20090757 Ver 1_Worksheets_20110503

Wetlands and Stormwater Branch - Attachment Checklist
Streams - Wetlands - Buffers - 401 WQC - NCG010000 Enforcement Cases
Regional Office sA County Case No.
Owner N, ??y$l?(\ ItJ.CNC Facility
Case Prepared by RO Supervisor Is DLR or Local Program doing a case?
Attachments Needed for RO Case File R Check (? )
1. Enforcement Recommendation Memo R
2. Findings & Decisions Document R i
3. Photographs (in COLOR) R
4. Vicinity / Site Map with Photo Locations R
5. DWQ NOV(s) and R
6. Any Response to DWQ NOV •
7. Proof of Ownership / Permittee •
8. Proof of Corporation •
1
9. USACE or CAMA Correspondences •
10. 401 WQC Approval or Buffer Authorization Letter, PCN A
11. Chain of Custody, Lab data ... B
12. E&SC Plan Approval Letter C
13. Financial Responsibility / Ownership Form for E&SC Plan C
14. DLR/Local Program Inspection Report and/or NOV D
15. Any Response to DLR/Local Program NOV D
KEY: R - Required for all Violations
• - If applicable, required for all Violations
A - Required ONLY for 401 WQC or Buffer Authorization Condition Violations
B - Required ONLY for WQ Standards, Turbidity, DO, pH, etc Violations
C -Required ONLY for NCGO10000 Construction Stormwater Violations
D -If applicable, required ONLY for NCGO10000 Construction Stormwater Violations
"If DLR/Local Program is doing a case, coordination will need to occur between DWQ and DLR.
Attachments Needed Definitions
Memo addressed to Wetlands and Stormwater Branch from the RO Supervisor and Staff that
1. Enforcement recommends enforcement. This memo also summarizes the history of the site including any
Recommendation inspections, NOVs, Responses to NOVs, restoration, and current status. It also states whether the
Memo assessed entity(ies) have any previous civil penalty assessments against them and calculates the
enforcement costs.
2. Findings & Findings & Decisions Document includes the (1) Findings of Fact; (II) Conclusions of Law; and (III)
Decisions Decision. Draft this document using provided templates. Also, email to the NPS-ACO Unit so that they
Document can make any necessary changes <DENR.NPSACO.DWQ(a)ncmail.net>
Documents the scope of the impacts. Dates and any written description should be included to
3. Photographs document when and where the photos were taken (It is recommended to copy the digital photos into
(in COLOR) Word or Power Point to add dates and descriptions). When possible, take reference photos for
comparison.
Vicinity Map indicates the landscape position of the site. This map should also depict where the photos
4. Vicinity / Site Map were taken and the direction of the photos. This is used to support the assessment and imperative to
with Photo staff unable to go to the site. (When the site is large, or has impacts at many different locations within
Locations the site, it may be necessary to have multiple maps and/or sketches to properly depict both the general
location of the site and the exact location of the pictures.)
DWQ NOV illustrates and details the impacts and violations on the site. This document is essential to
5. DWQ NOV(s) document the violations observed in the Findings & Decisions document (use templates.)
6. Any Response to Any Response to the DWQ NOV will be considered in the case assessment process and must be
DWQ NOV included in the packet. This may include written letters, emails, phone calls...
This documentation is needed to confirm that the appropriate "person" is being assessed, the owner of
the property. This can be a printout from Online Parcel or GIS info, or a copy of the most recent deed.
7. Proof of Ownership / **Please note this may be different than the Financially Responsible Party indicated on an E&SC Plan
Permittee submitted to DLR. ** **Please also note that the 401 WQC may be issued to someone other than the
owner and thus the ermittee may not be the owner. **
This confirms correct name of the Limited Liability Corporation (LLC), Company, Registered Agent,
8. Proof of Corporation address, etc. Refer to the Secretary of State website: http:/Avww.secretary.state.nc.us/corporations/ or
appropriate State of Incorporation.
9. USACE or CAMA Has the USACE been to the site? Any USACE letters claiming jurisdictional waters, addressing
Correspondences violations, Cease and Desist Letters, any other communication, etc. must be included in the packet.
401 or Buffer Approval Letter demonstrates that the person was covered under a 401 WQC or had
10. 401 or Buffer obtained Authorization for Buffer Impacts. The PCN/Application may also be needed for
Approval Letter documentation.
Chain of Custody, Lab Data, and a map w/ sample locations depicted are very important. This
11. Chain of Custody, information is necessary when demonstrating Water Quality Standard Violations. Example: Turbidity,
Lab data ... DO, pH, etc.
12. E&SC Plan Division of Land Resources (DLR) or Local Program Approval Letter demonstrates that the person was
Approval Letter covered under an NPDES Permit NCG010000.
This is a DLR document and can be found in the DLR project file. The permittee for the NCG010000
13. Financial permit is "The person who signed as the financially responsible party on the Erosion and
Responsibility / Sedimentation Control Plan. In most cases, this will be the same as the owner, but not always.
Ownership Form for **Please be advised that a NCG010000 permit is only issued for projects greater than 1 acre, however
E&SC Plan some local programs require an E&SC Plan for projects less than 1 acre. Total disturbed area can be
confirmed on this form as well. **
Copies of these inspection reports help confirm that land disturbance has commenced, thereby
14. DLR/Local Program confirming that the NPDES NCG010000 is in effect. Violations indicated on the inspection forms help
Inspection Report
and/or NOV confirm violations of the NPDES Permit NCG010000. NOVs confirm violations of the NPDES Permit
NCG010000 and confirm encounters with DENR staff.
15. Any Response to Any Response to the DLR/Local Program NOV will be considered in the case assessment process and
DLR/Local Program must be included in the packet.
NOV