CWA Penalty Policy Worksheet

7/24/2019 CWA Penalty Policy Worksheet

1/16

Facility Name:

Docket Number: Date:

NPDES No: Policy: 1995 CWA Settlement Policy

Prepared By: er!ion 11"#

$ont%ly &ra'ity Component Calculation Work!%eet$ont% ( Per) ( *nper) Total Gravity

or mit io) mitted +i,%e!t iolation Additi'e Factor! 1-.A-B-C-D/0

uarter lation! iolation! 2 E3ceed 4ype A B C D 61000

0

0

0

0

0

0

0

0

0

0

0

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0

0

0

0

0

0

0

0

0

0

0

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0

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0

0

0

0

0

0

0

0

0

0

0

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0

0

0


2/16

0

0

0

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0

0

0

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3/16

0

0

iolation! 0 0 4otal 7 $0

Ca!e Name: Date:

Prepared by: Attorney:

Docket Number: Permit:

Clean Water Act NPDES PenaltySettlement Calculation Work!%eet

Calculate Statuatory Maximum Penalty er!ion 11"#From: December 1899

4o: December 1899 Admin" udicial

*npermitted 'iolation! ;1;9< to #;15;00= 0 0 0

Permitted 'iolation! ;1;9< to #;15;00= 0 0 0

*npermitted 'iolation! a>ter #;15;00= 0 0 0 Admin": 60Permitted 'iolation! a>ter #;15;00= 0 0 0 udicial: 60

60

Economic Benefit + Gravity Amounts 60

Gravity Adjustments

Flo? @eduction .0)502/ 02 60

@ecalcitrance Factor .0)1502/ 02 60

uick Settlement @eduction .0)102/ 02 60

4otal ,ra'ity adu!tment! 60 60

Preliminary Penalty Amount 60

60

60Bottom ine !it"out Economic Benefit 60

Bottom#line Cas" Settlement Penalty $0

! @e!pondent a $uncipality No 4able A .S%eet / 0

Ser'ice Population 4able B .S%eet / 0

Actual or Potential +arm Subtotal 60

$ont%! o> iolation 0 =02 o> !ubtotal .ma3/ 60

Economic Bene>it 0 $a3 SEP 60

see Section IV.D.7. of the Settlement Policy Propo!ed SEP 60

SEP Credit 2 502

SEP @eduction 60

SEP - Bottom ine 60Bottom ine ?it% N$ $0

Bottom)line ?it% $a3" SEP Credit 60

$a3" SEP Credit .e3cept >or N$ calculation!/ 60

$a3" SEP alue .di'idin, $a3" SEP Credit by Credit Percenta,e/ 60

Propo!ed SEP alue 60

Credit Percenta,e >or SEP .u!ually 0)802/ 502

Credit alue >or SEP .Credit Percenta,e Propo!ed SEP alue/ 60

Propo!ed SEP plu! Bottom)line Ca!% Settlement .e>>ecti'e co!t o> penalty to @e!pondent/ 60

Bottom)line Ca!% Settlement ?it% Propo!ed SEP $0

Economic Benefit.attac% BEN printout! ?it% e3planation! >or calculation!/

4otal o> Mont"ly Gravity Amounts

itiation Consideration %if any&@e,ional Coun!el Concurrence:

A'ility to Pay reduction %if any&Attac% ABE NDPA or $*NPA report

(ational Munici)al itiation.N$/ Alternati'e Penalty Calculation

Su))lemental Environmental Projects .!ee abo'e !ection >or N$ SEP calculation!/


4/16

The above calculations made based on guidance in EPA's 1! "#A Settlement Policy

$ast u%dated A%&il 17 ())!

As of *a&ch 1! ())+ violations fo& "lass I have a ma,imum of -(!)) and "lass II a ma,imum of -1!7!))

/&om /eb. 17 th&ough *a&ch 1+ ())+ the ma,imums 0e&e -(7!)) and -17!)) &es%ectively.

Facility Name:

Docket Number:

NPDES Permit No:

Prepared By:

Penalty Calculation @ationaleer!ion 11"#

Economic Bene>it: 60

&ra'ity: 60

&ra'ity Adu!tment Factor!: 60

4%i! penalty calculation ?a! determined u!in, t%e 1995 Clean Water Act Settlement Policy.a'ailable at %ttp:;;???"epa",o';re,ionG;Gen;?;>ormen>"%tm/" 4%e penalty calculationmet%odolo,y i! ba!ed upon t%e >ollo?in, >ormula: Penalty 7 Economic Bene>it - &ra'ity H&ra'ity Adu!tment Factor! ) iti,ation Con!idertion! ) Ability to Pay ) SupplementalEn'ironmental Proect!"

4%e obecti'e o> t%e economic bene>it calculation i! to place 'iolator! in t%e !ame>inancial po!ition a! t%ey ?ould %a'e been in i> t%ey %ad comlied on time" 4%edelayed;a'oided CWA pollution control! >or t%i! ca!e are e.g. monito&ing &e%o&tingca%ital e2ui%ment im%&ovements &e%ai&s enginee&ing design installation and&e%lacement3. 4%e economic model u!ed to determine t%e 'alue o> bene>it ,ained i!t%e BEN >inancial model ?%ic% i! a'ailable online at???"epa",o';Compliance;ci'il;pro,ram!;econmodel!;" Financial !ummarie! o> t%eBEN model are attac%ed to t%e penalty calculation in t%i! packa,e"

4%e ,ra'ity i! t%e deterence portion o> t%e penalty and i! deri'ed by t%e >ollo?in,>ormula: $ont%ly ,ra'ity component 7 .1-A-B-C-D/ 61000 ?%ere A i! t%eSi,ni>icance o> t%e 'iolation .ran,e o> 0)0/ B i! t%e +ealt% and En'ironmental+arm .'alue o> 0)50/ C i! t%e Number o> E>>luent iolation! .ran,e o> 0)5/ and D i!t%e !i,ni>icance o> non)e>>luent limit 'iolation! .ran,e o> 0)


5/16

Pa,e ) Penalty Calculation @ationale

iti,ation Con!ideration! I nability to Pay: 60

National $unicipal iti,ation: 60

Supplemental En'ironmental Proect! 60 502

SEP Cate,ory

4%e ,ra'ity adu!tment >actor! are # >actor! t%at e>>ect t%e penalty and t%ey are:1/ Flo? @eduction / +i!tory o> @ecalcitrance and #/ uick Settlement Di!count"For t%i! ca!e no > lo? reduction credit ?a! ,i'en no %i!tory o> recalitrance ?a!a!!i,ned and a Juick !ettlement o> 102 ?a! a!!i,ned to t%e penalty due to t%ecooperation pro'ided by @e!pondent in !ettlin, t%e ca!e"

4%e ,o'ernment may reduce t%e amount o> a ci'il penalty to re>lect ?eakne!!e! in aca!e ?%ere t%e >act! demon!trate a !ub!tantial likeli%ood t%at t%e ,o'ernment ?illnot ac%ie'e a %i,%er penalty at trial" 4%i! amount i! determined by @e,ionalCoun!el ba!ed on t%eir le,al re'ie? o> t%e ca!e and t%eir e3perience in !ettlin,!imilar ca!e!" No liti,ation con!ideration amount %a! been deemed appropriate by@e,ional Coun!el >or t%i! ca!e" Additionally @e!pondent %a! not yet claimed aninability to pay" > @e!pondent make! !uc% a claim EPA ?ill e'aluate t%e inability topay accordin, to ABE and $*NPA economic model! and reduce t%e penaltyaccordin,ly"

n t%o!e ca!e! a,ain!t a municipality or ot%er public entity in ?%ic% t%e entity %a!>ailed to comply ?it% t%e CWA but ne'ert%ele!! did make ,ood >ait% e>>ort! tocomply t%e EPA may miti,ate t%e preliminary penalty amount ?it% t%i! penaltycalculation >ormula u!in, table A o> t%i! policy" 4%i! >acility i! not a municipality anddoe! not Juali>y"


6/16

60

E(*,CEME(T MA(AGEME(T-SETTEME(T ST,ATEG. /CME(T

" EPA @e,ion G nitial Po!ition >or Settlement:

A"" 1" 4opic: " Ca!e Synop!i!: #" Propo!ed Penalty: =" SEP;NK SEP .idea!/:

1(1T1A SETTEME(T ST,ATEG. TABE

4ottomline "ash Penalty 4ottom $ine "ash Penalty

0ith SEP 05o SEP 4E6 %lus &avity3 "omment

60 60

Appro'ed by .initial I date by Section C%ie>/

B" Settlement Conclu!ion

SETTEME(T C(CS1( TABE

4ottomline "ash Initial "ash Ad8usted /inal "ash

Ba!ed on t%e abo'e rationale and in>ormation documented in t%e $ont%ly &ra'ity ComponentCalculation Work!%eet and t%e Settlement Calculation Work!%eet t%e >inal bottom line penaltyi!:

1nitial Settlment Stratey2 Appro'ed by .initial I date by Branc% C%ie> or Director/

1" Settlement De!cription .Ci'il Penalty SEP nuncti'e @elie>/ ) n t%i! !ection t%een>orcement !ta>> !%ould brie>ly de!cribe %o? >inal !ettlement ?a! ac%ie'ed"


7/16

Penalty 0ith SEP Penalty 05o SEP Amount Penalty Sho&t 9ationale

60 60 60

Comment:

Ca!e Conclu!ion: nitial! Date o> nitial! Name Printed 4itleEn>orcement K>>icer

Attorney

LNK4E: Ci'il Penalty le!! t%an 6500000 or eJual to ?ill be appro'ed by t%e Branc% C%ie>"

Anyt%in, o'er 650000 ?ill be appro'ed by t%e Di'i!ion Director"

Ci'il Penalty Ne,otiation! >rom Peer @e'ie?ed penalty calculation"

" Penalty reduction;increa!e ) Section C%ie> .0 ) #52 belo? bottom line/

" Penalty reduction;increa!e ) Branc% C%ie> .#5)502 bbl I appro'e! inability to pay belo? 102/

" Penalty reduction;increa!e ) Di'i!oin Director .more t%an 502bbl/

er!ion 11"#

3E(*,CEME(T SE(S1T14E3 31(TE,(A3 3A(A.T1CA3 3 /E1BE,AT14E3

&ood Fait% @ationale iti,ation@i!k etc"


8/16

(ational Munici)al itiation # Ta'le A

Column 1 # = 5 G

Actual or Economic Bene>it

Potential From 61 650000 6100000 650000 61000000 6000000

+arm 4o 650000 6100000 650000 61000000 6000000 65000000

None From G 11 1< # =9 iolation 0 o? +i,% o?

Economic Bene>it 0 1 G 9 9

o? +arm Factor A

+i,% +arm Factor A

o? Dollar 1


9/16

+i,% Dollar 50000 From 4o From

Slope (A*EM 100 5000 5001E3trapolated +arm Factor A (A*EM Column o? +i,% o?

1 0 0"G 0"G

o? Population Factor B 0 100 5000 0

+i,% Population Factor B 1 0 0"G 0

o? Population B 100+i,% Population B 5000Slope 81GG"GGGG

Documents

CWA Penalty Policy Worksheet