This provides general guidance in the implementation of the Commission's compliance program with regard to violations of conditions in approved dockets. It supplements the following, all of which are attached hereto: Commission Policy No. 96-01 (SRBC Civil Penalty Matrix) and Commission Policy No. 2000-01 (Policy and Guidance Statement for the Settlement of Civil Penalties/Enforcement Actions).

The Commission has broad Compact authority to enforce conditions addressing water withdrawals and consumptive uses throughout the basin. Within this authority, the Commission has established regulations (18 CFR, part 805) and adopted the policies referenced above to address non-compliance. The Commission reserves the discretion given to it under Sections 3.4(9), 3.5(5), 3.10, 15.2 and 15.17 of P.L. 91-575, in the review and approval of compliance actions. This guidance describes the steps that may be taken by the Commission staff with regard to certain administrative violations.

Once a project is approved by the Commission, there are three broad categories of violations which constitute possible non-compliance: 1) violation of administrative docket conditions (delinquent reports or payments); 2) violation of non-administrative docket conditions; or 3) adverse environmental harm. Regardless of the category of violation, it is the policy of the Commission to provide the project applicant (sponsor) an opportunity to take action to rectify or explain non-compliance before enforcement actions escalate. Ideally, the Commission desires voluntary cooperation from a project sponsor, and its enforcement provisions encourage self-reporting and early rectification of potential violations and non-compliance.

     1. Violation of Administrative Docket Conditions (Delinquent Reporting or Payments)

     If applicable reports or payments, as prescribed in a docket approved by the Commission, are not received within the timeframe(s) specified in the docket, the Commission staff will issue a letter, generally within 15 days, notifying the sponsor of the delinquency. The Commission's Executive Director may assess a late fee pursuant to 18 CFR Section 803.33.

         a. Upon the project sponsor's failure to respond within the timeframe specified in the delinquency letter, the Commission, generally within 15 days, will issue a notice of violation (NOV).

         b. Upon the project sponsor's failure to respond within the timeframe specified in the NOV, the Commission, generally within 15 days, will issue a letter requesting the project sponsor's appearance at the next following regular or special Commission meeting to show cause why penalties should not be imposed or other action taken.

         c. Following the project sponsor's compliance with either the delinquency letter or the NOV, the Executive Director will evaluate the non-compliant action and will either conclude further enforcement action is not necessary, or will recommend a civil penalty to the Commission, considering factors in Section 805.25 of the regulations.

     2. Violation of Non-Administrative Docket Conditions

     If Commission staff determines that a non-administrative condition of a docket has been violated by the project sponsor, the following will apply:

         a. If the project sponsor self-reports the violation and staff determines that the violation was beyond the control of the sponsor, continued for less than 5 days, has been corrected and is not likely to continue or recur, and did not result in environmental harm, staff will document the violation with a letter to the file and will report the violation to the Commission.

         b. If conditions in 2a. are not met, Commission staff, generally within 15 days, will issue a NOV requiring formal response and follow-up by the sponsor. Commission staff will request that the project sponsor remedy the violation or develop adequate plans to address the noncompliance.

         c. Upon the project sponsor's failure to respond within the timeframe specified in the NOV, the Commission, generally within 15 days, will issue a letter requesting the project sponsor's appearance at the next following regular or special Commission meeting to show cause why penalties should not be imposed or other action taken.

         d. Following the project sponsor's compliance with the NOV, the Executive Director will evaluate the non-compliant action and will either conclude further enforcement action is not necessary, or will recommend a civil penalty to the Commission, considering factors in Section 805.25 of the regulations.

     3. Violation Causing Adverse Environmental Harm Violations

     In certain situations, a sponsor's actions or omissions and/or negligence may result in adverse environmental impacts. For example, neglecting to maintain a passby flow over time may cause reaches of stream to dry up and result in significant damage to aquatic resources. In these cases of adverse environmental impacts, actions will be referred directly to the legal staff to initiate and coordinate enforcement actions.