ADWR COMPLIANCE AND ENFORCEMENT MANUAL PHOENIX AMA GUAC 1/6/09

Compliance Program 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)

Compliance Program 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 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

Investigation Procedures Physical and Computerized File Reviews Audits Field Inspections

File 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

Audits 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 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 Procedures Advisory Letters Citations Notice of Non-Compliance Stipulation and Consent Orders (SCO) Administrative and Court Proceedings

Advisory 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

Citations 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-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) 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) 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 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 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