1

What Makes a Good Local E&S Program?

Issued May 2009

Level IB: Advanced Fundamentals Seminar

Education and Training Certification Requirements for Persons Involved with Land

Disturbing Activities

2

Overview• Purpose of the local program

– Erosion and sediment control program implemented on the local level

• Principles of the local program– Five key standards of an effective program

• Processes of the Local Program– Ordinance adoption and implementation– Program Administration

• Permitting process• Inspection process• Complaint investigation process• Enforcement process

3

Purpose of the Local Program• Georgia Erosion and Sedimentation

Control Act of 1975 states that cities and counties shall adopt a comprehensive ordinance establishing procedures for land disturbing activities

• If a city or county fails to adopt an ordinance, DNR Board will adopt rules governing activities in that jurisdiction

• District offices of EPD enforces NPDES Construction Activity Permit

4

Purpose of the Local Program

Intent of law = Local programs

Local officials have…

– Local knowledge of– Local authority over– Local responsibility for

soil and water resources.

5

Principles of an Effective

Local ProgramManual for Erosion and Sediment

Control in GeorgiaChapter 4

6

Principles of an Effective

Local Program1. Erosion and sediment control should be a

stated public policy and have buy-in of:• Public and private agencies • Developers• Landowners• Consultants• Planners and engineers

7

Principles of an Effective

Local Program

2. Public and private support should be encouraged through public information and education programs

8

Principles of an Effective

Local Program

3.Local programs should have competent personnel

• Technically skilled• Knowledgeable about local conditions • Familiar with local procedures

9

Principles of an Effective

Local Program

4. Provisions for erosion and sediment control must be made in the planning stage

• Design principles planned and applied• Local government involvement in process

10

Principles of an Effective

Local Program

5. Program should be reviewed periodically to determine needed improvements

• Observation by program personnel• Evaluation by outside parties

11

Local Program ProcessesOrdinance Development and Implementation• To be a certified Local Issuing Authority

(LIA), a city or county must adopt an ordinance

• Meets or exceeds the standards of the Georgia Erosion and Sedimentation Control Act of 1975 and the state general permit

• Adopted ordinances and ordinance changes must be submitted to GSWCC and EPD and be certified by EPD

12

Local Program ProcessesOrdinance Development and Implementation• GSWCC developed

Model Ordinance– Reflects current

statutes– 2009 most recent– Intended to provide

guidelines for local ordinance

– Should be tailored to fit specific needs of program

13

Local Program ProcessesOrdinance Development and Implementation• Local ordinance must be comprehensive

– May integrate with other local ordinances relating to land development

• Tree protection• Flood plain protection• Stream buffers• Storm water management

14

Local Program ProcessesOrdinance Development and Implementation

Ordinance SummaryList of certified LIAs is available in the course

notebook

www.gaswcc.georgia.govwww.gaepd.org

15

Local Program ProcessesProgram AdministrationCommonly seen program administration problems:• Staffing

– If we had more people/time/support• Policies and Procedures

– This is the way we’ve always done it– This is how I think we do it– This is how my boss says to do it but I think…

• Program Growth– We have a proactive program with excellent

personnel and established procedures, why would we need to change?

16

Program Administration

Why are written procedures important?– Demonstrate program is being operated in an efficient manner

– Provides program credibility

– Allows staff to understand expectations

– Quicker program recovery in times of staff turnover

17

Program AdministrationWritten Procedures• Procedures should be written by those with

knowledge of: – Regulations– City/county management culture– Implementation issues– Reality of situation

• Writing style– Step by step, easy to read format– Not overly complicated– Should not be wordy, redundant or overly lengthy

18

Program AdministrationWritten Procedures

• Checklists

– Checklists or forms that are part of an activity should be included in the written procedure

– Checklists are not the written procedure but part of the written procedure

19

Program AdministrationWritten Procedures

• Written procedures are needed for the following aspects of the local program:

– Permitting process– Inspection process– Complaint Investigation Process– Enforcement process

20

Program AdministrationWritten Procedures• Document contents

– Personnel involved and their qualifications– Equipment and supplies

• Inventory of required equipment• Maintenance of equipment

– Outline of procedural steps– Data and records management

• Identification of forms to be used• Reports to be written• Examples of correspondence• Recordkeeping procedures

21

Program AdministrationRecordkeepingEach LDA Permit should have a project filecontaining:

– Permit application– Approved plan– Inspection reports– Photographic evidence– Correspondence– Complaint information– Record of enforcement action

22

Program AdministrationPersonnel

Adequate Staff• Division of responsibilities• How many inspectors?• What type of inspectors?• Chain of command

23

Program AdministrationPersonnel

Trained Personnel– Must be “Certified Inspectors” within 6 months

of hire date– Level IB Advanced Fundamentals Course

• Requires 60 days of experience or Level IA certification

– Importance of continuing education

24

Program AdministrationPersonnel

Inter-departmental Cooperation– Often many city/county departments are

either directly or indirectly involved with E&SC• Planning and Zoning• Engineering• Public Works• Code Enforcement

– Different departments must communicate and have clear responsibilities

25

Program AdministrationPermitting Process

Local issuing authorities are responsible for processing land disturbing activity applications

and issuing permits

Every LIA must have a defined permitting process

26

Program AdministrationPermitting ProcessCommonly seen problems

– Confusing maze of permits– LDA permits not acted on quickly enough– Plan review process not implemented

correctly– Lack of communication between LIA and

applicant– Recordkeeping

27

Program AdministrationPermitting Process• Process must be well defined and

manageable– Written procedures for accepting permits,

reviewing permits, approving permits– Must meet state requirements - 45 days– Must work in conjunction with other

permitting and review processes within the LIA

– Easy to follow and communicate

28

Program AdministrationPermitting Process• Identify types of permits issued

– Overall LDA Permit– Timber harvesting– Clearing and grubbing– Grading– Demolition

• Identify related ordinances

29

Program AdministrationPermitting Process

• How are permit applicants informed of permitting requirements?– Informational packets– Website information– Pre-construction conferences

30

Program Policies and ProceduresPermitting Process• Who reviews plans?

– Does the city/county have an MOA– Identify SWCD approving plan and

identification of technical reviewer– Plan review process - LIA responsible for

forwarding plan to District for review

31

Program AdministrationPermitting Process• Are pre-construction conferences

conducted with applicant?– Who attends?

• Developer• Contractor• Plan designer• E&SC Inspector

– Exchange all pertinent contact information– Review construction schedule– Outline expectations

32

Program AdministrationPermitting Process

• Identify permit fees and collect accordingly– Accurate formula– Inclusion of NPDES permitting fees– Purpose of NPDES permitting fee for LIA was

to help off-set workload

33

Program AdministrationPermitting Process• Recordkeeping

– Accurate log of permits by identifier• Applicant with contact information• Accurate site name and location• Application date• Plan review status• Date permit issued• Project status

– Permit log should correspond to inspection, enforcement and complaint logs

– Project files kept up to date

34

Program AdministrationInspection Process

Commonly seen problems– Inspection frequency– Inconsistent approach to inspections– “Drive-by inspections” – Lack of documentation– Follow-up

35

Program AdministrationInspection Process• Ratio of sites per E&SC Inspector?

– Reasonable work load for wet periods not just drought conditions

– Is an individual site assigned to an inspector or are daily inspections assigned?

– Consideration for project size• How often are sites inspected for erosion and

sediment control compliance?– Weekly?– Construction activity schedule?– In response to complaints?

36

Program AdministrationInspection Process

• Develop or refine written procedures for inspections– Consistency regardless of inspector– Fairness to all sites– Method of inspections

• Inspect entire perimeter of site• Inspect BMPs• Apparent violations and emerging violations

37

Program AdministrationInspection Process• Good documentation

of inspections– Checklist or report

completed for every inspection

– Photographic evidence– Completed inspection

reports entered or filed as appropriate

38

Program AdministrationInspection Process• Inspection Follow-up

– Finish recordkeeping responsibilities– Communicate with owner/operator– Re-inspect as required– Follow through on required enforcement

action

39

Program AdministrationComplaint Investigation ProcessCommonly seen problems

– No record of complaint– No inspection – Lack of follow-up with referring authority– No referral to EPD when needed

40

Program AdministrationComplaint Investigation Process• City or county must follow a Complaint

Investigation Process – Investigation of the complaint by the local

issuing authority within 5 business days– Mechanism for referral of unresolved

complaints to the Division– Monthly log of complaints and inquiries

including actions takenDNR Rule 391-3-7-.09

41

Program AdministrationComplaint Investigation ProcessMonthly log of complaints and inquiries including

actions taken

42

Program AdministrationComplaint Investigation Process

• LIA must investigate complaint within 5 days

• Respond to complainant as appropriate

Local Issuing Authority

CitizenComplaints

EPD Complaint Referral

GSWCCComplaintReferral

Inter-departmentalComplaintReferral

43

Program AdministrationEnforcement ProcessCommonly seen problems

– Lack of enforcement– Inadequate use of enforcement tools– Inconsistent enforcement– No follow-up after enforcement action– Recordkeeping

44

Program AdministrationEnforcement Process

• Enforcing the local ordinance requires complying with procedures for:– Notice of Violations– Stop Work Orders– Court Actions

• Enforcing the ordinance is not a choice

45

Program AdministrationEnforcement Process• Considerations for written procedures

– What triggers enforcement action?– Who is authorized to issue warning notices,

citations, fine and stop work orders for violations?

– How is enforcement action carried out from beginning to end?

46

Program AdministrationEnforcement Process• Procedures for notifying project owners that a

site is out of compliance– Issue written warnings– Enforcement orders should contain specific

measures or corrections which need to be made and specify deadlines for completion

– Proper mailing precautions• Registered or certified mail• Hand delivered with signature

47

Program AdministrationEnforcement Process

Required Enforcement Actions• 1st or 2nd Violation → Written warning

– 5 days for correction – No correction → Stop Work Order

• 3rd Violation → Stop Work Order

48

Program AdministrationEnforcement Process• Case for immediate Stop Work Order

– Violation presents imminent threat to public health or state waters

– Action without a permit– Failure to maintain a stream buffer– Sediment discharged into state waters– BMPs not properly designed, installed or

maintained

49

Program AdministrationEnforcement Process• Enforcement of Stop Work Orders

– Effective immediately upon issuance– Effective until corrective action or mitigation is

completed– Applies to all land-disturbing activities on the

site except for installation and maintenance of erosion and sediment controls

50

Program AdministrationEnforcement Process• Civil Penalties

– Staff should be trained to issue and follow-up on citations

– Good relationship with municipal or magistrate judge

– Maximum penalty - $2500/violation/day

51

Program AdministrationEnforcement Process

• Additional tools for enforcement– $3000 per acre bond– Forfeiture of business licenses– Denial of Certificate of Occupancy– Denial of building inspections

52

Internal Program Evaluation• Overall program should be systematically

reviewed on periodic basis– Are policies current and reflective of current

regulations?– Do written procedures need to be changed?– Are inspections being done regularly and

consistently?• Where is there room for improvement?

53

Local Program OverviewsPurpose:

To provide administrative and technical assistance in an effort to improve the

effectiveness of local programs

54

Local Program Overviews

• GSWCC is required by law to conduct overviews semi –annually

• LIAs are required to complete and submit the Semi – Annual Report to GSWCC (Jan and July)

• GSWCC’s review of the report will determine if a more in depth overview is required

55

Local Program Overviews• SWCD will send correspondence to LIA

scheduling an overview – Before the overview, LIA will receive a

questionnaire which must be completed before day of overview with all required documentation

• DAT (GSWCC, SWCD, NRCS, etc) will conduct program overview including office visit and site visits

56

Overview Criteria Questionnaire

57

Local Program Overviews• Overview Report

– Outline of findings– Notes strong points and deficiencies– Recommendations for improvement– Rating

• Consistent• Provisionally Consistent• Inconsistent

58

Local Program Overviews

• LIAs with Memorandum of Agreement– Must receive two grades of at least

provisionally consistent. • Overall effectiveness of the E&SC Program has to

be at least provisionally consistent and the • Quality of Plan Review Section has to be at least

provisionally consistent. – The Final Grade will be weighted 80% to the

overall effectiveness of the E&SC Program and 20% to Quality of Plan Review

59

EPD OverviewPurpose:

• Ensure local issuing authorities are properly implementing the requirements of the Georgia Erosion and Sedimentation Control Act

• Review of certification status

60

EPD Overview• May be done in response to notification by

SWCD or GSWCC to investigate ineffective local program

• LIA must submit documentation showing continued compliance with criteria for certification and plans for program improvement

61

Review• Effectiveness of local program depends on

adoption of credible procedures and implementation of those procedures

• Recordkeeping vital to program success• SWCD, GSWCC and EPD may perform

periodic overviews• Periodic internal reviews necessary for

program success

62

Resources for Assistance

– Technical Guidance information on www.gaswcc.georgia.gov and

www.gaepd.org– GSWCC Regional Representatives– Soil and Water Conservation District

Supervisors– EPD District Offices– EPD NonPoint Source Program

63

Questions?