The California Water Boards' Annual Performance Report - Fiscal Year 2011-12

ENFORCEMENT: NPDES STORMWATER

WHAT THE MEASURE IS SHOWING

The data shows that shows that the enforcement response varies by the year the violation occurs, in some cases violations received an enforcement action years after the date the violation occurs. Enforcement response is organized in 4 groups, violations receiving no enforcement is very low and ranges between 5% and 22%, on the contrary, the percentage of violations receiving the highest level of enforcement (a penalty or a compliance action) has been between 4% and 7%. There is also a significant variation by regional board with some regions addressing violations only at the informal level.

WHY THIS MEASURE IS IMPORTANT

The 2009 Water Quality Enforcement Policy guides staff in selecting the appropriate level of enforcement response that properly addresses violations and recommends the use of progressive enforcement. The policy describes progressive enforcement as “an escalating series of actions that allows for the efficient and effective use of enforcement resources.” Depending on the nature and severity of the violation, an informal enforcement action such as a warning letter to a violator, or a more formal enforcement action, including orders of the Boards requiring corrective action within a particular time frame, may be taken. In other instances, enforcement staff may use more informal tools, such as a phone call or a staff enforcement letter for compliance assistance. In the Water Quality Enforcement Policy appropriate enforcement response is related to the ranking and classification of violations grouped around enforcement cases. The priority enforcement cases are then identified and those with class I priority violations are targeted for formal enforcement action. Tracking violations and the enforcement response over time is necessary to assess the effectiveness of the Water Boards enforcement policies and actions.

TECHNICAL CONSIDERATIONS

• Data Source: SMARTS. Extracted in August 2012.
• Unit of Measure:Violations documented. Violations linked to an enforcement action.
• Data Definitions: Violations with status "violation". Violations are not double counted and are grouped in 4 groups: Group 1: Violations not linked to an enforcement action with a status active or historical. Group 2: Violations linked to a penalty action with a status active or historical. Group 3: Violations linked to a compliance action with a status active or historical but not to a penalty action with a status of active or historical. Group 4: Violations linked to all other types of enforcement actions with a status of active or historical.
• References: The Water Boards' NPDES Stormwater Program
  Public Reports and Data
  Enforcement and Compliance Assurance Information
  The Water Boards' Enforcement Policy

GLOSSARY

National Pollutant Discharge Elimination System (NPDES)

The NPDES permit program (Section 402 of the Clean Water Act ) controls water pollution by regulating point sources that discharge pollutants into waters of the United States. Point sources are discrete conveyances such as pipes or man-made ditches. Individual homes that are connected to a municipal system, use a septic system, or do not have a surface discharge do not need an NPDES permit; however, industrial, municipal, and other facilities must obtain permits if their discharges go directly to surface waters. US EPA has approved the Water Board's program to issue NPDES permits.

Construction Stormwater Program

Dischargers whose projects disturb one or more acres of soil or whose projects disturb less than one acre but are part of a larger common plan of development that in total disturbs one or more acres, are required to obtain coverage under the General Permit for Discharges of Storm Water Associated with Construction Activity Construction General Permit Order 2009-0009-DWQ. Construction activity subject to this permit includes clearing, grading and disturbances to the ground such as stockpiling, or excavation, but does not include regular maintenance activities performed to restore the original line, grade, or capacity of the facility.

Industrial Stormwater Program

Discharges associated with 10 broad categories of industrial activities are regulated under the Industrial Storm Water General Permit Order 97-03-DWQ (General Industrial Permit), which is an NPDES permit.

Formal Enforcement

Formal enforcement actions are statutorily recognized actions to address a violation or threatened violation such as Cleanup and Abatement Orders.

Informal Enforcement

An informal enforcement action is any enforcement action taken by Water Board staff that is not defined in statute, such as staff letters and notices of violation.

Compliance Actions

Formal enforcement actions that directly require compliance using the authority established under Article 1 of Chapter 5 of the California Water Code such as Cease and Desist Orders, Cleanup and Abatement Orders and Time Schedule Orders.

Penalty Actions

Formal Actions that impose or settle a penalty or requires the completion of a project associated to a monetary amount.

All Other Enforcement Actions

All other formal and informal actions that communicates a violation or starts the procedures of an enforcement case or that requires additional information or starts an investigation.

( Page last updated:  9/13/12 )

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