code (SNCS=“J”) entered indi cating “unperm itted discharge” (other

codes are av ailab l e for different situati ons) that will trigger SNC (QNCR status

code=E) in that quarter. The RNC de tection date (SNDS) corresponds to the

date that EP A first found out about the spill. Penalty order (ENAC) on 3/1/05

(ENDT) is entered and tied to SEV in system using EVTP/EVSC/EVSD fields

in the enforcem ent actio n key reco rd

. Since penalty actions don’t resolve

SNC, the agency would m a nually resolve SNC by adding a resolution code

(SRCS) and date (SRDS) of 3/1/05. Penalty order is closed out with status

ENST=CL a nd date (ES D T).

Note: I f

inju nctiv e relie f

was need ed, a formal action with extended

compliance would be entered in addition to the penalty order.

Scenario 3 - Multiple sp ills that ar e acti onable are deter m ined during facility audit

or review of files.

Facts: 150 s p ills are d eterm ined through a file review.

PCS Data Entry: After the 1/1/05 inspection (IN SP, INMY) is com p leted

, agencies sho uld enter tw o SEV “D0017” code entries f o r “Vio lation spec if ied

in comm ent ” , with SVDT dates correspondi ng to the dates of the first and last

spill. Th e c ode “INS” m a y be entered in to the SEV user-de f ined f i eld RDS1

to indicate if the violations were di scovered through an inspection and the

SEV user-defined field RDS2 m a y be us ed to ind i cate “first sp ill” and “last

spill” with the num ber of spills written af terward s. If approp ria t e, both S E Vs

would have RNC detection codes (S NCS).

Note: Ideally, EPA recommends that all reported spills are entered into the

system as they occur. T his data will demonstrate a pattern of non-compliance

which should be a factor in determ ining whether to take an enforcement

action and what type of action to ta ke. However, if th is is n o t possib l e, we recommend “backdating” the noncompliance. In cases where the true

detection date for the violation is not known, the earliest available date of

discovery (e.g. inspection, data entry) should be used.

7

### Scenario 4 - Minor violations found at fa cility requiring follow -up w i th 308 letter,

but no action.

Facts: Violations found on 1/1/05. On 2/ 1/05, inspector sends 308 letter to

obtain m o re inform ation in order to m a ke a RNC determ ination. Response is

due on 3/1/05, and inspector receives res ponse to letter on 2/ 15/05. No form al

action taken.

PCS Data Entry: SEV code (SVCD) and date (SVDT) of 1/1/05 entered.

308 letter should be recorded as enfo rcem ent action code (ENAC=10) with

date (ENDT) of 2/1/05, and linked to SE V using EVTP/EVSC/EVSD fields in

the enforcem ent action key record. Response due date (ERDT) should be

entered as 3/1/05, with response receiv ed date (EADR) of 2/15/05. System

will not auto m atically tra ck need f o r r eport by 3 / 1, however this inf o rm ation

should be entered for purposes of data com pleteness.

Scenario 5 - Pretreatment Violation Tr acked to Resolution w i th No Action

Needed.

Facts : The EPA Region is the control au tho r ity f o r a state in which an

inspector finds a categorical industrial user (CIU) discha rging to a publiclyowned treatm ent works (POTW ) without an approved pretreatm e nt program

and not reporting as required under federal regulations, on 1/1/05. The

reporting violation is corrected and ve rified (without inspection) on 3/1/05, no

enforcem ent action n eed ed.

PCS Data Entry: Create a record by entering pe r t inent f acility and address

WENDB da ta elem ents as required by the system (i.e., NPID, FNMS, SIC2,

CFRC, RNAM, RCT Y, RSTT, RT E L , RZIP). Enter system -required

violation code (SVCD) and date (SVDT ) of 1/1/05. The code “INS” may be

enter e d into the SEV user-def ined f i e l d (RDS1) to indicate that the violation

was discovered through an inspection. RN C det ection code (SNCS) and date

(SNDS) left blank.

Scenario 6 - Tracking a facility in PC S as a known Categorical Industrial User,

i.e., already is being tracked in PC S.

Facts: During a Pretreatm e nt inspection an inspector finds violations on

1/1/05 for failure to subm it Peri odic Com pliance Reports (P CR), not

monitoring f o r all the req u ired po lluta nt s, not applying right standards, or

sam pling methods. Agency decides on 2/ 1/05 that violations are serious and

action is required. Form al adm i nistra tive action is taken on 3/1/05. The CIU

subm its the reports and corrects all the violations on 3/31/05.

PCS Data Entry: Enter violation code(s) (S VCD) and date(s) (SVDT) of

1/1/05 for each single event violation. The code “INS” m a y be entered into

8

### the SEV user-defined field (RDS1) to indicate that the violation(s) was

discovered through an inspection. On 2/1/05, m a nually enter RNC detection

code(s) (SNCS) “Q” (se e Attachm e nt 2) and dates (SNDS) of “02/01/05”.

Enter form al action (ENAC) on 3/1/05 (ENDT), enforcem ent action file

num ber (ERFN), and tie the action to the single event violation(s), using

EVTP/EVSC/EVSD fields in th e en forcem ent action key record. Exten d ed

com p liance schedule with com p liance m ilestone (EVNT) and com p liance

schedule file num b er (CSFN) is ente red indicating reports and corrective

actions m ust be im ple m e nted and rece ived by 3/31/05 (DTSC). Single event

violations autom a tically becom e “resol ved pending” (SRCS) due to entry and

linkage of the for m al enforcem ent action. After com p liance with the

enforcem ent action is achieved, it is closed out (ENST=CL &

ESDT=03/31/05). Single event violati ons a r e au tom a tically r e solved with

closeou t of form al enforcem ent actio n and com p l i ance s ched u le is com p l eted

using DTAC/DTRC.

7. Violation T r acking for CAFOs , CSOs, SSOs, and Storm Water

"W et weather” regulated entities refer collectiv ely to storm water runoff, discharges from

concentrated anim al feeding operatio ns (C AFOs), com bined sewer overflows (CSOs),

and sanitary sewer overflows (SSOs) that are regulated under the Clean Water Act

(CW A ), 33 U.S.C. §§ 1251 et seq. , and the National Pollu ta nt Discharg e Elim ination

(NPDES) Program , unde r CW A § 1342. Frequen tly – but not always – discharges of

pollutants from these operations are related to w eather events. The discharges can be

non-weather related as w e ll, e.g., illegal dry weather overf lows from combined and

sanitary sew e r system s. Because m a ny of th e point sources in these four p r ogram areas

do not m eet the definition of NPDES “m ajor”, SNC does not currently apply. However,

this guid e pr ovides a f r a m ework f o r how the per m itting auth ority can use PCS to trac k

these violations. As part of its effort to update the NPDES pr ogram , EPA – in close

consultation with the states – is currently developing supplem ental national enforcem ent

guidance to identify, prioritize, and track significant non-com p liance (SNC) in the

CAFOs, CSOs, SSOs, a nd Storm Water p r ogram areas. When this ef f o rt is com p leted,

these sc enar ios will b e u pdated to ref l ect the new policy.

There m ay be som e situations a t W et W eather f ac ilitie s when the vio l ation is consid ere d

SNC-level AND there is an appropriate RNC/ SNC code combination (see Attachm e nts 2

and 3). In these situations, the authori zed program could choose to m a ke an SNC

designation. W h en a single even t violation occurs that will not be enforced against,

OECA recommends that the pe rm itting autho r ity tr ack this as a sing le e v ent vio l atio n, but

a RNC detection code is not n eeded. Entry of the single even t violation will ensure an

accurate database record , and will m a ke EPA’ s public access site re flect the inspectio n

results.

Note: All scenarios assume no other violation.

9

### Scenario 7 - Violation T r acked to Resolution w i th No Action Needed.

Facts : Inspector finds violation on 1/1/05. Violation is corrected and verified

(without inspection) on 3/1/05, no enforcem ent action needed.

PCS Data Entry: Violation code (S VCD) and date (SVDT) of 1/1/05 entered

(system required). The code “INS” m a y be entered in to the SEV user-de f ined

field (RDS1) to indicate that th e violation was discovered through an

inspection. RNC detection code (S NCS) and date (SNDS) left blank.

Scenario 8 - Violation d e tected w i th need for formal action

.

Facts: Inspector finds a violation on 1/1/05 f o r f ailur e to sub m it report. On

2/1/05, agency decides that violations are serious and action is required.

Form al administrative action taken on 3/1/05. F acility subm its report on

3/30/05.

PCS Data Entry: Violation code (S VCD) and date (SVDT) of 1/1/05 entered

(system required). The code “INS” m a y be entered in to the SEV user-de f ined

field (RDS1) to indicate that th e violation was discovered through an

inspection. On 2/1/05, RNC detection c ode (SNCS) “F” (see Attachm e nt 2)

and date (SNDS) is entered ind i ca ting viola tion s will trigg e r RNC (QNCR

status code=N). Form al action (ENAC) tied to single event violation on 3/1/05

(ENDT), using EVTP/EVSC/EVSD fiel ds in the enforcem ent action k ey

record. Compliance schedule m ilestone (EVNT) is entered indicating report

must be received by 3/30/05 (DTSC). On 3/30/05 (ESDT), the enforcem e nt

action is closed out (EN S T=CL), resulti ng in RNC resolution (SRCS) for this

violation. C o m p liance schedule is com pleted using DTAC/ D TRC.

Scenario 9 - Violation is detected a nd then corrected befo re a penalty order is

taken.

Facts: Sam e scenario as #2, except penalty action is chose n, and facility

return s to co mpliance on 2/1/05 (before the pena lty action is taken).

PCS Data Entry: Violation code (S VCD) and date (SVDT) of 1/1/05 entered

(system required). The code “INS” m a y be entered in to the SEV user-de f ined

field (RDS1) to indicate that th e violation was discovered through an

inspection. Penalty action (ENAC) on 3/1/05 (E NDT), and tied to single event

violation using EVTP/EVS C/EVSD fields in the enforcem ent action k ey

record. Penalty order is closed out w ith status E N ST=CL and date (ESDT).

User Option A - RNC de tection code (SNC S) is not ente red s i nce the ag en cy

decided an adm i nistrativ e action wa s not needed. User Option B -

alternatively

, the user co uld enter an RNC detection code (SNCS) and then

m a nually resolve it (with SRCS/SRDS) if at the tim e they made the

10

### determ ination they were unsure whether an adm i nistrative or penalty action

would be taken.

Scenario 10

- Multiple violations dis c overed during facility inspect ion, action ta ken,

long-term compliance schedule established

.

Facts: Violations detected on 1/1/05 and st ill continuing. S t ate takes form al

action again st f acility on 3/1/05 and put s the f ac i lity on a co mpliance sc hedule.

PCS Data Entry: Violation codes (S VCD) and dates (SVDT) of 1/1/05

entered (system required). The code “I NS” m a y be entered into the SEV userdefined field (RDS1) to indi cate that the vio l ation s were disco v ered th roug h an

inspection. RNC codes (SNCS) and dete ction dates (SNDS) of 1/1/05 entered.

User enters enforcem ent action code (ENAC) and date (ENDT) of 3/1/05, and

enters a compliance schedule (EVNT) on 6/1/05 (DTSC). Bot h are linked to

the SEV records, using EVTP/EVSC/EVSD fields in th e en forcem ent action

key record. This puts the f acility in to the Resolv ed Pending category from

January until the enforcem ent action is cl osed with activity status “CLS”. The

com p liance schedule actual/achieved da tes a r e en tered to complete the

schedule. Individual SEVs m a y be m a nually resolved (SRCS, SRDS); this

does not affect th e facility quarterly non- com p liance status co de, which will b e

“resolved pending”.

11Attachment 1 - Available Single Event Violation codesThe codes and descriptions listed here may change slightly over time.Please consult PCS system documentation (Table 550)andICIS-NPDES for updated lists.CodeDescriptionDefinitionA0018EffluentViolations- ApprovedBypassA0013EffluentViolations-Failed ToxicityTestA0023EffluentViolations- IndustrialSpillA0017EffluentViolations- Inspectionsampleabove historicDMRrangeA0022EffluentViolations-Narrative EffluentViolationvisible sheen/scum/floatablesA0012EffluentViolations- NumericeffluentviolationA0016EffluentViolations- ReportedFishKillA0011EffluentViolations- UnapprovedBypassA0015EffluentViolations- Unauthorized DischargeofBrineB0019ManagementPractice Violations-Best Management Practice DeficienciesB0024Management Practice Violations- Biosolids/SewageSludge Violation(Part 503)B0026ManagementPractice Violations- Failure to Allow EntryB0012ManagementPractice Violations-Failure toConductInspectionsB0027ManagementPractice Violations-Failure toDevelopAdequateSPCCPlanB0017Management Practice Violations- Failureto develop any or adequate SWPPP/SWMPIncludesFailure toreviseSWMP to meet MEPB0011ManagementPractice Violations-Failure toDevelop/Enforce StandardsB0028ManagementPractice Violations-Failure toImplementSPCCPlanB0018ManagementPractice Violations-Failure toImplementSWPPP/SWMPIncludesfailuretocontrolcontributing sources.B0041ManagementPractice Violations- Failure to MaintainRecordsB0040ManagementPractice Violations-ImproperChemicalHandlingB0023ManagementPractice Violations-ImproperLandApplication(non-503,non-CAFO)B0020ManagementPractice Violations-ImproperOperation andMaintenanceB0025ManagementPractice Violations- Inflow/Infiltration(I/I)B0021ManagementPractice Violations-LaboratoryNotCertifiedB0022ManagementPractice Violations- No Licensed/Certified OperatorB0042ManagementPractice Violations-Violationofa milestone inanorderC0017MonitoringViolations-AnalysisnotConductedC0011MonitoringViolations-Failure to Monitor for non-Toxicity RequirementsC0021MonitoringViolations-Failure to Monitor for Toxicity RequirementsC0015MonitoringViolations- FrequencyofSampling Violation1-1CodeDescriptionDefinitionC0018MonitoringViolations-ImproperAnalysisorLabErrorC0014MonitoringViolations- Invalid/UnrepresentativeSampleC0016MonitoringViolations-NoFlow MeasurementDeviceD0014PermittingViolations- ApplicationIncompleteD0011PermittingViolations- DischargeWithout a ValidPermitD0012PermittingViolations- Failure tosubmitrequiredpermit applicationinformationThis is a CWA §308violation.D0015PermittingViolations- Failure toPayFeesD0016PermittingViolations- Failure toSubmitTimely Permit RenewalApplicationD0013Permitting Violations -UnapprovedOperationD0017Permitting Violations -ViolationSpecified inCommentC0012Pretreatment-Baseline MonitoringReportViolationB0P12Pretreatment -Failure toConductInspectionsB0P11Pretreatment-Failure toDevelop/EnforceStandardsB0013Pretreatment -Failure toEnforceAgainst I/UB0015Pretreatment-Failure toEstablishLocal LimitsC0013Pretreatment-Failure toEstablishSelf-MonitoringRequirementsB0014Pretreatment -Failure toIssue SIU PermitsB0016Pretreatment -Failure toMeetInspection and SamplingPlanfor SIUsE0015Pretreatment-Failure tosubmitrequiredreport(non-DMR)B0P40Pretreatment-Improper ChemicalHandlingA0014Pretreatment- IU Violation ofPretreatmentStandardsE0017Reporting Violations- Failure toNotifyE0012ReportingViolations- FailuretoSubmitDMRsE0016ReportingViolations- Failuretosubmitrequiredreport(non-DMR,non-pretreatment)E0013ReportingViolations - Improper/IncorrectReportingE0011Reporting Violations- LateSubmittal ofDMRsE0014ReportingViolations - NoncompliancewithSection 308InformationRequestB0A19WW CAFO- BestManagement Practice DeficienciesB0038WW CAFO- Direct AnimalContact with Waters ofUSD0A11WWCAFO-DischargewithoutapermitB0A12WWCAFO -Failure toConductSelf-Inspectionsshouldincludeonlyself-inspections thatareNOTdatebasedB0032WW CAFO- FailuretoDevelop orupdate NMPB0033WW CAFO- DeficienciesinImplementingthe NMP/permit1-2CodeDescriptionDefinitionB0A41WWCAFO-Failure toMaintain Recordsor Meet RecordKeeping Requirementsincludes SNCcriteria “failureto meet recordkeeping requirements”B0043WWCAFO -Failure toinformpermittingauthority of significantNMPchangesC0A11WWCAFO-Failure toMonitorD0A12WWCAFO-Failure tosubmitrequiredpermitapplicationoridentifyinginformationThis is a CWA §308violation.C0019WWCAFO-Failure toTestManureorSoil, asrequiredB0A40WWCAFO-ImproperChemicalHandlingB0A23WWCAFO -Failure toimplement landapplicationBMPs, not includingbuffers/ setbacksB0039WWCAFO-ImproperWaste Management(notincluding landapplication)B0037WWCAFO -Improper Mortality ManagementB0036WWCAFO-ImproperO&ME0A13WW CAFO- Improper/IncorrectreportingB0034WW CAFO- InsufficientBuffers/SetbacksB0035WWCAFO-Insufficient StorageCapacityA0A22WWCAFO-Narrative effluentviolationE0A16WW CAFO- NoAnnual or Other RequiredReport SubmittedC0020WWCAFO-NoDepthMarkerinStoragePondE0A14WW CAFO- Noncompliancewithsection308 InformationRequestA0A12WWCAFO-Numeric effluentviolationAlternativetechnologyA0019WW CAFO- Production AreaRunoffB0A42WWCAFO -Violation of amilestone or final compliance date in an orderAsstated in40 CFR 122.41(m)(1)(i), abypassmeans the intentionaldiversion ofwasteA0C18WWCSO -ApprovedBypassstreams fromany portion ofa treatmentfacility.In CSO systems, therefore, abypasscan only occur aftertheheadworks ofatreatment plant.For CSOs,Any unauthorized overflowfromA0024WWCSO -Dryweatheroverflowcombined sewage systems only duringdryweatherB0030WWCSO -Failure toDeveloporSubmitAdequateLongTermControlPlan(LTCP)B0031WWCSO -Failure toImplement LongTermControl Plan(LTCP)B0029WWCSO -Failure toImplement Nine MinimumControls(NMCs)BC291WWCSO - Failure to implement requiredNMC #1(Properoperation andmaintenance)BC292WWCSO - Failure to implement requiredNMC #2(Maximumuse of the collection system)1-3CodeDescriptionDefinitionIncludesfailuretopreventIUdischargesfromBC293WWCSO - Failure to implement requiredNMC #3(Reviewpretreatment requirements)CSO dischargewithoutrequiringappropriateIUpretreatment or storage.BC294WWCSO - Failure to implement requiredNMC #4(Maximizationofflow)includes failure toimplementcontrols toBC295WWCSO - Failure to implement requiredNMC #5(Eliminationofdryweather flow)prevent dry weatheroverflows but should notincludeactualdryweather overflowsBC296WWCSO - Failure to implement requiredNMC #6(Controlofsolids)Includes floatablesBC297WWCSO - Failure to implement requiredNMC #7(Pollution preventionprograms)BC298WWCSO - Failure to implement requiredNMC #8(Public notification)BC299WWCSO - Failure to implement requiredNMC #9(Monitoring)B0C41WWCSO - Failure to MaintainRecords or MeetRecord KeepingRequirementsC0C11WWCSO - Failure to monitorE0C16WWCSO -Failure tosubmitrequiredreport(non-DMR)E0C13WWCSO -Improper/Incorrect reportingB0044WWCSO -LTCPimplementation schedulemilestone missedSuchlanguageis usually foundin the“boilerplate” of the permit.For example, suchnarratives may saynodischarge causingorA0C22WWCSO -Narrative effluentviolationcontributing to an exceedanceof aState waterqualitystandard, nofloatables,nodischargeintoxic amounts,dischargemustbefreefromodor, etc.E0C14WWCSO -Noncompliancewithsection308Information RequestThisshould be usedonlywhenthereisaA0C12WWCSO -Numeric effluentviolationspecificnumeric effluentlimitationfor thisoutfall inthe permit.Asstated in40 CFR 122.41(m)(1)(i), abypassmeans the intentionaldiversion ofwasteA0C11WWCSO -Related UnapprovedBypassstreams fromany portion ofa treatmentfacility.In CSO systems, therefore, abypasscan only occur aftertheheadworks ofatreatment plant.1-4CodeDescriptionDefinitionForCSOs, anyunauthorizeddischargefromcombined sewer includingunauthorizeddischargesfromCSO regulators(i.e. failuretomaximize flow toWWTP),or unauthorizedA0021WWCSO -UnauthorizedCSODischargetoWaters/WetWeatherdischargesfromother locations(e.g.,manholecovers,pumpstations).In CSO systems, thesedischargescan onlyoccur beforetheheadworksof atreatmentplant.Include inthecomments field thenumberof events andestimated totalvolume per reportingperiod.Doesnot includedryweather overflows.A0025WWCSO - Operation andmaintenance (O&M) violationsresulting inunauthorizedsewagespills oroverflows todry landorbuildingbackupIncludein thecomments field thenumberofevents andestimatedtotal volumeper reportingperiod.B0045WWCSO -Violationof a milestoneinapermitB0C42WWCSO -Violationof a milestoneinanorderAsstated in40 CFR 122.41(m)(1)(i), abypassA0S18WW SSO - ApprovedBypassmeans the intentionaldiversion ofwastestreams fromany portion ofa treatmentfacility.Includein thecomments field thenumberofA0020WW SSO - DischargetoWaterseventsand estimated volume perreportingperiodD0S11WW SSO - Discharge withoutavalidpermit(includessatellitesystems)B0S41WWSSO- Failure toMaintainRecordsor MeetRecord Keeping RequirementsC0S11WWSSO- Failure tomonitorIncludes§122.41(l)(6)violationsforfailuretoE0018WW SSO -Failuretoreport other violationreport any SSO spill except thoseviolationsthat may endanger public health§122.41(l)(7).E0019WWSSO-Failuretoreportviolationthat may endanger public health 122.41(l)(7)Exclude§122.41(l)(6)violations.This is a CWA §308violationand applies toD0S12WWSSO- Failure tosubmit required permitapplicationinfo(includes satellitesystems)any facility dischargingSSOs without a permitapplicationper 40CFR122.21.1-5CodeDescriptionDefinitionFrequent sewagespills (includingthose todryB0S20WW SSO - Improper Operation and Maintenanceland) may beindicative of improperoperationand maintenance.Includes failure to developandimplement CMOMprogram,if required.Suchlanguageis usually foundin the“boilerplate” of the permit.For example, suchnarratives may saynodischarge causingorA0S22WW SSO - Narrativeeffluentviolationcontributing to an exceedanceof aState waterqualitystandard, nofloatables,nodischargeintoxic amounts,dischargemustbefreefromodor, etc.E0S14WW SSO - Noncompliance withsection308InformationRequestA0S12WW SSO - NumericeffluentviolationFrequent sewagespills (includingthose todryland) may beindicative of improperoperationA0026WWSSO-OverflowtoDry LandorBuildingBackupand maintenance.Includeinthe comments thenumberofeventsandestimated totalvolumeperreportingperiod.Asstated in40 CFR 122.41(m)(1)(i), abypassA0S11WWSSO- Related UnapprovedBypassmeans the intentionaldiversion ofwastestreams fromany portion ofa treatmentfacility.BS42AWWSSO-Violationof milestoneinanadministrative orderBS42JWW SSO - Violation ofmilestoneinjudicialdecreeB0046WW SSO - Violation ofsewer moratoriumor restrictionMay alsobeaviolation of40CFR 122.41(c) or(d).D0R11WWStormWater Construction - Dischargewithout apermitNo permitD0R18WWStormWater Construction-Failuretoapplyfor anotice of terminationFailure tosubmit Notice ofTerminationB0R12WWStormWater Construction - Failure toConduct InspectionsB0C17WWStormWater Construction - Failure todevelopanyoradequateSWPPP/SWMPB0C18WWStormWater Construction -FailuretoImplement SWPPP/SWMPB0R41WWStormWater Construction - Failure toMaintainRecordsC0R11WWStormWater Construction - Failure toMonitorWhererequiredbypermitBR19AWWStormWater Construction - Failure toproperly install/implementBMPsBR19BWWStormWater Construction - Failure toproperly operate andmaintainBMPs1-6CodeDescriptionDefinitionD0R12WWStormWater Construction-Failuretosubmitrequiredpermit applicationinformationThis is a CWA §308violation.E0R16WWStormWater Construction-Failuretosubmit requiredreport(non-DMR)WhererequiredbypermitA0R22WW StormWaterConstruction-NarrativeeffluentviolationWhere requiredbypermitE0R14WWStormWater Construction-Noncompliance withsection308Information RequestA0R12WWStormWater Construction-Numeric EffluentViolationWhererequiredbypermitB0R42WWStormWater Construction-Violationofa milestoneinanorderD0M11WWStormWater MS4-Dischargewithouta permitB0M12WWStormWater MS4 - Failure toConduct InspectionsB0M17B0M18B0M41C0M11WWStormWater MS4 - Failuretodevelopany or adequateSWPPP/SWMPWWStormWater MS4-FailuretoImplement SWPPP/SWMPWWStormWater MS4 - Failure toMaintainRecords or MeetRecordKeeping RequirementsWWStormWater MS4 - Failure toMonitorIncludes failure toadequately implement all oranypartof SWMPBM19ABM19BD0M12E0M16A0M22E0M14A0M12B0M42WWStormWater MS4 - Failure toproperlyinstall/implementBMPsWWStormWater MS4 - Failure toproperlyoperate andmaintainBMPsWWStormWater MS4 - Failure tosubmitrequired permitapplicationinformationWWStormWater MS4-Failuretosubmit requiredreport(non-DMR)WWStormWater MS4-Narrative effluentviolationWWStormWater MS4-Noncompliancewithsection308Information RequestWWStormWater MS4-Numeric EffluentViolationWWStormWater MS4-Violation of amilestoneinanorderRefers tostructural controlsRefers tostructural controlsThis is a CWA §308violation.WhererequiredbypermitWhere requiredbypermitD0N11D0N18B0N12B0N17B0N18B0N41C0N11WWStormWater Non-Construction-DischargewithoutapermitNopermitandnovalidwaiveror exemptionWWStormWater Non-Construction- Failure toapplyfor anotice of terminationFailure tosubmit a Notice of Terminationwhentransferring authority or ceasing operationsWWStormWater Non-Construction- Failure toConductInspectionsWWStormWater Non-Construction- Failure todevelopanyoradequateSWPPP/SWMPWWStormWater Non-Construction- Failure toImplement SWPPP/SWMPWWStormWater Non-Construction- Failure toMaintainRecordsWWStormWater Non-Construction- Failure toMonitorBN19AWWStormWater Non-Construction- Failure toproperly install/implementBMPsBN19BWWStormWater Non-Construction- Failure toproperlyoperate and maintainBMPsD0N12WWStormWater Non-Construction- Failure tosubmitrequiredpermit applicationinformationThis is a CWA §308violation.E0N16WWStormWater Non-Construction- Failure to submit requiredreport(non-DMR)A0N22WWStormWater Non-Construction-Narrative effluentviolation1-7CodeDescriptionDefinitionE0N14WWStormWater Non-Construction-Noncompliance withsection308Information RequestA0N12WWStormWater Non-Construction-Numeric EffluentViolationB0N42WWStormWater Non-Construction-Violationofa milestoneinanorder1-8

### Attachment 2 - Available RNC Detection codes (taken from PCS Table 195)

Bold codes trigger SNC code “E- Effluent Vi olations” quarterly status for Single Event

Violations. Italicized te xt codes trig ger RNC code “N-Reportab l e Noncom pliance”

quarterly status for Single Event Violations. Note that “DIS” means “discretionary.”

C ode Descri pt i on Defi ni t i on Set t i ng Ty pe QNC R

C a t e gory

A EN F_ AD MINISTRA TI VE

ORDER Measurem ent exceede d

adm i ni st rat i v e m ont hl y

avera g e lim it set by a

form al enforc e m ent action Aut o m a tic I ( A )

B DIS

_ M A NU A L 2A 4

_ P A S S_ T HR OU G H Discretionar y or m a nual

entr y of a vi ol ati o n of a

pass -through of

po lluta nts M a nua l II (A ) (4 )

C CHR_ CHR ONIC VIOL A T I O N C h r oni c vi ol at i o n o f fo u r

or

m o re vi ol at i ons o f t

h e

m onthly avera g e occurri ng

with in a con s ecu tiv e si x

m ont h t i m e fra m e

. Aut o m a tic I (C )

D DI S_

MANU AL OT HER Discretion a ry or ma n ual

ent r y of vi ol at i o n of

co nd itio n in enfo rcemen t

orders exce pt c o mpliance

sche dules and reports Ma nu al I ( A

)

E DI S_MANU AL 2F _ PRMT

NARRATIVE Discretionary or manual

ent r y of a per m i t narr a t i ve

vi ol at i on M a nual II ( F

)

F DI S_MANU AL 2G _ V I

O O F

CONCERN Discretionary or manual

en try o f a p e rmit vio la tio n of concer n t o t h e Director

or Re gi o n a l A d mi ni st

rat o r Ma nu al II ( G)

G DIS

_ M A NU A L 2A 1

_ EFFLUENT VIOL Discretionar y or m a nual

entr y of C a te g o ry II

permit limit violati o n M a nua l II (A ) (1 )

H CHR_ CHR ONIC VIO,

NO N

_ M O NT H AV G C h r oni c vi ol at i o n o f fo u r

or

m o re vi ol at i ons o f t

h e

no n

- m ont hl y avera g e

occurri ng withi n a

consecutive six m onth tim e

fram e Aut o m a tic II (A ) (1 )

I DIS

_ M A NU A L 2A 2

_ U NAU TH BYPA SS Discretionar y or m a nual

entr y of vi ol at i o ns or an

unauth o riz e d by-pass M a nua l II (A ) (2 )

J DIS

_ M A NU A L

2 A3_ UN PERM D I SC H Discretionar y or m a nual

entr y of vi ol at i o ns of a n

unpermitted dischar g e M a nua l II (A ) (3 )

K RPT_ NO NRE C VI OL,

NO N

_ M O NT H AV G R e po rt i n g vi ol at i on was 3 0

day s ove rd ue f o r t h e n o n

m onthly avera g e or the

DMR was in com p le te

whe re t h e no n- m ont hl y

avera g e was m i ssing Aut o m a tic II (A ) (1 )



### 2-1C ode Descri pt i on Defi ni t i on Set t i ng Ty pe QNC R

C a t e gory

N RPT_ NO NRE C EIPT OF

DMR/CS RPT R e po rt i n g vi ol at i on was 3 0

day s ove rd ue f o r t h e

m onthly avera g e or the

DMR was in com p le te

whe r e t h e m o nthly avera g e

was m i ssing Aut o m a tic I (D ) fo r D M R

no n rep ort i n g

& Cat. I

no n rep ort i n g

fo r

com p liance

sche dul es; or

II (D ) fo r Cat

II

no n rep ort i n g

fo r

com p liance

sche dul es; or

II (E ) f o r

in co m p lete

DM Rs

P ENF

_ A D MI N ORDER,

NO N

_ M O NT H AV G Measurem ent exceede d

adm i nistrative nonm o n th ly av erag e limit set

by a form al enforcem ent

act i on Aut o m a tic II (A ) (1 )

Q DI S_MANU AL 2B

_ PRETREA TM ENT Di scret i o nary or m a nual

ent ry of pe rm it

pretreatm e nt M a nual II (B)

R TRC_ TRC VIOL,

N ON_ MON T H L Y AVG TRC li m i tatio n s were

exceede d for t w o vi olations

of

n o n -m ont hl y avera g es

with in a con s ecu tiv e si x

m ont h t i m e fra m e or

chr o ni c vi ol at i ons Aut o m a tic II (A ) (1 )

S SCH_C O MPL I A N CE

SCHE DUL E VI OL Co m p lian ce sch e du le

vi ol at i o n s were 9 0 day s

ove r due Aut o m a tic I (B ) fo r Cat.

I, or I I (C) fo r

Cat. II

T TRC_TRC LIMITAT I ONS

EXCEE D E D TRC li m i tatio n s were

exceede d for t w o vi olations

of

m ont hl y ave rages wi t h i n

a co nsec ut i v e s i x m ont h

t i me f r a me o r c h r o n i c

vi ol at i o n s Aut o m a tic I (C )

U EFF_ OT HR V I O W/TRC

NO N

_ M NT H AV Effl uent vi ol at i ons o f t h e

no n

- m ont hl y avera g e

occurri ng withi n a

consecutive six m onth tim e

fram e associated with TRC

RNC Aut o m a tic II (A ) (1 )

V EFF_ OT HER VI OL ATI O N

WIT H TRC Effl uent vi ol at i ons o f t h e

m onthly avera g e occurri ng

with in a con s ecu tiv e si x

m ont h t i m e fra m e

associated with TRC RNC Aut o m a tic I (C )

W DI S_MANU AL 2E

_ D

E

FI CI

E

N

T RP T Discretionary or manual

ent r y of def i c i e nt re

port

vi ol at i o n s Ma nu al II ( E

)



### 2-2C ode Descri pt i on Defi ni t i on Set t i ng Ty pe QNC R

C a t e gory

X EFF_M A NU A L OT HER V I OL

W / TRC Di scret i o nary or m a nual

ent ry of e ffl ue nt vi ol at i ons

occurri ng withi n a six

m ont h t i m e fra m e

associated with TRC RNC M a nual I (C )

Y TRC_M A NU AL TRC Discretio nary or m a nual

en try o f TRC limita tio n s

that we re e x ce eded for two

vi ol at i on s of m ont hl y

avera g es withi n a sixm ont h t i m e fra m e or

chr o ni c vi ol at i ons

exceedi n g TR C lim i tations M a nual I (C )

Z CH R_ MANUA L CH RON I C D i scr e tion a r y o r m a n u a l

en tr y o f fo ur o r m o r e

v i o l atio ns o ccurring with in

a si x-m ont h t i m e fram e M a nual I (C )



### 2-3

### Attachment 3 - Available RNC Res olution codes (taken from PCS Table 390)

Code Description Setting Type

A NC - MANUAL UNRESOLVED RNC Manual

B RE - MANUAL BY EPA/ STATE ACTION Manual

W NC - WAITING RNC RESOLUTION Autom a tic

1 NC - UNRESOLVED RNC Autom a tic

2 RE - BACK INTO COMPLIANCE Autom a tic

3 RP - DUE TO FORM AL EA Autom a tic

4 RP - IN COMPLIANCE LAST QTR Autom a tic

5 RE - RESOLVED RP BY EA W / CL Autom a tic

6 RE - MANUAL RES BY EA W / CL Manual

7 RE - MANUAL RP IN COMP W / ADM LMT Manual

8 RP - MANUAL DUE TO FORM AL EA Manual

9 RE - MANUAL BY BACK INTO COMPL Manual

3-1

### Attachment 4 - Available QNCR Status codes (taken from PCS Table 440)

Those listed in bold below are the only ones that apply to Single Event Violations.

C COMPLIANT

D NC_SNC DMR NON_RECPT (SNC)

E NC_S NC E FFLUENT VIOL (SNC)

N NC_RNC VIOLTNS ONLY

P RESOLVED PENDING

R RESOLVED

S NC_SNC COMP SCHD VIO (SNC)

T NC_SNC COMP SCHD RPT (SNC)

X NC_SNC E F NONMNTH AV (S NC)

4-1

### Attachment 5 – Entering and Tracking Si ngle Event Violations, Linking Them to

Enforcement Actions, and Detecting and Resolving RNC in PCS (taken fro m PCS

Data Entry, Edit, and Update Manual and m odifie d)

6.2.16 Single Event Violation Data Type

Single event violation data in PCS contains inform ation about violations that are neither

effluent lim it violations nor com pliance schedule violations. For exam ple, a single event

violation record in PCS m i ght contain inform ation concerning an unauthorized bypass, or

a violation detected during an inspection.

Single event violation data is st ru ctured so that on e reco rd ex ists on the data base for each

single event violation. E ach record is uniquely identified by its key data elem ents, the

facility NPDES Num b er, the Single Even t Violation Code, and the Single Event

Violation Date.

Single Event Violation Code (SVCD): The Single Event Violation Code is used to

describe the type of violati on that has occurred. For exam ple, the code 07099 indicates

that the perm ittee failed to m eet a Section 308 R e quest.

Single Event Violation Date (SVDT) : The Single Event Violation Date ind i cates the d a te

that the vio l ation took place.

Quarterly N oncompliance Report ( Q

NCR) Compliance Violation Data Elements: No

autom a tic Reportable N oncom pliance (RNC) detection is perform e d by t h e system for

single event violations (however reso lution is au tom atically perform e d by the system ).

All RNC for single event violations are m a nually entered and determ ined, with the

exception that resolved pending violations are au tom a tically resolved by the closure o f a

for m al enforcem ent actio n.

QNCR Single Event Violation Detection Code (SNCS) : This data elem ent contains a

code which describes the type of RN C for the single event violation.

QNCR Single Event Violation Detection Date (SNDS) : The date that corresponds to the

QNC R Single Event Violation De tection Code.

QNCR Single Event Violati on Resolution Code (SRCS) : This data elem ent contains a

code which indicates the RNC resolution status, if appropriate, of a single event violation.

QNCR Single Event Violati on Resolution Date (SRDS) : The date that corresponds to the

QNCR Single Event Vio l ati on Resolution Code.

8.4.3 Single Event Violations Indep e nde ntly Determined by the Agency

Events tha t are ind epen d ently de ter m ined by th e Agency to be violating a perm it, such as

an unauthorized bypass, or a violation dete cted during an inspection, can be m a nually

entered into the system by using input card '

- N' or the SVIO screen on PCS-ADE. Thi s

inform ation is entered using at least th e NPDES Num ber (NPID), the Single Event

5-1

### Violation Code (SVCD), and the Single Even t Violation Date (SVDT). Two user data

elem ents (RDS1 and RDS2) are available to fu rther describe the vi olation. In addition,

should the A gency or authorized S t ate c onsider the violation to be Reportable

Noncom pliance (RNC), the QNCR Single Even t Violation RNC Detection Code (SNCS),

detection date (SNDS), resolution code (S RCS), and resolution date (SR D S) can be

m a nually entered. Manual entry of RNC is discussed in the next section.

Manual Detection / Resolution of R NC Violations

For single event violations, reportable nonc om pliance m u st be set m anually as no

autom a tic RNC detection is performed. Au tom a tic resolved pending and resolution is

perform e d when the single event violations have been addressed by form al enforcem ent

action and extended compliance schedule.

Otherwise, single event violations m u st be m a nually resolved. The m a nual setting of

RNC codes and dates is accom p lished through designated cod e s for m a nual entry. Th e

m anually entered codes are id entified in "RNC Detection Codes" in PC S Table 195

(Attachm e nt 2). All m a nually resolved viola tion s require th a t th e resolution date be

enter ed. The system will not gene rate a date to a ccom p any a user entered resolu tion

code.

In addition to batch cards, the user may us e PCS-ADE to m anually enter RNC codes and

dates. The SVIO screen is used to m a nua lly enter RNC codes and dates for single event

violations. The following step shows how to m a nually set RNC for single event

violations: Enter into PCS a change to the si ngle event violation contained in PCS. The

following is a m i ni m u m num ber of data elem ents that m u st be entered.

5-2

### Table 8-25. Coding Manual Detection/Reso lution of Single Event Violations

5-3

### 3.2.36 Single Event Violations Screen (SVIO)

If the user responds to the m ain m enu prom pt by enteri ng ' S VIO' followed by <CR>, the

system will respond by display i ng the Single Ev ent Violatio n Screen as shown in Figure

3-59.

Figure 3-59. Single Event Vi olation Screen (SVIO)

The Single Event Viola t ions Screen will prom pt

the user to e n ter da ta f o r

a single eve n t

violation.

1. Accept Options - after ente ring all single event violations o n this screen , the user

responds to the prom pt 'ACCEPT? Y/N/M: ' by entering one of the following choices

followed by <CR>.

Y - Scans th e screen for errors. Data entered is saved and cleared in preparation for data

entry for another single event violation. This value is autom a tically displayed and is the

default if a value is not entered.

N - Ignores any data entered on the screen.

M - Returns the user to the Main Menu. All data entered on the screen is ignored.

5-4

### 2. Edit Che ck Crite ria - the f o llowin g edits are p erf orm e d for data entered on this screen.

a. The State Code (STTE) portion of the Perm it Nu m ber (first two characters) is checked

agains t the Region/State entering the data. The num e ric portion is check ed to ensure it is

a valid permit num ber.

b. The Single Event Violation Code (SVCD) , the RNC Detection Code (S NCS), and the

RNC Resolution Code (S RCS) are checked for valid codes.

c. All dates are checked for valid date ranges.

d. For a NEW transaction, the data base is ch eck ed to ensure that the key data elem ents

do not already exist in the da ta base.

e. For a CHANGE or DELETE transaction, the da ta base will be checked to ensure that

the key data elem ents do exist in the data base.

3. Key Data Elem ents - Autom atic c h ange optio n will r etr ie ve the inf o r

m ation f o r userentered data fields.

6.2.13 Enforcemen t Action Data Type

Enforcem ent Action records in PCS are structur ed so that on e enforcem ent action re co rd

exists for each enforcement action is sued. The Enforcem ent Action record contain s

general inform ation about the action such as the type of action take n, the date the action

was taken, and whether the EPA or a State i ssued the Enforcem ent Action. Enforcement

Action Violation Key records ("ENFORCE MENT ACTION Sub-Menu" in topic

4.3.11.3) contain information describing wh ich violations are addressed by the

enforcem ent action.

There are tw o levels of enforcem ent response: 1) inform al enforcem ent; or 2) form al

enforcem ent. The inform al enforcem ent re sponse includes a phone call, an inspection, a

letter of violation, a notice of violation, or an adm i nistrativ e penalty order. The formal

enforcem ent response is an action that A requires actions to achieve com pliance, specifies

a tim etable, contains consequences f o r noncom pliance that are independently enforceable

without having to prove the original alleged violation and subjects the person to adverse

legal consequences for noncom pliance. @ 1 

### A for m al enforcem ent respon se includes an

unilateral adm i nistrativ e order or adm i nistrative order by consent (with or without a

penalty), a civil judicial consent decree, a Court order, or a crim inal action.

Enforcem ent Action Code (ENAC): The Enfo rcem ent Action Code is a two character

num e ric code used to describe the nature of the enforcem ent action taken. For exam ple,

the code of ' 21' is used for an Adm i nistra tive Order. In the E nforcem ent Action Codes

Table, each Enforcem ent Action Co de is id entified by five num bers 1 to 5 as follows:

1 

### See NPDES Enforcem ent Managem e nt Sy stem , (1986, revised in 1989), Chapt e r 1, p. 2 4

.



### 5-5

### Code Nature of Action

1 Inform al Ac tion

2 Adm i nistrative Action

3 Judicial Action

4 Other Action

5 Perm it Modification

P Penalty

Types 2 and 3 are considered ' f or m a l' enfo rcem ent actions. While all 5 types m a y be

entered in P C S, only form al enforcem ent actions resolve violations for Q N CR purpos es.

Please note that Type P refers to adm i ni strative penalty orders (APOs), which are

regard ed by PCS as inform al actions because they do not res olve RNC. The Enforcem ent

Action Code is one of the key elem ents on al l Enforcem ent Action records.

Enforcement Action Date ( E

NDT) : The Enforcem ent Action Date is the effective date of

the enforcem ent action being entered. For inform al actions, such as phone calls,

recomm endations, etc., it is th e date the act ion was taken. The Enforcem e nt Action D a te

is one of the key data elem ents on all Enforcem e nt Action records.

Enforcement Action Type Order Issued (EATP): The Enforcem ent Action Type Order

Issued code is used to in dicate wheth er the action was issued by the EPA or by an

authorized S t ate. If the action was iss u ed by the E P A, an 'E' is entered; if th e action was

issued by a State, an ' S ' is entered. The En forcem ent Action Type Order Issued is one of

the key elements on all E nforcem ent Action records.

Enforcement Action Status Code (ENST) : The Enforcem ent Action Status Code is a nonkey data elem ent used to indicate the status of a violation with resp ect to the enforcement

action taken. If a m i nor or rare excu rsi on has tak e n place, an appropriate response m a y be a phone call or letter to the perm ittee. The violation m a y then be considered resolved,

in which case the code ' R E' m ay be entered. A more serious violation or series of

violations m a y warrant som e t ype of for m al enforcem ent actio n. If a for m al enforcem ent

action is superceded by another formal enfor cem ent action, then the code ' C S' should be

encoded to show the enforcem ent action has been ' C losed, Superceded' by another form al

enforcem ent action. After the enforcem ent ac tion has been form ally closed, the status

code m a y be changed to ' C L' indicating closur e. When the status code h a s been chan ged

to ' C L' indicating closure of the enforcem ent action, any violations th at w e re tied to the

enforcem ent action throu gh the Enforcem ent Action Violation Keys and were resolved

pending will be resolved.

Enforcement Action File Number (ERFN) : The Enforcem ent Action File Num b er, also

called the docket num ber, is a non-key data elem e nt established to contain a unique

num b er identifying a form al enforcem ent acti on. If an enforcem ent action establishes

inte rim eff l uent lim its and/or a com p liance s ched u le, the f i le num b ers in these loc atio ns

(the Lim it File Num b er (PLFN) and Com p liance Schedule File Num b er (CSFN)) should

be identical to the Enforcem ent Action reco rd (identif ie rs ar e used in au tom atic

processing on the QNCR). If no docket num ber is available then one should be

5-6

### fabricated. The Enforcem ent Action File Num b e r i s requi red for al l forma l enforcement

action s f o r m ajor f acilities.

Enforcement Action Comment (ECM T, ECM0-ECM9) : The Enforcem ent Action

Comm ent data elem ent, com posed of ten separate subfields, each indep e ndently

retrievable, is used to load pertinent comm ents on the Enforcem ent Action record. W hen

an enf o rcement ac tion is listed on the QNCR, these comm ents will app ear in the i r

entirety. Generally, the comment data elem ent should be used to explain inform ation

about the corresponding violati ons or the action itself. The enforcem ent action comment

data elem ent is required, if appropriate, for all form al enforcem ent actions taken again st

m a jor perm i ttees. Only one set of co mments can be entered for each enfo rcem ent action.

6.2.14 Enforcemen t Action Violation Key Data Type

Enforcem ent action vio l ation key records are us ed to re late an enforcement action to the

violations it addresses. Becau se an enforcem ent action ofte n addresses s e veral types of

violations, there m a y be m a ny enforcem en t action violation key records for each

enforcem ent action. This record contains the enf orcem ent action key and whatever

violation key data is necessary to identify the violations addressed.

Enforcem ent action violation key records in PC S fall into four broad categories: 1) those

that rela te th e enf o rcem ent action to com p lian ce schedule violations, 2) th ose tha t re late

to effluent violations, 3 ) those th at r e late to DMR non-rec e ipt violations, and 4) those that

relate to sin g le even t violations. In each category, the enforcem ent actio n m a y be

associated w ith either each individual violati on or with a broader grouping of violations.

All data ele m ents in the Enf o rcem ent Acti on Violation Key data type are key data

elem ents.

Enforcement Action Cod e (EKAC): This data ele m ent is always the sam e as the

corresponding enforcement action data elem ent (ENAC).

Enforcement Action Type Order Issued (EKTP) : This data ele m ent is always the sam e as

the correspo nding enforcem ent actio n data elem ent (EATP). Enforcem ent Action Date

(EKDT): This is always the sam e as the corresponding date on the enforcem ent action

record (ENDT).

Enforcement Action Violation Type ( EVTP) : The Enforcem e nt Action Violation Type

Code is used to indicate how the Enforcem ent Action is re lated to the v i o l ations it

addresses.

1. Effluent Violations:

Code Description

E1 Indicates that an enforcem ent acti on record is to be associated with all effluent

violations prior to the date of the enfor cem ent action, and after the last enf o rcem ent

5-7

### action, if present. On PCS-ADE, this type of violation key record is generated by the

system when the enforcem ent actio n record is e n tered, if the user enters ' X ' in the 'ALL

NUMERIC EFFLUENT' option under ' V iolations that caused the enforcem ent action to

be issued' data elem ent.

E2 Indicates that an enforcem ent acti on record is to be associated with all effluent

violations during a particular m onitoring peri od. In addition to th e enforcem ent action

key data elem ents, the monitoring period end date m ust also be entered. Optionally, an

enforcem ent action could be associated with e ffluent violations for a particular outfall

and m onitoring period. In this case the outfa ll number (3-digit or 4-digit) would be

entered with the m onitoring period end date.

E3 Indicates that th e enforcem ent acti on record is to be associated w ith a particular

effluent violation. All measurem ent/violati on key data elem e nts m ust be entered in

addition to the enforcement action keys. If the measurem ent/violation record that the

enf o rcem ent action k ey r ecord add r es ses is de le te d, then PCS will a l so delete th e

corresponding enforcement action key record. If any of the keys to the measurem ent/

violation record are changed by PCS during th e reissuance p r o cess, then th ose key

elem ents are also chang e d on the enforcem ent action key record to m aintain the

relationship between enforcem ent action and violation. See "Perm it Reissuance

Processing" in topic 6.3 for m o re inform ati on on the reissuance process.

2. Non-reporting Violations

Non-reporting violations are very sim ilar to effluent violations. The codes N1 through

N9 are used to indicate the catego r ies of DMR non-reporting violations and authorized

agencies.

3. Com p liance Schedule Violat ions

Code Description

C1 Indicates that th e enforcem ent act ion re lates to all co mplia nce schedule violations

prior to the date of the enforcem ent action. On PCS-ADE, t h is t ype of violation key

record is generated by the system when the enfo rcem ent action record is entered, if th e

user enters ' X ' in the 'ALL COMPLIANCE SCHEDULES' option under ' V iolations that

caused th e enforcem ent action to be issu ed' data elem ent.

C2 Indicates that th e enforcem ent action is r e lated to an individual com p liance

schedule violation. The key da ta elem ents for the com pliance schedule violation m ust be

enter ed in a ddition to th e enf o rcem e nt action keys.

5-8

### 4. Single-E vent Violations

Code Description

S1 Indicates that the enforcem ent acti on relates to a ll s i ng le ev ent violations prior to

the date of the enforcement action. On PCS- ADE, this type of violation key record is

generated b y the system when the en forcem ent action record is entered, if the user enters

' X ' in the 'ALL SINGLE EVENTS' option under ' V iolations that caused the enforcement

action to be issued' data elem ent.

S2 Indicates that the enforcem ent action is r elated to an in dividua l sin g le even t

violation. T h e key data elem ents for the si ngle event violation m u st be entered in

addition to the enforcement action keys.

3.2.32 Enforcemen t Action Screen (ENAC)

If the user responds to th e m ain m enu prom pt by en tering ' E NAC' followed by <CR>,

PCS-ADE will respond by display i ng the Enfo rcem ent Action Screen in Figure 3-49

.

Figure 3-49. Enforcem e nt Action Screen (ENAC)

1. Accept Options - After en tering th e Enforcem ent Acti on Screen data, th e user

responds to the prom pt 'ACCE PT? Y/K/N/M:' by entering one of the following choices

followed by a <CR>.

5-9

### Y - Scans the screen for errors. If no erro rs are f ound, data entered is saved and the

screen is cleared in preparat ion for data entry of another Enf o rcem ent action. This value

is autom atic ally d i splay e d and is th e def ault if a v alue is not e n tered.

K - Scans the screen for errors. If no erro rs are f ound, the data is saved. All data

elem ents except th e key data and transact ion cod es are clea red so that ano t her

enforcem ent action m a y be entered for the sam e perm it. Accept option ' K ' retains key

data field s (rather than d efaulting to accept op tio n ' Y ' ) only if the user do es not enter any

enforcem ent action keys. If 'K' is entered and the user enters specifi c violation keys,

when return ing f r om the EAKS screen a ll the key inf o rm ation will r em ain.

N - Ignores any data entered on the screen. All data elem ents are cleared so that the sam e

screen can b e reen tered.

M - Returns the user to the m a in m e nu. All data entered on the screen is ignored.

2. Edit Che ck Crite ria - Data ente red on the Enforcem ent Action screen are edit check ed

as f o llows:

a. The State Code (STTE) portion of the Perm it Nu m ber (first two characters) is checked

agains t the Region/State entering the data. The num e ric portion is check ed to ensure it is

a valid permit num ber.

b. The Enforcem ent Action Code (E NAC), Type Order Issued (EATP), and Status Code

(ENST), are checked for valid ity in the PCS tables.

c. Dates are checked for valid date ranges.

d. For a NEW enforce m ent action, the data ba se is checked to ensure that the new

enforcem ent action key data elem ents do not already exist in the data base.

e. To CHANGE or DELETE an enforcem ent action, the data base will be checked to

ensure th at the enforcement action key data elem e nts do exist in the data base.

f. Con f irm a tion Screen appears on MASS DE LETE transactions for enforcem ent actions

and related keys for compliance schedules, effluent s, and single event violations.

3. Key Data Elem ents - Autom atic c h ange optio n will r etr ie ve the inf o r

m ation f o r userentered data fields.

4. Violations that caused the Enforcem ent Action to be Issued:

a. If the user entered ' X ' in any of the first six options addressing all violations, PCS

ADE automatic ally g ene rates the app r opria te en f o rcem ent action key records. If the user

enters ' * ' in any of these options, PCS-ADE autom atically de lete s the app r opria te

enforcem ent action k e y records (if transaction cod e entered was ' C ' )

5-10

### b. If the user enters ' X ' in the Specifi c Violations Options, PCS-ADE will respond by

displaying the Enforcem ent Action Key Scr een #1 (EAKS), see "Enforcem e nt Action

Key Screen (EAKS)" in topic 3.2.33, where th e user specifies the type of specific

violations addressed, and enters the key inform a tion for those violations. Note: You can

enter any of the first six op tions addressing all violations and also en ter sp ecific

violations.

Figure 3-50. Enforcem e nt Action K e y Screen (EAKS)

1. Key Screen Accept O p tions - After enteri ng th e Enforcem ent Action K e y Screen data,

the user responds to the prom pt ' A CCEPT? Y/N/M:' by entering one of the following

choices followed by <CR>.

Y - Scans the screen for errors. If no e rrors are f ound, the Extended Enforcem ent Action

Key Screen is disp layed. This value is autom atic ally d i splay e d and is th e def ault if a

value is not entered.

N - Ignores any data entered on the screen. All data elem ents are cleared so that the sam e

screen can be reentered. If this screen was invoked from the ENAC screen, then this

option will return control to that screen.

M - Returns the user to the m a in m e nu. A ll data entered on the screen is ignored.

2. Cycle Option - In the Enforcem ent Acti on Key Screen, the user responds to the

prom pt 'DO YOU WISH TO CYCLE (Y/N)? ' by entering one of the following choices:

5-11

### Y - Choosing the cycle option allows the user to cycle through violations in PCS and to

link the enforcem ent action to violations while cycling.

N - Disables the cycle op tion for the Enfor cem ent Action Key Screen. When the user

enters <CR>, a data s creen will app e ar as shown in Figure 3

- 56 in topic 3 .2.33.2. The

user m u st enter key inform ation for the viola tions to be addressed. The cycle option m a y be used only if the Violation Type (E VTP) links the enforcement action to specific

violations, f or exam ple, E3, C2, S2, N8, etc. The EAKS key screen will respond by

EXPANDING the screen as shown in Figure 3-53.

Figure 3-53. Expanded Enforcem ent Action Ke y Screen (EA K S/SV) --Expanded to lim it

Single Event violations disp layed by the cycle option.

1. Extended Key Screen Accept Options - After entering the Enforcem ent Action Key

Screen data, the user responds to the prom pt ' A c cept (Y/N/M)? by entering one of the

following choices follow e d by a <CR>.

Y - Scans the screen for errors. If no errors are f ound, one of the th ree data screens is

displayed. PCS-ADE c hooses the data screen to be displayed based on the Violation

Type (EVTP) the user has entered. For exam ple, if the user has entered ' E 3' in the

Violation Type, the effluent screen is displa yed, or if he has entered ' C 2' , the com p liance

schedule screen is displayed.

N - Ignores all data entered a nd clears all data elem ents on the screen. If the user

access e d the EAKS screen from the ENAC sc reen, the user is return ed to ENAC.

5-12

### M - Ignores all data en tered and returns user to the m a in m e nu. These expanded versions

of EAKS Ke y screen will only be seen if th e cycle option is chosen. After the user has

provided any applicable values, an E AKS data screen will appear, with the key data f or

the f i rs t violation in PCS as shown in Figure 3-56.

Figure 3-56. EAKS Data Screen for Single Event Violations

2. Data Screen Edit Check Criteria - data entered on one of the Enforcem ent Action Key

Data Screen s are ed it ch ecked as follows:

a. All encod ed values are checked against th e P C S tables for validity.

b. All dates entered are checked for valid date ranges.

8.4.6.3 Detection/Resolution of RNC by EA - F or Single E vent Violations

Single Even t Violations are detected m a nua lly, but are automatic ally reso lved by the

system if the violations are addressed by a for m al enforcem ent action. The PCS

Reportable Noncom pliance (RNC) tracking sy stem will auto m atically se t the sing le e v ent

violation resolution code a nd date to resolved/resolve d pending when there is an

associated enforcem ent action with an exte nded com p liance schedule for either all or

specific s i ng le even t violations. For this to take p l ace the belo w m u st be true:

1. The RNC Detection Date m ust be less than or e qual to the E n f o rcem ent Action Date.

5-13

### 2. A For m al Enforcem e nt Action m ust be present.

3. There m u st be an extended com pliance sche du le for either all o r a specific single

event violation (enforcem e nt type = ' S 1' or ' S 2' ).

4. Matching Docket numbers m ust be entered in the Enforcem ent Action File Num be r

(ERFN) field and in the Com p lian ce Schedule File num ber (CSFN) field.

Resolved pending resolution of RNC for single ev ent vio l atio ns occurs w h en an exten d ed

com p liance schedule is e n tered into the sy stem

. The Com p liance Schedule Num b er

(CSCH) m u st be an Extended Com p liance Sc hed u le for reso lution to take place (See

Table 8-2 in topic 8.4.6.1 for specific codes)

. In addition to the extended com pliance

schedule, a form al enforcem ent actio n that con t ains the sam e Enforcem ent Action File

Num b er (ERFN) as the extended Co mpliance Schedule File Num ber (CSFN) and relating

to the type of individual violations m u st be in PC S. The enforcem ent action and

extended compliance schedule can be entered in the sam e update.

Table 8-2. Extended Com p lian ce S c hedule Codes (CSCH)

CSCH Extended Compliance Schedule Description

CC Schedule established by CCP

CO Consent Order

DA 309 (A) (5) (A) - Interim

DB 309 (A) (5) (A) - Final

DC 309 (A) (5) (A) - Municipals

DD 309 (A) (5) (B)

DE 309 (A) (6)

DY Adm i n. Orders for Municipals

DZ Adm i n. Orders for Industrials

FF Fed. Facility Com p liance Agreem ent

GA Fed. Judicial Decrees

HA State Jud i cial Decrees

HC State Non-Judicial Decrees (Ind.& Mun.)

VA State Adm i n. Decrees

MC Enf. Schedule for Municipals Com pliance Strategy

PT Pretreatm ent, Enforcem ent Action

If

the QNCR Single Event Viola tio n Resolutio n Code (SRCS) is ' 3' (resolved pending),

the QNCR Single Even t Resolution Date (SRDS) contains the Enforcem e n t Action D a te

(ENDT).

To resolve the single ev ent vio l ation s, a form al enforcem ent action m u st be entered into

PCS as f o llows: Enter a change to th e f o rm al enforcem ent action previou sly entered into

5-14

### PCS with a status code indicating closure of the action. The following is the m i ni m u m

am ount of data elem ents th at should be entered.

Table 8-20. Coding Closure of an act ion for Single Event Violations

When an enforcem ent action is clos ed out and the requirem e nts of the form al

enforcem ent action are s atisfied, then all reso lved pending violations are resolved. W hen

a for m al enforcem ent action is entered with an E nforcem ent Action Status Code (ENST)

of ' C L' and a valid Enforcem ent Action Status Date (ESDT) coveri ng the violation type

or individual violations, the corresponding RNC Single Even t violation s are resolved

with a QNCR Single Event Viola tio n Resolu tion Code (SRCS) of ' 5 ' and the QNCR

Single Event Violation Resoluti on Date (SRDS) equal to th e Enforcem ent Action Status

Date (ESDT). These violations will then be shown as resolved on the upcom ing QNCR

and be dropped from subsequent Q N CRs.

5-15

### If an enforcem ent action has not been added, an error m e ssage is generated on the update

report to ind i cate tha t the r e is a m i ssing en forcement action for the ex tend ed com p liance

schedule an d that resolv ed pending resolution cannot take p l ace.

If the violation(s) are not resolved via a for m al enforcem ent action (i.e. through an

inform al action, voluntarily, due to site closur e, or for any other reason), the violations

will have to be m anually resolved as descri b e d earlier th rough the use of m anual codes

provided in PCS Table 390 (pr ovided in Attachm e nt 3).

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### A TT ACHMENT 

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F RE QUENTLY 

### A SKED 

### Q UES T IO NS A B OU T 

### S IN GL E 

### E VE N T 

### V I O LA TIO N S



### The Single E v ent Violation Data Entry Guide is a com p r e hensive docum ent tha t exa m ines most

facets of repo rting. This FAQ provides a m a nage men t overview of the docum ent in a

question/answer for m at.

What is a Si ngle-Event Violation?

A violation o f regulator y / p e rm it requireme nts under the CWA-NPDES program that is

determ ined by m e ans other than autom a ted com puter calculations of: a) a perm it lim it to a

mea s ure m ent; or b) a compliance sched ule event due date to actual date. For exam ple, a violation

found durin g an inspection would be a si ngle-event vi olation.

Does Single-Event Violation Mean a One-Day Event?

No. A Single Event Violation can occur on one da y onl y , or across m u ltiple days.

What is the Importance o f Tracking Single Event Violations?

Single Event Violation tracking in the Pe r m it Co m p lia nce Sy stem a nd the planned ICIS-NPD ES

databases pro v ide the only national data fields that describe the findings of inspec tion or other

m onitoring activities. Single Event Violation tracking allows the perm it authorit y to

electronically record the finding , and all o ws the violation to be tracked thro ugh r esolution (e.g

., returned to com p lian ce, enf o rce m ent a c tion taken, etc.).

Is Single Event Tracking Required by States?

The current required data entry list (kn o wn as WEN D B) includes Single Event Violations

discovered at major faciliti es. To proper l y track resolu tion of vi olations discover e d through

means such as inspections, com p laints, and f acilit y self-audits, it is i m portant that this

inform ation reside in the national sy ste m

.

How Does th e Single Event Violatio n Guide Im prove Data Tracking?

In addition to standardizing the list of possibl e Singl e Event Violations, EPA ha s included text

definitions (w here appropriate) to help the pe r m itting authority choose the right database code.

Prior to issuance of this Guide, there were no nation a l definitions and reporting guidance

covering Sin g l e Event Violations. Code standardi zation and definit i ons were the primary barri ers

cited by PCS users to accur a te reporting.



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### Does the Vio l ation Have to Be Adjudic a ted before I t is Entered i n to the Database?

No. In fact, EPA and states routinely enter viol ation s in other pr o g ram databases that are not

final legal deter m inations. EPA is very c a reful in its public web sites (see www. epa.gov/echo ) to

point out t h at violation status is a preliminar y agenc y determ ination and not a legal finding of

fact.

Is an Enforc ement Actio n Required t o Close Out a Single Eve n t Violation ?

No. EPA expects that many Single E v ent Violations will be resolved (returned t o com p liance by

the perm ittee) without t h e n eed for formal enforcem ent.

What are the Conventions for Ent eri ng Single Event Violation s ?

There are three essential parts to the Sin g le-Event Violation data, along with o t her related data.

The first esse ntial part is the start date of the violation , the second piece is the ty pe of violation

that occurred, and the third piece is the date the violation ended (someti m es ite ms 1 and 3 are the

same date). All violation types that sho u ld be entered into the s y ste m ar e included in PCS (a nd

ICIS-NPDES). This new li st is a “cleaned-up” ve rsion of the pre-ex isting values t h at were often

poorl y defined and/or redundant. Where possible, EPA has defined each violation in the Data

Entr y Guide. Supplem ental inform ation that is also critical for certain Single E v ent Violations

are: the inspection or activity that led to discove ry of t h e violation

, and the resulting action tak e n

by the perm it ting authorit y (if any )

.

Which Violations Should Be Reported ?

If a violation is discovered that is listed on in t h e Data Entr y Guide (as it reflect s the database

table values), it should be entered into the sy stem r e gardless of whether enforcement response is

planned. If the per m itting authority finds violations that are not listed in the database table, t h ere

is an “other” violation category th at can be optionally select ed.

What Level of “Proof” is Necessary to Turn Off a Single Event Violation?

Becaus e a wi de array of violations are possible, there is no one threshold for wha t proof is

needed. The perm itting authorit y shoul d m a ke a judgm ent as to when it is satisfied the proble m is

fixed (EPA does not believe that a follow-up in spection is necessar ily needed to close out a

Single Event Violation).

How can Single Event Violations Be Used by the Permitting Authority?

Each perm itti ng authorit y c a n use the data to dete rm ine where inspections m o st frequentl y tur n up

problem s ( e .g., analy s is of sectors, wat e r s heds, per m it t ypes, etc.). This in tu rn can lead to better

use of resources. Additionally

, the data can he lp the per m itting authority spot trends such as

frequent or repeat patterns of violatio n. While one small violation may not trigg e r enforcement

response, repeated violations may

. Sin g l e event violations allow you to anal y ze this inform ation

without lo oki ng thr oug h pa per files.



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### How Does E P A Plan to Use Single E v ent Violations?

EPA will use Single Event Violation dat a to better understand nonc om p liance rates within

specific ar eas , perm it ty pes, or sectors. As is currentl y the practice in the CAA and RCRA

program s, EP A ass ess es the percent of inspections that identify noncom plianc e as a measur e of

the noncom pliance rate. Single Event Vi olations are also currentl y i n cluded in E P A’s pub lic

access sit e (ECHO) as a means to provi de transparency regarding governm e nt f i ndings.

Do Single Event Violations Impact the Official QN CR?

They can. If a Single Event Violation is entered at a major facility with an “RNC detection

code,” it can cause the facilit y to appear on the O fficial QNCR. If the facility is a non-m a jor, a

Single Event Violation cannot place the facility on the Official QNCR, but it can cause the

facility to appear in SNC or RNC (again if the proper R N C detection codes are cho sen). This is

described in m o r e detail in the full Data Entry Guide.

Are Single-Event Violations Publicly Accessible?

Yes. EPA alr eady m a kes t h ese data ava ilable within ECHO, or via FOIA reques t

. The Data

Entry Guide will assist EP A and States in m a king the inform ation m o r e m e aningful and

co m p lete.

Can Single-Event Violations be Analyz ed by Wet Weather Pri o rity Area?

Yes. The new list of code tables breaks viol ations down according to wet weath e r area.

Violation dat a used in conj unction with perm it ty pe i n form ation will allow users to produce

violator lists broken down by CAFO, CSO, Construction, and SSO universes.



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