The ultimate goal of the Enforcement Response Plan (ERP) is to ensure compliance with all applicable local, state and federal rules and regulations as they relate to pretreatment standards and requirements.

Our primary concern in every enforcement situation is to correct the problem that caused the violation. The Industrial Waste staff has developed an Enforcement Response Plan to assure that our response to any violation:

• Focuses on solving the problem that caused the violation
• Is conducted fairly and consistently
• Is taken in a timely fashion
• Recovers utility cost caused by the violation
• Removes any economic advantages

The enforcement response for any given violation will vary according to several factors. The violation’s magnitude and duration; any effect on the Publicly Owned Treatment Works (POTW) or the receiving stream; any injury to personnel or the public, the compliance history of the business; and any good faith demonstrated by the offender are all accounted for when determining the most appropriate enforcement response for a violation.


It is the responsibility of the Winston-Salem/Forsyth County Utility Commission for the City of Winston-Salem, hereafter referred to as Utility Commission to enforce all applicable Federal, State, and local pretreatment regulations. These regulations are outlined in Federal regulation 40 CFR 403 and State regulation 15A NCAC 2H .0900, and the Utility Commission’s Sewer Use Resolution (SUR). This Enforcement Response Plan (ERP) has been established as an element of the Public Operated Treatment Works (POTW) pretreatment program. The purpose of the ERP is to provide for fair and equitable treatment of all users for anticipated enforcement situations. In general, enforcement actions will be taken in accordance with the ERP. However, the enforcement actions available are not exclusive as discussed in the SUR, Article IX. Therefore, any combination of the enforcement actions can be taken against a noncompliant user.

Enforcement Actions Available to the Commission

The Director of Public Works is empowered through North Carolina General Statute (NCGS) 143-215.6A and the Utility Commission’s Sewer Use Resolution  to take a wide variety of enforcement actions. The following is a list of those actions and the corresponding section of the SUR that describes each.


Sewer Use Resolution Section

Notice of Violation

Part B Section 102 A

Consent Orders

Part B Section 102 B

Show Cause Hearing

Part B Section 102 C

Administrative Orders

Part B Section 102 D

Emergency Suspensions

Part B Section 102 E

Termination of Discharge/Permit

Part B Section 102 F

Civil Penalties

Part B Section 103

Criminal Violations

Part B Section 104 A

Injunctive Relief

Part B Section 104 B

Water Supply Severance

Part B Section 104 C

Public Nuisances

Part B Section 104 D

Publication of Noncompliance

Part B Section 105

In addition to the actions listed above, a user who violates the provisions of NCGS 143-215.6B may be referred by the Director to the District Attorney for possible criminal prosecution.

In determining the amount of civil penalties for a particular violation the Director shall consider the following:

1. The degree and extent of the harm to the natural resources, to the public health, or to public or private property resulting from the violation;

2. The duration and gravity of the violation;

3. The effect on ground or surface water quality or on air quality;

4. The cost of rectifying the damage;

5. The amount of money saved by noncompliance;

6. Whether the violation was committed willfully or unintentionally;

7. The prior record of the violator in complying or failing to comply with the pretreatment program;

8. The cost of enforcement to the Utility Commission.

Adjudicatory hearing procedures regarding permit decisions, and civil penalties may be found in the SUR Part B Section 84.

Helpful Links:
Investigation of Noncompliance
Types of Violations

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