ADWRADWRCOMPLIANCE COMPLIANCE

AND AND ENFORCEMENTENFORCEMENT

MANUALMANUAL

PHOENIX AMA GUACPHOENIX AMA GUAC1/6/091/6/09

ComplianceCompliance Program IntroductionProgram Introduction

• ADWR Compliance Program employs variety of compliance and enforcement strategies:

• Monthly Compliance Committee meetings• Physical and computerized record

reviews/audits • Field verification and investigations • Website information/notification

(postings began in June 2008)

ComplianceCompliance Program IntroductionProgram Introduction

• Primary goals of ADWR Compliance Program are 1) to ensure consistency across all ADWR regulatory programs and 2) provide efficient and thorough evaluations of possible violations.

• Public knowledge and information pertaining to ADWR compliance-related activities are critical tools in achieving a high rate of voluntary compliance.

Compliance Manual DevelopmentCompliance Manual Development

• Compliance Committee conducted work sessions in Fall/Winter of 2007 and 2008

• Incorporated the five state AMAs, Dam Safety, Notice of Intent (NOI), Recharge, and Surface Water programs under the same compliance umbrella

InvestigationInvestigation ProceduresProcedures

• Physical and Computerized File Reviews

• Audits

• Field Inspections

File ReviewsFile Reviews

• Identifies possible violations through a physical and computerized records review

• May include Annual Water Withdrawal and Use Reports, ADWR databases (Wells 55, GWSI, etc.) aerial and satellite photography, historic imaged records, county records

• File Review Forms completed to log data source info and in preparation for audits, ADWR Legal staff

AuditsAudits

• Audits are conducted expressly as a forum to obtain additional facts/information and educate regulated person.

• Report of Audit is created by ADWR and mailed to person audited within 30 days.

• Person audit may submit/rebut written comments in response to Report of Audit.

• Report of Audit only contains a summary of facts not determinations of violation!

Field InvestigationsField Investigations

• A 7 day notice (min.) is given prior to inspection, unless notice may frustrate enforcement

• Person inspected is given a copy of their Due Process Rights prior to inspection

• Photos, notes and any relevant information is to be collected

• ADWR prepares a Field Inspection Report and mails report to person investigated within 30 days

Enforcement ProceduresEnforcement Procedures

• Advisory Letters

• Citations

• Notice of Non-Compliance

• Stipulation and Consent Orders (SCO)

• Administrative and Court Proceedings

Advisory LettersAdvisory Letters

• Issued for suspected minor violations of the Groundwater Code and/or Management Plan

• Explains basis of ADWR findings• Encourages regulated person to contact ADWR

for assistance and additional information• Not considered a formal enforcement action• If violations are repetitious further enforcement

action may apply

CitationsCitations

• Currently issued in every ADWR regulatory program (except Surface Water)

• Violations are ‘remedied’ by assessment of fines/civil penalties and possibly requires instructions/actions to be completed by violator

• Citations must be paid within 30 days and upon payment the case is closed

• ADWR usu. monitors violator for several years to ensure compliance in future

Notice of Non-ComplianceNotice of Non-Compliance

• May be first formal notification of violation• Can be sent in conjunction with Report of Audit,

Field Investigation Report or prior to SCO process

• Sent when ADWR has determined that violation has occurred

• Provides regulated person with opportunity to contact ADWR

Stipulation and Consent Order (SCO)Stipulation and Consent Order (SCO)

• Generally utilized for repetitious violations or those involving large quantities of water

• Sets conditions that Respondent must meet by a specific date, payment of associated civil penalties

• Civil penalties may be reduced and in return Respondent agrees to complete all conditions set forth in SCO

Stipulation and Consent Order (SCO)Stipulation and Consent Order (SCO)

• Usually includes a probationary period of several years

• Violation of SCO results in full payment of any waived/reduced civil penalties

• Can be a negotiated process between ADWR and Respondent

• Monitoring continues throughout probationary period and beyond

Administrative and Court ProceedingsAdministrative and Court Proceedings

• ADWR Legal Division becomes heavily involved at this level

• May or must become necessary for cease and desist orders, violations of SCOs, license or permit revocation

• Judicial proceedings/hearings are required for violations of the Surface Water Code and certain Dam Safety statutes/rules

ADWR Compliance: Future GoalsADWR Compliance: Future Goals

• Increased public notification and information available online and through presentation and workshops

• Posting of quarterly/annual compliance reports online

• Potential press releases regarding ADWR compliance actions and activities