14.05.040 Monitoring and tracking compliance.
(a) Review of Compliance Monitoring Data.
(1) A chain of custody form accompanies all samples delivered to the Consolidated Laboratory. Typically, the white copy of the computer generated chain of custody form accompanies the sample(s) and the Investigator retains the signed pink copy. Upon delivery, each sample container receives an integrity check by the Inventory Control Technician for bottle breaks, leaks, and proper number assignments on chain of custody forms. Once the integrity of the sample has been checked, each sample receives a unique lab work order number designating the parameter(s) to be analyzed.
(2) The following information pertaining to each sampling trip is currently entered into the Industrial Discharge Program (hereinafter “program”) database:
(i) Industry;
(ii) Sampling location;
(iii) Investigator ID;
(iv) Observations of simultaneous monitoring by industry;
(v) Field readings such as pH readings/calibrations, flow, and temperature;
(vi) Sample ID numbers;
(vii) Sample collection date;
(viii) Collection method;
(ix) Analysis specified; and
(x) Comments concerning unusual conditions or observations made while sampling.
(3) After analysis, data for each sample parameter is downloaded directly from the instrumentation to the laboratory database under the appropriate laboratory work order number. The completed laboratory work orders are reviewed and signed-off by designated laboratory personnel. The resulting hard copies of analytical data are sent to the Industrial Investigations Supervisor. Laboratory analytical data is also downloaded electronically.
(4) Analytical data from the lab is distributed by the Industrial Investigations Supervisor to the appropriate Industrial Investigator(s). Distributed data is verified by the Industrial Investigator(s) into the program’s database and compiled onto a Sample Results Report. The data is then reviewed by the Investigator for compliance with applicable discharge limitations. The compliance status of the data is noted on the Sample Results Report indicating:
(i) The reviewer’s name;
(ii) The date of the review;
(iii) Whether the sample was in “compliance” or “violation”; and
(iv) A reference to any issued NOVs.
(5) The completed Sample Results Report and supporting analytical data are forwarded to the Industrial Investigations Supervisor where it receives a second review for compliance with applicable limitations. The hard copy reports are returned to the Industrial Investigator and filed in the industry file.
(6) Copies of the resulting enforcement action are given to the Industrial Investigations Supervisor.
(b) Review of Industry Self-Monitoring Reports. SIUs are required to submit self-monitoring reports, zero discharge certifications, best management practices reports, and other required certifications on a quarterly basis.
All self-monitoring reports are stamped with the date that they are received in the Industrial Discharge Control Unit and logged in on the Compliance Report Summary Log. Any SIU or IU that does not submit a report by close of business on the due date will be issued a NOV. This NOV will document the lateness of the report and will serve as notice to the SIU or IU that if their report is not received within 30 days the IU will be in SNC.
Industrial Investigators are assigned to review self-monitoring reports and a final review is conducted by the Industrial Investigations Supervisor. Depending on the number of reports received and the timeliness of submission, the total review process may take up to 30 days to complete. If a deficient report is submitted or a violation exists on the report, the IU is sent a Periodic Compliance Report Review form and/or a NOV. Once reviewed by the Industrial Investigator, the Compliance Report Summary Log is completed by filling in the date the report was reviewed and indicating the compliance status of the report. The Compliance Report Summary Log is used for purposes of recording and tracking compliance report submission and the number of self-monitoring events. Copies of relevant review forms are attached to the self-monitoring report and designated for data input into the program database. Once the report data has been input and initialed, the report, any review form, and a copy of any resulting NOVs are filed in the SIU or IU’s file for future reference. All NOVs are logged into the Enforcement Log book for input into the program database.
Copies of all NOVs are sent monthly to the MDE.
(c) Investigation/Incident Reports. Investigation reports are not used to identify instances of noncompliance since the report is generally filed after enforcement measures have been implemented. Violations observed during investigations may be addressed verbally in the field and followed up with a written NOV, or the investigator may consult with the Industrial Investigations Supervisor first and then formally address the noncompliance with a written NOV or directive. Investigation reports are used to document routine or abnormal observances, or corrective measures implemented in response to a violation or directive. However, the latter is generally documented on a Follow-Up Industrial Investigation Report form. These reports are reviewed by the Industrial Investigations Supervisor for consistency and accuracy of the recorded observations. Incidents of unusual flow characteristics detected at the wastewater treatment plant (WWTP) or in the collection system are recorded in the incident notebook. An incident report is filled out which contains follow-up information on the conditions at the WWTP during and after each event; whether interference, upsets, or NPDES permit violations occurred; and any observations made from source investigations and sample analysis. These reports are reviewed by the Industrial Investigations Supervisor, Unit Coordinator and Regulatory Services Group Leader before being sent to the respective Treatment Plant Group Leader. All incident reports are filed by treatment plant basin for future reference and analysis of patterns. (Industrial discharge control program enforcement response plan § I(B), dated April 22, 2013)