1 / 28

Overview for Compliance Entry into the Storm Water Multiple Application & Report Tracking System

Overview for Compliance Entry into the Storm Water Multiple Application & Report Tracking System. Overview by: Patrick Otsuji - SWRCB Michelle Beckwith - RWQCB. Today’s Training. SMARTS vs CIWQS data entry How to enter an inspection record? How to enter a violation record?

ellema
Download Presentation

Overview for Compliance Entry into the Storm Water Multiple Application & Report Tracking System

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  1. Overview for Compliance Entry into theStorm Water Multiple Application & Report Tracking System Overview by: Patrick Otsuji - SWRCB Michelle Beckwith - RWQCB

  2. Today’s Training • SMARTS vs CIWQS data entry • How to enter an inspection record? • How to enter a violation record? • How to enter an enforcement action? • Entering a informal enforcement action? • Entering a formal enforcement action? • Questions

  3. SMARTS vs CIWQS • Inspections, Violations, and Enforcement Actions are entered through the NOI record. • Links to the Owner/Operator, Site information, Regional Water Board, and WDID are automatically created in background. • No Wizards in SMARTS • Basic business rules should be similar • SMARTS has pre-defined compliance reports or downloadable text files. • MS4 Phase I tracking currently in CIWQS. General Permits in SMARTS.

  4. Inspections In SMARTS • Record of a site visit • Photos, Inspection Report, Field Data, etc… • Evaluate compliance • General Permit requirements • To enter into SMARTS • Must have a SMARTS Account • Must have Regional Board Storm Water Staff user rights

  5. Inspection Demo • Scenario 1: Site inspection performed by RB Staff on 2/1/2013 • Enter completed inspection • Upload/attach photo documentation and/or inspection report • Go to SMARTS

  6. Enter the Inspection • Open SMARTS and search for the NOI record • Perform Administrative Tasks  Maintain NOI/NOT data  Search for NOI record • Click on the Inspections Tab • Add New Inspection • Mandatory Fields • Inspection Type, Inspection Date, Follow Up Action, Inspector Type, Inspector Name. • Agency Name and Agency Inspector Name are only mandatory if 3rd party is selected • Optional Fields • Inspection Contact, General Notes • Attachments: Inspection Report or Notes • Violation Details • Can start a new violation once the initial inspection record is saved • Print Inspection Details

  7. Questions on Inspection Entry?

  8. Violations In SMARTS • Instance of non-compliance • Inspections, paperwork. • To enter into SMARTS • Must have a SMARTS Account • Must have Regional Board Storm Water Staff rights • Each Violation Entered Separately

  9. Violation Demo • Scenario 1: Inspection performed by RWQCB Staff on 2/1/2013. BMP violations were noted from inspection • Enter a violation and link to the inspection record • Scenario 2: Late Annual Report • Results from Outstanding Annual Report • Enter a violation and manually select Report to link. • Go to SMARTS

  10. Enter the Violation • Open SMARTS and search for the NOI record • Perform Administrative Tasks  Maintain NOI/NOT data  Search for NOI record • Click on the Violations Tab (or from Inspection Record) • Add New Violation • Mandatory Fields • Violation Source, Violation Type, Serious Violation, Exempt from MMP, Occurrence Date, Source ID, Determined By, Violation Priority, and Status • Optional Fields • Discovery Date, Memo Field, and Violation Description • Enforcement Actions • Can start a new Enforcement action once the initial violation record is saved

  11. Questions on Violation Entry?

  12. Enforcement Actions • An action taken by the Water Boards in response to one or more violations • To enter into SMARTS • Must have a SMARTS Account • Must have Regional Board Storm Water Staff rights • Must be linked to a Violation Record

  13. Formal vs Informal per Enforcement Policy Informal • Oral Communication • Staff Enforcement Letter (SEL) • Notice of Violation (NOV) • Expedited Payment Letter (EPL) Formal • Notice to Comply (NTC) • Notice of Non-Compliance (NNC) • Technical Reports and Investigations (13267 Letter) • Cleanup and Abatement Order (CAO) • Cease and Desist Order (CDO) • Administrative Civil Liability (ACL) • 1st NNC – AR • 2nd NNC – AR

  14. Project or Liability Project or Liability Milestone Milestone Milestone Milestone Enforcement Actions • Informal • Formal • Create Project • Example: SEP • Create SEP Milestone • Liability • Monetary Milestones Enforcement Action

  15. Enforcement Action Demo - Informal • Scenario: Based on the Inspection performed by RB Staff on 2/1/2013 that resulted in BMP violations being observed. Staff Enforcement Letter sent to discharger to correct violations. • Create an Informal Enforcement Action • Upload attachments • Link Violations • Modify Record • Go to SMARTS

  16. Enforcement Action Entry - Informal • Open SMARTS and search for the NOI record • Perform Administrative Tasks  Maintain NOI/NOT data  Search for NOI record • Click on the Enforcement Action Tab (or from Violation record). • Add New Enforcement Action • Mandatory Fields • Enforcement Action Type, Status, Description, Issuance Date, Due Date, Attachments • Optional Fields • Corrective Action/Response • Due Date – only if status is Draft • NOTE: Order/Resolution Number, Economic Benefit, and Staff Costs are for Formal Enforcement Actions.

  17. Enforcement Action Entry – InformalEnforcement Dates • Compliance Date • Received Date • If multiple items are being request • All other dates in the drop down are used for Formal Actions • ACL Complaint Issuance • Adoption/Issuance Date • Expiration Date/Review Date • Hearing Waived/ACL Settled

  18. Enforcement Action Entry – InformalLink Multiple Violations • Click on link to Violation Details • From drop down select Violation Record and click Link Violations • Repeat to link additional violations • Staff can delink violations

  19. Questions onInformal Enforcement Action entry?

  20. Enforcement Action Demo - Formal • Scenario: Enforcement action based on the Outstanding Annual Report and discharger is subject to monetary penalties • Create ACL for late Annual Report • Link Violations • Enter Project\Liability • Create Milestones • Upload/Attach Order • Modify Record • Go to SMARTS

  21. Enforcement Action Entry - Formal • Open SMARTS and search for the NOI record • Perform Administrative Tasks  Maintain NOI/NOT data  Search for NOI record • Click on the Enforcement Action Tab (or from Violation record) • Add New Enforcement Action • Mandatory Fields • Enforcement Action Type, Status, Description, Issuance Date, Due Date, Order/Resolution Number, and Attachments • Economic Benefit, Staff Costs if applicable • Optional Fields • Corrective Action/Response • Due Date – if status is Draft • Once the initial enforcement action is saved, you can then start the Project/Liability record.

  22. Enforcement Action Entry – FormalEnforcement Dates • Click on link to Enforcement Dates • Select the Date Type from the drop down • Received Date • Compliance Date • ACL Complaint Issuance • Adoption/Issuance Date • Expiration Date/Review Date • Hearing Waived/ACL Settled • Enter the Date Value and save

  23. Enforcement Action Entry – FormalLink Multiple Violations • Click on link to Violation Details • From drop down select Violation Record and click Link Violations • Repeat to link additional violations • Staff can delink violations

  24. Enforcement Action Entry – FormalCreate New Project/Liability record • Click on link to Projects/Liabilities • Click Create New Project/Liability • Mandatory Fields: Name, Description, Type, Sub Type (Project Only), Addresses MMP. • Milestone Dependent Fields (Calculated Fields) • Date Planned, Date Actual, Status • Note: Assessed Amount will display once the milestone(s) are entered

  25. Enforcement Action Entry – FormalCreate a Milestone record • Click on the link to Milestones • Click Add New Milestone • Mandatory Fields: Description, Type, Water Code, Date Planned, Assessed Amount, Status • Accounting Fields: Date Actual, Spent Amount (project), Balance Amount (liability), Received Amount • Note: Always enter and keep the initial amount assessed • Change status to superceeded • Enter ACLO as additional milestone(s) i.e. payment plan

  26. Expedited Payment Letter • If the EPL is accepted, the same record is changed to an ACL when the EO signs the order, add Hearing Waived/ACL Settled Date and change the type to ACL • EPLs address MMPs in the MMP Report run by OE • EPLs do not appear on the ACL Report • EPLs not converted to an ACL after 9 months is considered null (or never final, or never settled, or never accepted..) regardless of the status code of the action

  27. Questions onFormal Enforcement Actions Entry?

  28. Contacts • SMARTS Issues & Enhancement RequestsPatrick Otsuji(916) 341-5292patrick.otsuji@waterboards.ca.gov • SMARTS Data Entry Questions/ProcessMichelle Beckwith(951) 782-4433michelle.beckwith@waterboards.ca.gov

More Related