20 - SCM Inspections Program Plan

Final SCM Inspections
Program Plan
City of Raleigh, North Carolina
April 2022
City of Raleigh Project Number: 60658668
COR SCM Inspections Program Plan
April 2022 AECOM
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Quality Information
Prepared by Checked by Verified by Approved by
AECOM Technical Services Alaina Armel, PE Sujit Ekka, PE Sujit Ekka, PE
Revision History
Revision Revision date Details Authorized Name Position
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City of Raleigh Project Number: 60658668
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City of Raleigh Project Number: 60658668
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Table of Contents
1 Introduction...................................................................................................................1-1
1.1 MS4 Background ..............................................................................................1-1
1.2 Purpose of Document .......................................................................................1-1
2 Organizational Structure ...............................................................................................2-1
2.1 Roles/Responsibilities .......................................................................................2-1
2.2 Ordinances/Legal Authorities ............................................................................2-1
3 Inspections ...................................................................................................................3-1
3.1 Internal Inspections ...........................................................................................3-1
3.2 Annual Inspections ............................................................................................3-1
4 Tracking........................................................................................................................4-1
4.1 Internal Inspections ...........................................................................................4-1
4.2 Annual Inspections ............................................................................................4-1
5 Maintenance/Repair Process ........................................................................................5-1
6 Stormwater Inspections and Maintenance (SIM) Qualified Providers ............................6-1
7 Education and Outreach ...............................................................................................7-1
8 Enforcement .................................................................................................................8-1
8.1 Annual Inspection Report Submittal ..................................................................8-1
8.2 Notification Process ..........................................................................................8-1
8.3 Follow-Up Actions .............................................................................................8-2
9 Annual Program Review ...............................................................................................9-1
9.1 Identify Budget and Resource Needs ................................................................9-1
9.2 Adaptive Management ......................................................................................9-2
10 Annual Reporting ........................................................................................................10-1
Figures
Figure 2-1: Stormwater Management Division..........................................................................2-1
Figure 8-1: SCM Inspections Enforcement Flowchart ...............................................................8-0
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List of Definitions
Anniversary Date:The date the annual inspection report is due for any SCMs with
annual inspection requirements. The Anniversary Date is based on the date an SCM’s
as-built certification package was accepted by the City of Raleigh unless staff has
otherwise approved a change of Anniversary Date with the property owner.
City-owned SCM:SCMs that are installed on property that is owned and/or operated
by the City of Raleigh.
CR-7107 Stormwater Control Measures:Devices that were required under CR-7107
(1988), the first stormwater regulation in Raleigh. These devices were constructed
pursuant to a rezoning request between 1988-2001 and are for detention/run-off control
only. These devices do not require as-builts, nor do they have annual inspection or
maintenance requirements.
Owning Department: The City of Raleigh department that is ultimately responsible for
an SCM.
Privately-Owned SCM: SCMs that are not owned or operated by the City of Raleigh.
Raleigh Rainwater Rewards (R3):Devices created under the City of Raleigh
Stormwater Rainwater Rewards Program. That program provides separate
comprehensive tracking of all devices under that program and any related inspections.
Retrofit SCM: An SCM installed by the City to provide water quality treatment for areas
that are currently untreated or inadequately treated by an existing SCM. These devices
are either installed on City property or the City acquires an easement.
Service Level Agreement (SLA):A document that defines the roles and
responsibilities between City departments with SCMs and the Stormwater Management
Division to facilitate the long-term inspection and maintenance of City-owned SCMs.
State-Required SCM:An SCM that is not required for installation under City of Raleigh
regulation, but is otherwise required under North Carolina regulation.
Stormwater Control Measure (SCM): As defined in 15A NCAC 02H.1002, also known
as Best Management Practice (BMP), a permanent structural device that is designed,
constructed, and maintained to remove pollutants from stormwater runoff by promoting
settling or filtration, or mimic the natural hydrologic cycle by promoting infiltration,
evapotranspiration, post-filtration discharge, reuse of stormwater, or a combination
thereof.
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UDO 9.2.2.A Stormwater Control Measures:Devices that are required for volume
control on residential single-family lots developed under this UDO section (as of 2016).
These devices require as-builts and have associated N-file numbers. They are subject
to the Annual Inspection & Maintenance requirements of 9.2.2.A.4.c, which do not
require a professional, and can be completed by the property owner. The maintenance,
function and inspection of these devices are enforceable through the SCM Inspections
program.
UDO 9.2.2.B and/or .E Stormwater Control Measures:Devices that are required for
Nitrogen Reduction and/or Run-off Controls on under these UDO sections. These
devices require as-builts and have associated N-file numbers. They are subject to the
Annual Inspection & maintenance requirements of 9.2.2.H, which require certification by
a professional engineer, surveyor, or landscape architect. The maintenance, function
and inspection of these devices are enforceable through the SCM Inspections program.
List of Acronyms
BMP Best Management Practice
GIS Geographic Information System
MS4 Municipal Separate Storm Sewer System
NCSU North Carolina State University
NOV Notice of Violation
NOV-FA Notice of Final Assessment
NOCV Notice of Continuing Violation
NPDES National Pollutant Discharge Elimination System
O&M Operations and Maintenance
R&R Repair and Rehabilitation
SCM Stormwater Control Measure
SIM Stormwater Inspections and Maintenance
SLA Service-Level Agreements
SWMP Stormwater Management Plan
SOP Standard Operating Procedure
UDO Unified Development Ordinance
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1 Introduction
The following section will give a brief overview of the City’s stormwater permit
requirements and detail the purpose of this document.
1.1 MS4 Background
The North Carolina Department of Environmental Quality Division of Energy, Mineral,
and Land Resources issued the City of Raleigh its current individual Phase 1 Municipal
Separate Storm Sewer System (MS4) Permit (Permit No. NCS000245), which
authorizes the City to discharge stormwater from the MS4 to receiving waters of the
state within the Neuse River Basin under the conditions of the National Pollutant
Discharge Elimination System (NPDES) permit. Section F (Post-Construction Site
Runoff Control) of the permit requires managing stormwater runoff from developments
and ensuring that controls are in place to minimize the water quality impacts. The
conditions of the permit also require pollution prevention and good housekeeping
measures to reduce pollution from authorized stormwater discharges (Section G). In
order to meet stormwater quality standards of the permit, permittees utilize stormwater
control measures (SCMs), which are permanent structural devices that are designed
and constructed to remove pollutants from stormwater runoff. For SCMs to work
effectively, they must be inspected and maintained regularly.
1.2 Purpose of Document
The City of Raleigh Stormwater Management Division maintains and tracks the
compliance of more than 2,000 SCMs across the City. In order to execute its SCM
program, the City of Raleigh implements two city programs: 1) the SCM Inspections
Program, and 2) the Asset Management Program. The SCM Inspections Program is a
team of City employees responsible for tracking and enforcing the compliance of all
SCMs within the City of Raleigh that have an annual inspection requirement. The
purpose of this plan is to document the responsibilities and procedures of the SCM
Inspections Program. For the operation and maintenance of City-owned SCMs required
under sections 9.2.2.B or E of the UDO, refer to the COR Asset Management Program
O&M Plan.
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2 Organizational Structure
The following section details the responsibilities of the Stormwater Management
Division, defines service-level agreements (SLAs) with SCM-owning City departments,
and provides the ordinances and legal authority that allows the City of Raleigh to
implement the SCM maintenance and inspection program.
2.1 Roles/Responsibilities
The Stormwater Management Division, which falls under the Engineering Services
Department, is responsible for implementing all post-construction stormwater
management requirements listed in the City’s MS4 permit by managing compliance of
privately-owned and City-owned SCMs within the City of Raleigh’s jurisdiction that are
required by the City’s development ordinances. A modified, abridged version of the
Stormwater Management Division’s organizational structure is shown in Figure 2-1. City
departments that own SCMs are responsible for the inspection and maintenance of their
SCMs unless otherwise stated in an SLA with the Stormwater Management Division.
Figure 2-1: Stormwater Management Division (Modified, Abridged Organizational Chart)
2.2 Ordinances/Legal Authorities
The Stormwater Management Division is authorized to implement its SCM O&M
Program through the City of Raleigh Unified Development Ordinance (UDO), Chapter
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1.1, Article 1.1 Legal Provisions and Chapter 9, Article 9.2.2 Stormwater Management,
Sections G and H. The UDO gives the City legal authority to construct or reconstruct,
install, inspect, and maintain all post-construction stormwater devices required under
sections 9.2.2.A, B, and E of the UDO on both City and private property. Furthermore, it
requires landowners to maintain all on-site stormwater devices unless those devices are
accepted for maintenance by the Stormwater Management Division.
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3 Inspections
The following section discusses the various inspection types and the expected
frequency. Please refer to the City of Raleigh’s SCM Inspection Standard Operating
Procedure (SOP) for standard procedures to conduct SCM inspections. The SOP
provides detailed guidance on completing inspections to ensure SCMs are performing
properly in conformance with the site’s approved stormwater control plan and the City’s
UDO.
3.1 Internal Inspections
At the direction of City Council, the SCM Inspections Program conducts inspections of
all SCMs with an annual inspection requirement within the City of Raleigh once every 3
years. These inspections are not required by the City’s NPDES MS4 permit.
3.2 Annual Inspections
Annual inspections are performed every 12 months for all SCMs required under the City
of Raleigh’s UDO section 9.2.2 (section A, B, and E) and cannot be conducted more
than 90 days prior to the site’s anniversary date. Annual inspections of SCMs are
enforced by the SCM Inspections Program, as detailed in Section 8. All annual
inspections must be completed and certified by a North Carolina professional engineer,
surveyor, or landscape architect. Annual inspections are comprehensive and require
evaluation of each SCM component to demonstrate that the device is performing as
designed and is being maintained properly. Once an annual inspection has been
completed, a written report is assembled and submitted to the City. Completed annual
inspection reports submitted to the City are reviewed by the SCM Inspections Program
and tracked in the “Tracking Spreadsheet”, which is further discussed in Section 4.
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4 Tracking
To ensure uniform tracking of all pertinent information for SCMs required under sections
9.2.2 A, B, and E of the City’s UDO, the SCM Inspections Program maintains an internal
Excel spreadsheet called the “Tracking Spreadsheet” as well as a Geographic
Information System (GIS) database in ArcGIS Online called the “Tracking Layer”. The
“Tracking Spreadsheet” is used to track the compliance status of devices that have an
annual inspection requirement, the site’s anniversary date, annual inspection status,
owner information, site contact information, other inspection documentation, and
internal notes. The “Tracking Layer” contains all SCMs within the City of Raleigh,
excluding Rainwater Rewards SCMs. The SCM Inspections Program updates the
“Tracking Spreadsheet” and “Tracking Layer” with any new privately-owned or City-
owned SCMs required under section 9.2.2.A, B, or E of the City’s UDO once they are
accepted by the Stormwater Management Division.
To further manage the SCM data, the SCM Inspections Program tracks each site’s N-
file. An N-file (N: Total Nitrogen) number is assigned to a site during review as the
tracking number/identifier for the associated Stormwater Control Plan. An N-file folder is
located on the City’s server for each site with an SCM. An N-file folder contains digital
copies or scans of a site’s as-built information, site maps, inspection documentation,
enforcement documentation, and any other historical documents. The N-file folders
assist the City with compliance tracking and fulfilling document requests from property
owners and inspectors.
4.1 Internal Inspections
The SCM Inspections Program tracks internal inspections in the “Tracking
Spreadsheet”. Completed internal inspection reports and any photos taken during the
inspection are stored in the site-specific N-file folder.
4.2 Annual Inspections
Annual inspections are tracked in the “Tracking Spreadsheet”. The SCM Inspections
Program is responsible for enforcing annual inspections and uses the “Tracking
Spreadsheet” as a tool to flag when an annual inspection has not been received by a
site’s anniversary date, at which point enforcement procedures are initiated.
Enforcement procedures are detailed in Section 8.
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5 Maintenance/Repair Process
The SCM Inspections Program is responsible for ensuring all private SCM owners are
maintaining their devices to remain compliant, as well as provide guidance and
resources. Private SCM owners are responsible for conducting the maintenance and
repairs of SCMs on their property and may reach out to the SCM Inspections Program
to request a delay in enforcement if a site is not compliant or awaiting maintenance or
repairs. In order for the City to delay enforcement, an extension request must be
submitted by the property owner to the SCM Inspections Program. The extension
request must justify the length of time the property owner is requesting to delay before
the request can be approved by the SCM Inspections Program.
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6 Stormwater Inspections and Maintenance (SIM) Qualified
Providers
The Stormwater Inspections and Maintenance (SIM) Program is a voluntary City
program which qualified professionals who are trained to inspect and provide SCM
maintenance can apply to join by contacting the SCM Inspections Program. The SIM
Program promotes a working relationship between the City, private SCM owners, and
SCM maintenance providers, and serves as a resource for private SCM owners to
reference if they are in search of SCM maintenance professionals. Private SCM owners
are not required to use the qualified providers listed in the SIM Program to conduct
SCM inspections and maintenance. The SCM Inspections Program reviews all
applications and conducts a phone interview to verify that the applicants are familiar
with City requirements before acceptance into the SIM Program.
Qualified professionals who apply to join the SIM Program must meet the minimum
eligibility requirements listed below:
 Must have inspected and/or maintained at least 10 SCMs within the last 12
months.
 Must complete and acquire a certification from an SCM Inspection and
Maintenance training workshop. The certification must be maintained in order to
remain in the SIM Program. Acceptable training workshops include the
Stormwater SCM Inspection & Maintenance Certification workshop provided by
North Carolina State University (NCSU) or similar.
 The SCM Inspections Program will evaluate a qualified professional’s experience
and other certifications on a case-by-case basis to assess eligibility.
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7 Education and Outreach
The Stormwater Inspections Program strives to annually provide education and
outreach to private SCM owners within the City of Raleigh to answer any questions
SCM owners may have, and to provide tips and instructions on how to properly inspect
and maintain the devices to ensure functionality. The Stormwater Inspections Program
organizes and leads an annual workshop, referred to internally as the Property
Managers Workshop, geared towards educating property management companies and
other private SCM owners about the basics of stormwater runoff and pollution, important
background information regarding City requirements, SCM documentation, SCM
compliance requirements, and annual inspection and reporting requirements. The
Stormwater Inspections Program also issues a “90-Day Reminder” email which notifies
private SCM owners that their annual inspection is due soon, as well as provides the
property owner with links to resources on how to complete the inspection.
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8 Enforcement
The following section discusses the process of annual inspection report submittal, the
notification process, and enforcement procedures. These processes are summarized in
Figure 8-1.
8.1 Annual Inspection Report Submittal
Annual inspection reports for SCMs must be submitted to the SCM Inspections Program
within 90 days of a device’s anniversary date. After submittal, the inspection report must
then be reviewed and approved by the City. If an annual inspection report submittal
does not demonstrate that the device(s) is functioning as designed, if there are
outstanding maintenance needs, or if the report did not include the requested
information, the report will be denied. If a report is denied, a notice will be emailed to the
individual that submitted the annual inspection report detailing what additional
information or maintenance items need to be addressed prior to acceptance. As
mentioned briefly in Section 4 of this document, the Stormwater Management Division
maintains an internal “Tracking Spreadsheet”, which is used to track general information
about SCMs, as well as compliance status. Devices whose annual reports have been
denied are documented by the SCM Inspections Program in the “Tracking
Spreadsheet.”
8.2 Notification Process
Enforcement procedures are carried out by the SCM Inspections Program. If an annual
inspection report is not submitted to the SCM Inspections Program by the device’s
anniversary date, the notification process begins with a Notice of Non-Compliance letter.
A Notice of Non-Compliance is a courtesy letter sent to the property owner or
responsible party notifying them that the annual SCM inspection is past due. The letter
also provides a Notice of Violation (NOV) date. The property owner or responsible party
has until the NOV date to submit the annual inspection report. If an annual inspection
report or extension request is not received by the NOV date, the owner will be sent an
NOV letter via certified mail. Once the registered agent for the responsible party
receives the NOV letter, the enforcement process formally begins.
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8.3 Follow-Up Actions
Once an NOV letter is delivered to the registered agent of the responsible party , the
responsible party has 10 days to submit an annual inspection report or request an
extension before fines incur. If the 10-day period passes without an annual inspection
report submittal or an extension request, a Notice of Violation Assessment (NOVA) and
a Notice of Continuing Violation (NOCV) will be sent to the registered agent. The NOVA
assesses a one-time civil penalty of $2500.00, and the NOCV explains that fines of
$2500/day are currently being accrued beginning on the date the NOV was originally
delivered to the registered agent. The total daily fines accumulated by the NOCV
continue to accrue until an annual inspection report is submitted or an extension is
approved. If the property owner or responsible party submits an annual report, the City
will issue a Notice of Final Assessment (NOV-FA), which documents that the SCM is
now in compliance, indicates that fines have stopped accruing, and summarizes the
total amount of daily civil penalties accrued. If the property owner or responsible party
wishes to contest the fines, they may request an Administrative Review by the
Stormwater Development Manager. A request for Administrative Review must be filed in
writing within 30 days of the NOV-FA. First time offenders cannot be fined more than
$25,000.00; however, if an NOV is issued for an SCM within 3 years of a previous NOV,
the total amount of fines is no longer capped at $25,000.00. If an annual report remains
outstanding, a Demand for Payment letter will be issued.
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Figure 8-1: SCM Inspections Enforcement Flowchart (flowchart content provided by the City of Raleigh)
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9 Annual Program Review
The Stormwater Management Division reviews its stormwater program annually in order
to identify whether sufficient funding and resources are available to meet the City’s
NPDES MS4 permit requirements. The following section discusses the SCM Inspection
Program’s budget and resource needs, and how the City seeks to continually improve
its stormwater program.
9.1 Identify Budget and Resource Needs
The Stormwater Management Division reviews their budget and resource needs for the
SCM Inspections Program to perform internal inspections, track, and enforce
compliance of SCMs within the City of Raleigh with an annual inspection requirement.
Program duties typically include:
 Continuously maintain the “Tracking Spreadsheet” in Excel and “Tracking Layer”
in ArcGIS as new privately-owned and City-owned SCMs are accepted into the
program.
 Continuously maintain records and documentation on all sites/SCMs that require
annual inspection.
 Review and provide comments/maintenance recommendations on annual
inspection report submittals.
 Conduct internal inspections of all SCMs within the City of Raleigh.
 Initiate and carry out enforcement procedures when annual inspections of
privately-owned SCMs are not received by a site’s anniversary date.
 Communicate with private SCM owners through the inspection and enforcement
processes.
 Respond to complaints regarding SCMs received by the SCM Inspections
Program.
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 Provide education and outreach about SCM maintenance to private SCM
owners.
During annual review, the SCM Inspections Program documents several reporting
metrics associated with the City’s post-construction runoff MS4 requirements, such as
the number of sites where SCM inspections and certifications have been received and
the number of NOVs issued. The Stormwater Management Division can use these
metrics to assess program growth and whether more funding and/or resources are
needed going forward. As SCMs continue to be constructed throughout the City of
Raleigh, the Stormwater Management Division will continue to annually assess the
budgetary, staffing, and resource needs for performing the Program’s duties listed
above.
9.2 Adaptive Management
The City aims to continually evaluate and improve the SCM Inspections Program
through process improvements based on findings from the annual program review. The
City can make appropriate changes to the different procedures used to accomplish the
program goals, such as evaluating the effectiveness of communication with SCM
owners and identifying efficiencies for completing internal SCM inspections.
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10 Annual Reporting
The Stormwater Management Division is required by the City’s NPDES MS4 permit to
submit an annual report describing the activities performed in support of each aspect of
its Stormwater Management Plan (SWMP). The annual report is divided into ten
sections, which include the six minimum control measures, program implementation,
water quality monitoring, and total maximum daily loads. Each section includes a brief
program narrative, the specific MS4 permit requirements, and associated best
management practices (BMPs), as identified in the SWMP. Each program-specific BMP
is accompanied by an annual reporting metric specified in the SWMP in order to
demonstrate compliance, followed by the activities performed by the City during the
permit year. MS4 permit requirements relating to SCMs, annual reporting metrics, and
activities performed during the permit year are recorded in Section F of the annual
report.
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