ENSURING COMPLIANCE AND ENFORCEMENT 

WITH COMMISSION REGULATIONS

OVERVIEW

The Susquehanna River Basin Compact 

established the Susquehanna River Basin 

Commission (Commission) to manage the 

water resources of the Susquehanna River 

Basin, which includes the regulation of large 

water users that meet specific water 

withdrawal and consumptive water use 

criteria. To maintain and enforce 

Commission regulations and approved 

permit (docket) conditions, the Commission 

has dedicated staff that conduct random and 

routine inspections, audits, responds to 

complaints, and contacts facilities that may 

need to apply for Commission approval. 

COMPLIANCE ACTIVITIES

Inspections and Audits

Compliance staff are trained to inspect and 

audit facilities and to identify instances of 

non-compliance such as operating without 

Commission approval and deficient or 

delinquent metering, monitoring, recordkeeping, quarterly reporting, and payments. 

Susquehanna River Basin Commission n 4423 N. Front Street n Harrisburg, Pennsylvania 17110 n (717) 238-0423 n srbc.net

June 2018

Compliance staff utilizes database records 

and observations at facility locations that are 

then cross-referenced with approved dockets 

and Approval By Rule (ABR) to determine 

compliance status. 

Complaints

Anyone may contact the 

Commission to report 

potential unauthorized 

water use or withdrawals. 

Compliance staff 

investigates all complaints 

to attempt to identify the 

nature of any suspected 

violations. This may 

include unannounced 

inspections and direct 

correspondence with 

unauthorized facility.

Facilities that Need Commission 

Approval

While the responsibility to submit an 

application with the Commission lies with 

the owner of a facility, Compliance staff is 

tasked with reaching out to companies or 

industries that do not have Commission 

approval, but may be required to submit an 

application based on water use, project size, 

type, and location. When these sites are 

identified, Compliance staff drafts and sends 

a May Need to Apply Letter. Commission 

staff then works to determine whether or not 

applications are necessary based on 

historical, current, and projected water 

needs.

Docket Conditions

For every docket approval the Commission 

issues, standard and special conditions may 

be included to certify the facility operates in 

compliance with regulations and without 

harming other water users or the 

environment. On a regular basis, 

Compliance staff reviews approved dockets 

to certify that facilities are meeting 

standards for monitoring their water use 

activities and mitigating any adverse impacts 

the facility may have on the water resources 

of the Basin.

On-line Data Portal

The Commission updates and maintains a 

web-based portal that is tied to the 

Commission’s internal database and used 

by approved facilities to submit quarterly 

monitoring data as well as other reports 

associated with docket conditions. 

Compliance staff reviews the data and 

compares it against approved limits and 

Commission regulations to ensure 

compliance.

Staff checks a meter reading during a routine 

inspection.

Staff inspects a surface water withdrawal intake and metering equipment.
Susquehanna River Basin Commission

ACHIEVING COMPLIANCE 

THROUGH ENFORCEMENT 

The Commission has, at its discretion, a 

variety of tools that may be utilized by 

Compliance staff in cases where voluntary 

compliance is not achieved and/or where 

significant non-compliance occurs.

Delinquency Notices

As a first course of action, Delinquency 

Notices are issued to notify a project of noncompliance with requirements ranging from 

untimely reporting to late payments. 

Facilities may also receive Delinquency 

Notices pertaining to inadequate or past due 

post-approval condition submittals.

Notices of Violation

A Notice of Violation (NOV) is issued when 

violations of Commission regulations and/or 

approved docket conditions are identified. 

These violations can include, but are not 

limited to, exceeding approved withdrawal 

or consumptive use limits, failure to meet 

minimum stream flow protection 

requirements, reporting discrepancies, and 

failure to install and/or maintain required 

metering or monitoring equipment. NOVs 

often require the project to meet with 

Commission staff, complete corrective 

actions, and demonstrate that steps have 

been taken to prevent future violations.

Settlement Agreements, Consent 

Orders, and Penalties

Compliance staff may close a NOV as a 

result of a project’s corrective actions or 

work with facilities to enter into a Settlement 

Agreement and/or a Consent Order and 

Agreement. Generally, cases where facilities 

have a history of non-compliance or have 

committed more serious violations of 

Commission regulations result in Settlement 

Agreements and/or Consent Order 

Agreements. These agreements act as 

mechanisms to resolve instances of past or 

on-going non-compliance and allow for 

facilities to continue operating until 

corrective actions can be taken. A majority 

of enforcement actions are successfully 

resolved through settlement agreements. 

However, when a settlement agreement 

cannot be reached, the Commission may 

rely on more severe civil penalties to resolve 

violations, which can range between $50 

and $1,000 per day per violation.

Cease and Desist Orders

Cease and Desist Orders are drafted by 

Compliance staff and issued by the 

Executive Director in cases where immediate 

cessation of facility operations is necessary 

to prevent or halt environmental harm, 

adverse impacts to water resources, or 

violations of Commission regulations, 

including operating without Commission 

approval.

Notices to Appear and Show Cause

Compliance staff issues Notices to Appear 

and Show Cause when all other 

administrative and enforcement avenues 

have been exhausted and a resolution for 

violations cannot be reached between 

Commission staff and a facility. When 

issued a Notice to Appear and Show Cause, 

addressing violations of Commission 

regulations and/or approval conditions is 

handled directly by and between the 

Commissioners and the facility.

Staff inspects a quarry withdrawal.

Staff discussing a proposed flow meter location.