CHAPTER 2: DEVELOPING SOURCE CONTROL
CODES/ORDINANCES AND ENFORCEMENT
POLICIES
PART OF THE SOURCE CONTROL (BUSINESS/SITE)
INSPECTION PROGRAM GUIDANCE MANUAL
Prepared for
2606 West Pioneer
Puyallup, Washington 98371
Funding Provided by
Stormwater Action Monitoring (SAM)
Prepared by
Herrera Environmental Consultants, Inc.
2200 Sixth Avenue, Suite 1100
Seattle, Washington 98121
Telephone: 206-441-9080
April 29, 2022
Note:
Some pages in this document have been purposely skipped or blank pages inserted
so that this document will print correctly when duplexed.
Table of Contents
cc_20-07522-000_scmanual_ch2_dev_scc_20220429.docx
CONTENTS
Developing Source Control Code/ Ordinances and Enforcement Policies ……………………………….. 1
2.1. Permit Requirements ………………………………………………………………………………………………………………….. 1
2.2. Source Control Code/Ordinance Development …………………………………………………………………….. 3
2.2.1.
Scope of Enforcement ……………………………………………………………………………………………… 3
2.2.2.
Code/Ordinance Structure ………………………………………………………………………………………. 5
2.2.3.
Required and Recommended Code Elements …………………………………………………….. 6
2.3. Progressive Enforcement……………………………………………………………………………………………………………. 9
2.3.1.
Comparison of Civil Penalties ……………………………………………………………………………….. 10
2.3.2.
Penalty Structures …………………………………………………………………………………………………… 13
TABLES
Table 2.1. Options for Structuring Source Control Program Language. ……………………………………………. 5
Table 2.2. Source Control Program Municipal Code Elements. ………………………………………………………….. 6
Table 2.3. Examples of Civil Penalties Applied by Local Jurisdictions. ……………………………………………… 10
FIGURES
Figure 2.1. Example Enforcement Workflow. ………………………………………………………………………………………… 11
Chapter 2: Developing Source Control Codes/Ordinances and Enforcement Policies
April 2022
Source Control (Business/Site) Inspection Program Guidance Manual
2. DEVELOPING SOURCE CONTROL CODE/
ORDINANCES AND ENFORCEMENT
POLICIES
This chapter summarizes the National Pollutant Discharge Elimination System (NPDES)
Municipal Stormwater permit requirements related to developing source control
codes/ordinances and enforcement policies, provides recommendations for developing a source
control code/ordinance, and provides recommendations for a progressive enforcement process.
Supplemental resources to support this chapter can be found in the Source Control Online
Resource Library (SCORL) for Chapter 2.
2.1. PERMIT REQUIREMENTS
Chapter 1: Background and Regulatory Requirements of this manual provided a high-level
overview of the NPDES Municipal Stormwater permit requirements related to source control
codes/ordinances and enforcement policies. This chapter provides additional detail and
clarification regarding the NPDES Municipal Stormwater permit requirements and how they
impact the development of source control codes/ordinances and enforcement policies, with a
focus on the Western Washington Phase II Permit requirements. The following are minimum
requirements for a source control code/ordinance (Western Washington 2019-2024 Phase II
Permit, S5.C.8.b.i):
“No later than August 1, 2022, Permittees shall adopt and make effective an
ordinance(s), or other enforceable documents, requiring the application of source
control BMPs for pollutant generating sources associated with existing land uses
and activities (see Appendix 8 to identify pollutant generating sources).”
See Chapter 3: Source Control Inventory Development, Updates, and Prioritization for a summary
of the pollutant generating sources listed in Appendix 8 of the 2019-2024 NPDES Municipal
Stormwater Permits.
Chapter 2: Developing Source Control Codes/Ordinances and Enforcement Policies
April 2022
Source Control (Business/Site) Inspection Program Guidance Manual
The following are minimum requirements for a progressive enforcement policy (Western
Washington 2019-2024 Phase II Permit, S5.C.8.b.iv):
“No later than January 1, 2023, each Permittee shall implement a progressive
enforcement policy that requires sites to comply with stormwater requirements
within a reasonable time period as specified below:
(a) If the Permittee determines, through inspections or otherwise, that a site has
failed to adequately implement required BMPs, the Permittee shall take
appropriate follow-up action(s), which may include phone calls, reminder letters,
emails, or follow-up inspections.
(b) When a Permittee determines that a site has failed to adequately implement
BMPs after a follow-up inspection(s), the Permittee shall take enforcement
action as established through authority in its municipal codes or ordinances, or
through the judicial system.
(c) Each Permittee shall maintain records, including documentation of each site
visit, inspection reports, warning letters, notices of violations, and other
enforcement records, demonstrating an effort to bring sites into compliance.
Each Permittee shall also maintain records of sites that are not inspected
because the property owner denies entry.
(d) A Permittee may refer non-emergency violations of local ordinances to
Ecology, provided, the Permittee also makes a documented effort of progressive
enforcement. At a minimum, a Permittee’s enforcement effort shall include
documentation of inspections and warning letters or notices of violation.”
Chapter 2: Developing Source Control Codes/Ordinances and Enforcement Policies
April 2022
Source Control (Business/Site) Inspection Program Guidance Manual
2.2. SOURCE CONTROL CODE/ORDINANCE DEVELOPMENT
2.2.1. Scope of Enforcement
Prior to developing municipal code language and the associated source control code/ordinance,
it is important to identify the scope of enforcement for source control code violations including
defining where enforcement can occur, the existing enforcement process, who can enforce, and
the enforcement standard. Keep in mind that procedures and timelines for changing
enforcement processes may be extensive.
● Where can enforcement occur?
o Publicly and privately owned institutional, commercial, and industrial
businesses/sites
o Multi-family sites (based on complaints)
o Home-based businesses (based on complaints)
o Single-family residential (optional – depends on the language included in the
adopted source control code)
o City/County-owned properties (optional, but also addressed under S5.C.7
Operations and Maintenance)
● What is the existing enforcement process?
o Determine if source control code enforcement can fit within the existing
enforcement process established for illicit discharges, construction site
inspections, and/or private stormwater best management practice (BMP)
inspections, or if modifications are needed.
o Discuss staff capacity and training needs for code enforcement officers for source
control code violations compared to other code enforcement responsibilities
(e.g., building code violations). See Who can enforce? for alternatives.
● Who can enforce?
Code enforcement officers within the jurisdiction may be housed in a different
department (e.g., community development) and focused on other code enforcement
responsibilities (e.g., building code violations). In that case, jurisdictions may consider
allowing a deputized person in the stormwater/surface water division of their public
works department to enforce the source control code (i.e., source control inspector,
stormwater program manager, or department director) to streamline coordination and
follow-up.
Chapter 2: Developing Source Control Codes/Ordinances and Enforcement Policies
April 2022
Source Control (Business/Site) Inspection Program Guidance Manual
See the following public rule example:
Public Rule Example: Delegation of Authority (Section IV.D of SCORL Supplemental
Resource 2C)
[Yellow-highlighted bracketed text] can be replaced with jurisdiction-specific terminology and titles.
● What is the enforcement standard?
The enforcement standards for implementation are the required source control BMPs
included in Volume IV of the Stormwater Management Manual for Western Washington
(SWMMWW), or a Phase I Program approved by Ecology. If a business/site has failed to
adequately implement required BMPs, a permittee can follow a formal enforcement
process when necessary and in accordance with local codes.
[Jurisdiction] establishes the [Jurisdiction Authority], or their delegated agent, as the responsible party for taking
enforcement action. Documentation of enforcement actions are authorized to be signed by personnel from [x] as
follows:
Corrective Action and Compliance Letters: [Stormwater Inspector] Maintenance Correction Letters: [Asset Unit Manager] Cease Discharge Notices: [Source Control Program Manager] Voluntary Compliance Agreements: [Source Control Program Manager] Notice of Violation and Penalties: [Stormwater Services Section Manager] Notice of Violation and Penalties with fines and cost assessments in excess of $100,000: [Stormwater
Services Section Manager] with the approval the [Jurisdiction Authority] Chapter 2: Developing Source Control Codes/Ordinances and Enforcement Policies
April 2022
Source Control (Business/Site) Inspection Program Guidance Manual
2.2.2. Code/Ordinance Structure
As noted in the NPDES Municipal Stormwater permit language, jurisdictions have some flexibility
in deciding how to incorporate source control language into their municipal code and other
enforceable documents. There may be advantages to developing a public rule, policy, or
strategy document for some aspects of a source control (business/site) inspection program
rather than an ordinance. Options for structuring source control program language and some pf
their advantages and disadvantages are summarized in Table 2.1. Consult early and often with a
City/County attorney to ensure that the proposed approach is legally enforceable.
Table 2.1. Options for Structuring Source Control Program Language.
Type of
Authoritya
Application
Advantages
Disadvantages
Recommendation
Ordinance
Legal
language with
full council
approval
Provides an enforceable
framework for the program
● Requires council
approval process prior
to any modifications
● May limit program’s
ability to adapt over
time
Include permit-required
elements in an ordinance
(see Table 2.2 and the
Source Control Code
Builder Matrix included in
the SCORL Supplemental
Resources)
Public Rule/
Director’s
Rule
Any
department
order,
directive, or
regulation
which has the
force of law
● Allows agencies to
carry out ordinance by
setting specific
requirements
● Typically approved by
a department director
(not by council)
● Provides flexibility to
modify/adapt without
council approval
Not available to all
jurisdictions
Consider using this option
to develop program details
and procedures such as:
● Enforcement penalty
matrix
● Compliance timelines
● Cost recovery
Policy
Interprets
how a
jurisdiction
will apply its
code
● Establish intent and
methods for code
implementation
● May not require
council approval
None identified
Consider using this option
to:
● Document policies in
SWMP
● Communicate
approach to Ecology
● Emphasize education
first prior to
enforcement action
Strategy
Internal
procedure for
program
operations
Provides flexibility to
modify/adapt without
council approval
Not useful as a stand-alone
document, but can work in
conjunction with the code
to provide clarity regarding
program requirements
Develop program details
and procedures to support
source control code
language
a Consult early and often with a City/County attorney to ensure that proposed approach is legally enforceable.
SCORL = Source Control Online Resource Library.
SWMP = Stormwater Management Program.
Chapter 2: Developing Source Control Codes/Ordinances and Enforcement Policies
April 2022
Source Control (Business/Site) Inspection Program Guidance Manual
2.2.3. Required and Recommended Code Elements
The Source Control Code Builder Matrix (SCORL Supplemental Resource 2A) includes multiple
examples of source control code sections addressing minimum required content. Table 2.2
provides an overview of the permit-required and recommended/optional code elements for
source control code language.
Table 2.2. Source Control Program Municipal Code Elements.
Section Title
Section Description
Permit-Required Content
Recommended/Optional
Content
Purpose
Describes the purpose
of this code section
● None identified
● Provide an overview of the
source control program and
its importance
Applicability
Describes the
applicability of this
code section
● Publicly and privately owned
institutional, commercial, and
industrial businesses/
sites
● Implementation of required
source control BMPs to
control pollution discharging
into the MS4
● Expand applicability to other
businesses/ sites if source
control is applied more
broadly in a city/county
Definitions
Define terms used in
this code section
● Define Source Control BMPs
● Define all key terms used in
this section (or reference
other code sections where
terms are defined)
Authority
Allows permittee to
conduct enforcement
activities
● Formal enforcement
authority must be available
and used as necessary
● Recommend also including
delegation of authority in
this section (if applicable)
Adopted BMP
Manual
Defines where
business/ site owners
can find more
information on
required and
recommended source
control BMPs
● Identify the BMP Reference
Manual (SWMMWW or
applicable Phase I drainage/
stormwater manual as the
reference for source control
BMPs)
● Provide specific BMP
requirements and
exemptions
Right-of-Entry
Allows an inspector to
enter the premises,
inspect, and sample (if
needed)
● None identified; however,
the permittee must maintain
records of sites that are not
inspected because the
property owner denies entry
● Recommend including right-
of-entry language to help
facilitate inspection access
Hazards
Provides authority to
order immediate stop
to activities that cause
risk to human health
and safety
● None identified specifically
related to source control, but
is addressed in the IDDE
section of the permit
● This may be a helpful section
to include if hazards are
identified during a
business/site inspection
Chapter 2: Developing Source Control Codes/Ordinances and Enforcement Policies
April 2022
Source Control (Business/Site) Inspection Program Guidance Manual
Table 2.2 (continued).
Source Control Program Municipal Code…