ILLICIT DISCHARGE D E (IDDE) STANDARD O Pchesapeakestormwater.net/wp-content/uploads/dlm_uploads/2015/03/...For now, read the City’s Stormwater Management and Pollution Control Ordinance,

City of Durham Stormwater & GIS Services—(919) 560-4326 www.DurhamNC.gov/stormwater

Design/Plan Review—Drainage/Flooding Concerns—Floodplain Information Stormwater Public Education—Surface Water Quality—Stormwater Billing—GIS Mapping

ILLICIT DISCHARGE DETECTION AND ELIMINATION

(IDDE) INVESTIGATIONS

STANDARD OPERATING PROCEDURES

City of Durham – Department of Public Works

Stormwater & GIS Services Division

Water Quality Section

May 2014

http://www.durhamnc.gov/departments/works/stormwater.cfm

IDDE Investigations Standard Operating Procedures Page i Revised May 21, 2014

RESERVATION The guidelines and procedures described in this document are for internal use only by members of the City of Durham Stormwater and GIS Services Division Water Quality Staff. The contents of this document are not intended to be relied upon to create a right or benefit (substantive or procedural) at law by a party in any matter civil or criminal, nor does it place any limitations on otherwise lawful actions of the City.

PREFACE This document describes general guidelines and specific standard procedures for City of Durham staff conducting water quality complaint investigations. This document is part of a series of guidelines and procedures covering implementation of the City’s illicit discharge detection and elimination (IDDE) program. Together, these documents cover the topics of detection, investigation, documentation, and enforcement to remove non-stormwater discharges that carry pollutants into the City’s stormwater drainage system.

In 1992 the City initiated stormwater characterization and other programs to assist in preparing the City’s initial permit application. The Stormwater & GIS Services Division (the “Division”) added staff to assume responsibility for implementing the City’s illicit discharge program in 1997. IDDE legal authorities were substantially revised in 2006 to more explicitly identify prohibited practices, to improve progressive enforcement, and to include certain preventative requirements intended to reduce contamination of stormwater. Follow-up investigations per year declined after adoption of the new enforcement authorities, but over time have gradually increased. Additional staff positions were added in 2008 and 2011 to conduct outfall screening and to enhance IDDE, monitoring, and inspections.

The Division has also gained experience in more complex investigations and in using a wider range of the enforcement options provided under the 2006 Ordinance. Because of the increase in workload and the need to address situations of greater complexity and variety, the Division has been streamlining the enforcement process and making other changes to improve program efficiency and effectiveness. The Division has been replacing the original enforcement guidance developed in 2007 with a new series of guidance and procedure documents.

This document covers water quality investigations and completes the transition from the 2007 guidance and procedures document.

Other documents in the series include:

Dry Weather Outfall Screening Standard Operating Procedures - describes procedures for the City’s proactive program to inspect major stormwater outfalls, to evaluate physical indicators of contamination, and to identify and screen dry weather discharges for pollution indicators.

Water Quality Investigation Form Standard Operating Procedures - provides procedures for properly filling out the Water Quality Complaint forms and database entries.

IDDE Investigations Standard Operating Procedures Page ii Revised May 21, 2014

Weekend Enforcement Patrol Standard Operating Procedures - provides information on procedures and schedules for weekend enforcement of the Stormwater Pollution Control Ordinance.

Guidelines for Enforcement of the Stormwater Pollution Control Ordinance (Article V of Durham City Code of Ordinances) - provides guidance for enforcement and assessing civil penalties resulting from violations of the City Stormwater Ordinance enforcement of Article V of Durham City Code of Ordinances: Stormwater Management and Pollution Control, Sections 70-492 through 70-542.

The most recent revision of each of these documents are intended to be used in concert to provide guidance on the necessary steps and procedures for investigating, documenting, and enforcing the City of Durham’s Stormwater Management and Pollution Control Ordinance. These documents are currently stored in electronic format on the Water Quality shared drive (Appendix A).

Record of significant changes and updates to this document:

This document replaces the investigation component (Step I) contained in the City of Durham, Stormwater & GIS Services guidance document: “Administrative Guidelines and Procedures for Civil Penalties: Completing an Enforcement Action” dated July 2007. The current document substantially expands discussion of several topics including: permission to enter, probable cause, administrative search warrants, and general investigative procedures and techniques.

Document development August 2012 through March 2014

Approved - May 21, 2014

Appendix I and J will be updated as needed

List of Common Acronyms

ANSI – American National Standards Institute

GIS – Geographic Information System

GPS – Global Positioning System

IDDE – Illicit Discharge Detection and Elimination

MS4 – Municipal Separate Storm Sewer System

NOR – Notice of Requirement

NOV – Notice of Violation

NPDES – National Pollutant Discharge Elimination System

OSHA – Occupational Safety & Health Administration

WQ – Water Quality

IDDE Investigations Standard Operating Procedures Page iii Revised May 21, 2014

IDDE Investigations Standard Operating Procedures Page 1 Revised May 21, 2014

Table of Contents

RESERVATION ................................................................................................................................................. i

PREFACE ......................................................................................................................................................... i

Record of significant changes and updates to this document: ................................................................. ii

List of Common Acronyms ........................................................................................................................ ii

APPROVAL SHEET ......................................................................................................................................... iv

INTRODUCTION ............................................................................................................................................. 4

Purpose ..................................................................................................................................................... 4

Background ............................................................................................................................................... 4

What is an Illicit Discharge? ...................................................................................................................... 5

Common Illicit Discharges and Code Violations........................................................................................ 6

Exceptions to the Illicit Discharge General Rule ....................................................................................... 7

HOW INVESTIGATIONS ARE INITIATED ....................................................................................................... 12

How Water Quality Complaints Are Reported ........................................................................................ 12

Information to Collect from Callers (e.g. City Residents, Other City Staff) ............................................. 13

Water Quality Staff Initiated Investigations ........................................................................................... 13

Field Observations .................................................................................................................................. 13

Stream Monitoring .................................................................................................................................. 13

Outfall Screening ..................................................................................................................................... 14

Weekend Enforcement Patrols ............................................................................................................... 14

SAFETY OVERVIEW ...................................................................................................................................... 15

Safety Assessment .................................................................................................................................. 16

Roadway Hazards .................................................................................................................................... 16

Other Hazards ......................................................................................................................................... 16

Injury Response and Reporting ............................................................................................................... 17

Confined Spaces ...................................................................................................................................... 17

INVESTIGATION PROCESS OVERVIEW ......................................................................................................... 18

Team Member Roles ............................................................................................................................... 18

Collection and Control of Evidence ......................................................................................................... 19

Entry onto Premises ................................................................................................................................ 19


Administrative Search Warrants ............................................................................................................. 22

WATER QUALITY INVESTIGATION PROCEDURES AND GUIDELINES ............................................................ 25

Investigation Preparation ....................................................................................................................... 25

Field Investigations ................................................................................................................................. 26

Sanitary Sewage Related Investigations ................................................................................................. 29

Illicit Vehicle Washing Operations Investigations ................................................................................... 30

Reporting Major Spills to State Regulators, Generally ........................................................................... 31

Reporting City or County Sewer Spills to the System Operator ............................................................. 31

Reporting Private Sanitary Sewer Spills to State Regulators .................................................................. 32

Reporting Spills of Hazardous Substances to State Regulators .............................................................. 32

Reporting Petroleum Spills to State Regulators ...................................................................................... 32

Office Investigations ............................................................................................................................... 33

Complaint Follow-ups ............................................................................................................................. 34

Investigation Form Completion and Database Entry Procedures ............................................................... 35

DOCUMENTATION PROCEDURES ................................................................................................................ 35

Field Audits ............................................................................................................................................. 35

ISSUING NOTICES AND PENALTIES .............................................................................................................. 36

APPENDIX A: Relevant Documents List and Links ....................................................................................... 37

APPENDIX B: Summary of Ordinance Violations ........................................................................................ 39

APPENDIX C: NC Administrative Search Warrant Affidavit ........................................................................ 40

APPENDIX D: List of Ambient Water Quality Monitoring Parameter Investigation Trigger Levels............ 42

APPENDIX E: Pre-investigation Checklist ................................................................................................... 43

OFFICE CHECKLIST ................................................................................................................................... 43

LAB AND STORAGE ROOM CHECKLIST .................................................................................................... 43

VEHICLE CHECKLIST ................................................................................................................................. 44

APPENDIX F: Example of Water Quality Investigation Form – for use with initial investigations ............. 45

APPENDIX G: Example of Water Quality Investigation Follow-up Form .................................................... 47

APPENDIX H: Example of Water Quality Complaint Log Form ................................................................... 50

APPENDIX I: List of Investigational Information Sources ........................................................................... 51

APPENDIX J: List of Agency and Departmental Contacts ........................................................................... 52


APPENDIX K: Sample Training Record Form for Water Quality Staff Members ........................................ 65

APPENDIX L: NPDES Stormwater General Permits .................................................................................... 66

APPENDIX M: Car Washing Definitions and Exemptions ........................................................................... 67

APPENDIX N: Photo Examples of Illicit Discharges ..................................................................................... 68


INTRODUCTION

Purpose

The types of issues that a Water Quality investigator may face come in a variety of types, more than this document can predict and address. Fortunately, by following the basic guidelines and procedures in this document, the investigator can collect details and evidence in a way that preserves individual rights, promotes accuracy and consistency, and results in documentation to support enforcement actions as needed to protect water quality in nearly any scenario.

Background

Prior to adoption of federal stormwater regulations, studies showed that illicit discharges account for a significant amount of the pollutants discharged from stormwater drainage systems. For many pollutants, the annual mass discharge was found to be dominated by dry-weather flows, rather than stormwater runoff (EPA Publication No. 600-R-92-238). These early studies also found that areas of older land development generally have worse water quality than areas developed within the last several decades, in part because of aging infrastructure, different building practices, and different materials of construction than areas constructed after the mid-1940s.

In response to those studies, the EPA promulgated two phases of regulations, including an expanded NPDES permitting program, requiring municipalities to take steps in reducing stormwater pollution from their storm drainage systems.

The City of Durham was issued a NPDES municipal stormwater permit (NCS000249), which includes specific requirements to implement a program to identify and eliminate non-stormwater discharges that are a source of pollution.

The Water Quality Section of the Stormwater & GIS Services Division has been conducting water quality investigations since 1997. Durham has areas of older development, some of which date back to the 1800s. The oldest areas of land development are generally located near the railroad track that runs along the ridgeline through downtown. Recognizing that illicit discharge control would be particularly important because of this older development, the City has placed particular emphasis on implementation and evolution of an effective illicit discharge control program.

Since 2007, the Division has added staff to enhance outfall screening, industrial and business inspections, and water quality assessment and monitoring. The Division has also developed resources critical for supporting illicit discharge identification and tracking, including stream monitoring programs and GIS maps of water, sewer and stormwater systems. Our Public Outreach and Education programs have resulted in enhancing public understanding on the impacts of illicit discharges. As a result of these combined efforts, there has been a gradual


increase in the number of investigation complaints received, and an increase in the number of pollution sources eliminated.

Preventing spills and eliminating illicit discharges is a cost-effective means of restoring and protecting water quality. Investigations are an essential component of a comprehensive illicit discharge control program. Investigations rely on an educated public to identify possible pollution sources for investigation by staff; and they also provide an opportunity for staff to interact with and further educate the public about adverse impacts of illicit discharges and illicit connections on water quality. Increased public awareness of illicit discharges results in more effective reporting by the public, aiding the City’s efforts to protect water quality. Once an investigation identifies a violation, education and enforcement are used to eliminate sources and to require discharges to be remediated.

What is an Illicit Discharge?

The City of Durham’s simple educational slogan, “Only Rain in the Drain” promotes the general rule that any substance that’s not entirely rainwater (“non-stormwater”) may not be put into the storm drainage system. Generally an “illicit discharge” is a non-stormwater discharge into the storm drainage system. It’s important to understand that no illicit discharge occurs unless and until the substance actually enters the drainage system. In addition to obvious components such as stormwater pipes, catch basins and other inlets, drainage system includes street gutters, ditches, swales, channels, and structural stormwater control measures (like detention ponds or bioretention areas).

For now, read the City’s Stormwater Management and Pollution Control Ordinance, § 70-511(a) for the general rule:

Prohibition. The discharge, emission, disposal, pouring, or pumping, directly or indirectly, to the drainage system of any liquid, solid, gas, or other substance, other than stormwater, is an illicit discharge and is prohibited, except as allowed in section 70-513. This prohibition also includes airborne emissions where such emissions deposit pollutants into the drainage system.

Direct vs. Indirect Illicit Discharges

§ 70-511(a) includes discharges “directly or indirectly.” A direct illicit discharge is one where the non-stormwater substance is dumped, poured, pumped, or otherwise aimed toward and flows into the drainage system by its own force. An indirect illicit discharge is one where the substance was deposited in an area where rainwater or snowmelt carried it into the drainage system.


Examples:

Direct discharge o There is a business washing cars in a parking lot. The dirty water from

the cars runs off the pavement and into a nearby storm drain. o A homeowner rakes leaves from his lawn into a storm drain. o A tanker truck transferring chemicals to a factory develops a leak in

the transfer hose and chemicals spill onto the ground and run 20 feet across pavement and then into the storm drain.

o A bag of fertilizer tears open all over a homeowner’s driveway. Feeling frustrated and wasteful, the homeowner uses his hose to spray the fertilizer into the nearby storm drain.

Indirect discharge o There is a business washing cars in a parking lot. The workers use a

vacuum to clean car interiors. At the end of the day, they scatter the vacuum contents on the parking lot far from any storm drains. During the night, a rain storm washes the vacuum contents into the storm drain.

o A homeowner rakes leaves from her yard into a great big pile on the edge of her property. The next morning, a rain storm blows and washes those leaves into the street, where they are carried into the storm drain.

o Oil leaks from a car outside on the lot at a mechanic’s garage. The mechanic doesn’t clean up the puddle of leaked oil. It rains before he cleans it up. Stormwater runoff carries the oil to the storm drain.

Common Illicit Discharges and Code Violations

Investigators must be thoroughly familiar with the Stormwater Pollution Control Ordinance. A summary list of ordinance sections and descriptions of associated violations is provided in Appendix B. Appendix N provides photos of some common discharges and a few natural conditions that are commonly encountered. In particular, investigators should be alert for these common illicit discharges and other violations: 1. Sanitary wastewater sources such as:

• Sanitary sewer wastewater (typically untreated) from improper/illicit sewerage connections, ex-filtration, or leakage

• Effluent from improperly operating onsite wastewater treatment systems (e.g., septic tanks and sand filter treatment systems)


• Overflows of the sanitary sewer system 2. Automobile maintenance and operation sources such as:

• Commercial car wash wastewaters • Radiator flushing wastewaters • Engine degreasing wastes • Improper motor oil disposal • Leaky automotive fluid storage tanks

3. Yard Maintenance sources such as: • Fertilizer spilled or spread on impervious surfaces • Yard wastes disposed in storm drains

4. Ordinance-required pollution prevention measures for businesses • Failure to clean up and report a spill • Failure to have a required spill cleanup kit • Conducting certain automotive maintenance activities outside covered bays • Storage of auto parts outside exposed to precipitation or runoff • Lack of secondary containment and cover for automotive fluid stored outside • Lack of secondary containment and cover for hazardous substance stored outside • Failure to have or to implement a required Stormwater Pollution Prevention Plan

(typically enforced under the industrial/business inspection program) 5. Other sources such as:

• Groundwater carrying product leaked from underground storage tank • Potable water from leaking water mains • Laundry wastes • Cooling tower blow down without a permit(evaporative cooling) • Boiler blow down without a permit • Metal plating baths • Washing of concrete from ready mix trucks • Improper disposal of household hazardous wastes • Spills from roadway and other accidents • Chemical, hazardous materials, garbage, sanitary sludge landfills and disposal sites • Grease and food waste dumping – includes failing onsite oil and water separators at

restaurants or mobile sources • Outdoor surface washing activities without proper containment and disposal

Exceptions to the Illicit Discharge General Rule

As § 70-511(a) states, not every non-stormwater substance discharged to the storm drainage system is an illicit discharge. The WQ investigator needs to know about these exceptions because there are times when: 1) certain substances may be allowed to be discharged in stormwater; or 2) certain non-stormwater or wastewaters may be discharged to the drainage


system. Generally these include wastewater and industrial stormwater discharges authorized by permit, provided the discharge is in compliance with permit conditions. Exceptions also include discharges categorically authorized or permitted by rule under North Carolina Administrative Code, as well as allowable discharges listed in the City’s NPDES permit and city ordinance. Exception: Stormwater discharges from industrial activities allowed by NPDES Stormwater Permit

If an industrial facility or operation is covered by a NPDES General or Individual Stormwater Permit, then the permit authorizes stormwater discharges associated with the industrial activity, provided the facility or operation is in compliance with all of the requirements and conditions in the permit. The term “associated with the industrial activity” means directly related to manufacturing, processing or raw material storage areas at an industrial site. Permitted discharges that are in compliance with permit conditions are allowable under State law and are not illicit discharges under the City of Durham’s ordinance.

For example, if a business is covered by a “Transit and Transportation” NPDES permit, then the permit requires (among many conditions) secondary containment for “bulk storage of liquid materials,” a stormwater management strategy for vehicle and equipment cleaning areas, spill prevention and response procedures, preventative maintenance, and employee training. The permit specifically excludes from coverage “wash water from steam cleaning operations.” Stormwater discharge from the maintenance and material storage areas that may include oil, grease, and sediment is nevertheless a “permitted stormwater discharges” Provided that the operator complies with the conditions of the permit that are intended to control the oil, grease and sediment. However, if that same business were discharging sewage, or were allowing discharges associated with steam cleaning to enter the stormwater drainage system, those discharges would be an illicit discharge.

In this example, it would be appropriate to cite the business for a discharge of sewage. It would be inappropriate for the investigator to cite the permitted business for an “illicit discharge” of the oil, grease, or sediment unless the discharge is from steam cleaning, because discharges associated with steam cleaning operations are not authorized by the permit.

Industrial stormwater permits almost always have some variation of the following permit condition:

The stormwater discharges allowed by this General Permit shall not cause or contribute to violations of Water Quality Standards.


Investigations involving a discharge that may potentially involve a violation of water quality standards require coordination with the Water Quality Specialist supervising the City’s water quality monitoring program.

A list of NPDES General Stormwater permits can be found in Appendix L. A web link to the DEMLR NPDES Stormwater General Permit information page can be found in Appendix A.

When a WQ investigation involves an industrial or suspected industrial activity, the investigator should follow these steps:

1) Search the Industrial Stormwater Inspections database for: a. a record of the facility/operation b. the NPDES permit status of the facility/operation c. the history of stormwater compliance inspections of the facility/operation

2) Discuss the nature of the complaint or investigation with a Stormwater Inspector 3) The Stormwater Inspector will assist you in determining whether the discharge is

allowable under City, State, and Federal law. 4) Follow routine WQ investigation procedures, unless the Stormwater Inspector has

requested to take responsibility for investigating the complaint. 5) If you confirm that the facility/operation is an industrial activity, report the findings of

the investigation to the Stormwater Inspector. 6) A record of the investigation should be recorded into the Industrial Stormwater

Inspections Database. 7) The Stormwater Inspector may conduct a full compliance inspection, depending on the

scope and results of the WQ investigation.

Exception: Allowable wastewater discharges

State NPDES Wastewater Permitted Discharges

If the discharger has one of the following wastewater general permits and is in compliance with its terms, then discharges from these activities are allowed:

Non-contact cooling water, boiler blow-down, cooling tower, condensate, hydroelectric dams

Groundwater Remediation (petroleum)

Sand Dredging

Fish & Seafood-Packing/Rinsing/Fish Farms

Treated domestic wastewater from single family residences

Pesticide application according to state and federal rules


Irrigation or storage of reclaimed water

Exception: Allowable non-stormwater discharges

Municipal Separate Storm Sewer System

The City’s Municipal NPDES Stormwater Permit (NCS000249) authorizes the discharge of stormwater from the City’s Municipal Separate Storm Sewer System (MS4). This permit also authorizes a limited number of incidental, non-stormwater discharges through the MS4, “provided that no water quality standards are contravened, or expected to be contravened.” These discharges are also listed in the City’s Stormwater Management and Pollution Control Ordinance:

• De-chlorinated water line flushing • Landscape irrigation • Diverted stream flows • Rising ground waters • Uncontaminated ground water infiltration • Uncontaminated pumped ground water • Discharges from potable water sources • Foundation drains • Air conditioning condensation (commercial/residential) • Irrigations waters (does not include reclaimed water as described in 15A NCAC

2H.0200) • Springs • Water from crawl space pumps • Footing drains • Lawn watering • Residential and charity car washing (definitions in Appendix M) • Flows from riparian habitats and wetlands • De-chlorinated swimming pool discharges • Street wash water • Flows from emergency fire fighting

State Administrative Code

Several sections of North Carolina Administrative Code (NCAC) contain provisions authorizing discharges by rule or regulation. Under 15A NCAC 02H.0106(f) (2003),


additional non-stormwater discharges may be allowed, “provided that no water quality standards are contravened, or expected to be contravened.” Those discharges are:

1) filter backwash and draining associated with swimming pools; 2) filter backwash from raw water intake screening devices; 3) condensate from residential or commercial air conditioning units; 4) individual non-commercial vehicle washing operations; 5) flushing and hydrostatic testing water associated with utility distribution

systems; 6) discharges associated with emergency removal and treatment activities for

spilled oil authorized by the federal or state on-scene coordinator when such removals are undertaken to minimize overall environmental damage due to an oil spill;

7) groundwaters generated by well construction or other construction activities; 8) landscape irrigation, foundation or footing drains, or water from crawl space

pumps; 9) street wash water; 10) flows from fire fighting; and 11) excluding the provision in Subparagraph (f)(6) of this Rule, discharges associated

with biological or chemical decontamination activities performed as a result of an emergency declared by the Governor or the Director of the Division of Emergency Management and that are conducted by or under the direct supervision of the federal or state on-scene coordinator and that meet the following specific conditions:

A. the volume of discharge produced by the decontamination activity is too large to be contained on-site;

B. the Division of Water Quality is informed prior to commencement of the discharge from the decontamination activity;

C. overland flow or other non-discharge options are deemed to be impractical by the authorities conducting the decontamination activity; and

D. the discharge is not radiologically contaminated.

Additional sections of NCAC that provide for permitting by rule include 15A NCAC 02U.0113 regarding utilization of reclaimed water. They also include various sections of 15A NCAC 02T which contains requirements and procedures for permitting systems that do not discharge to waters of the state; this section covers wastewater collection systems, reclaimed water systems, various onsite wastewater systems that dispose of treated effluent by irrigation or infiltration, manure and biosolids land application, and groundwater remediation systems. These permit-by-rule provisions generally do not authorize discharges to surface waters. Both state law and wastewater collection


system permits require operators to report discharges to surface waters meeting criteria. Aside from a few pump-and-treat groundwater remediation systems, investigators are unlikely to encounter the other listed sources within city limits. If a discharge to surface drainage is found that involves one of these sources, the investigator should consult with the Water Quality Specialist supervising the investigations program.

HOW INVESTIGATIONS ARE INITIATED

Investigations are initiated by a variety of methods, including complaints and concerns from city residents and city employees, observations of city staff, water quality monitoring data, dry weather outfall screening, and weekend enforcement activities, as discussed below.

Roughly half of all investigations are initiated by reports from Durham residents, visitors, and businesses. Of the rest, one quarter of investigations are initiated by calls or e-mails from City employees outside of the Water Quality Work Group. The Stormwater Pollution Prevention Coordinator provides training for City employees likely to encounter illicit discharges. The remaining quarter of investigations are initiated by the Water Quality staff making observations in the field and when reviewing laboratory data from stream monitoring.

How Water Quality Complaints Are Reported

The WQ Section of Stormwater & GIS Services is organized to receive complaints in a variety of ways to provide flexibility for residents to report potential violations and to ensure that investigative staff can receive the complaints in a timely manner. WQ investigators can be contacted via the Stormwater Pollution Hotline (919) 560-SWIM (7946) or the WQ group email ([email protected]). An Online Reporting Form is also accessible from the City of Durham Stormwater Services website (http://bit.ly/reportpollution). Any person with access to the internet may submit the details of their complaint on the form. Once submitted, the information entered on the form is sent to the WQ group email. Complainants may also call (919) 560-4326 to access the Public Works phone directory and when prompted press “8” and then “5” to ring the WQ group phones. These phones are monitored during regular city business hours (M-F, 8 AM to 5 PM).

Some complaints are reported in person and may occur during public education events or while conducting another investigation. Other city staff report potential violations to the WQ group via email, direct call, or in person. These externally-driven investigations are addressed below.

Some investigations are initiated internally by WQ staff members, typically through direct observations while out in the community during daily work activities. These types of investigations are referred to as “Staff Initiated” investigations and are addressed below in this document.

mailto:[email protected]

http://bit.ly/reportpollution


The City also offers a “Durham One Call” hotline service (919-560-1200) for city residents who do not know what department to call for their problem. Durham One Call is supported by a computer decision-tree script that helps categorize the issues or requests in order to properly log service requests or direct calls. Stormwater Services conducts annual training of Durham One Call staff to supplement the decision tree.

Information to Collect from Callers (e.g. City Residents, Other City Staff)

The essential information that is needed to begin investigating a complaint is a description of the potential problem and a specific location (most often an address). Other helpful information is the name and address of the complainant (for calling back if information isn’t clear and to provide results of the investigation), time of day when the observation was made, associated stream or stormwater structure, citizen-provided pictures and video, and any information about a business if one was involved in the possible violation. The guidelines for properly conducting investigations are discussed below, starting on page 25 of this document.

Water Quality Staff Initiated Investigations

Staff initiated investigations are internally driven and originate from within the WQ Section. These types of investigations require immediate response, as they may be intermittent or ephemeral in nature. Typically, these investigations stem from three major sources and are discussed below: field observations and routine stream sampling (including laboratory results), outfall screening, and monthly weekend enforcement patrols.

Field Observations WQ staff members are often outdoors conducting fieldwork or driving to locations throughout the city. Staff members should use this time to be on the lookout for Stormwater Ordinance violations. In general, the most common and easy-to-spot issues are ones like discharges from mobile vehicle washing operations and businesses (especially mechanic garages) with poor housekeeping. Discolored stream water and unusual overland water flows or dry weather flows in stormwater catch basins are also common observations that should trigger an investigation.

Stream Monitoring The City of Durham has an extensive ambient water quality monitoring program that evaluates the physical, chemical, and biological characteristics of local streams. Purposes of this program include evaluation of problem areas and identification of possible illicit discharges. In obvious cases investigations may be initiated by visual observation (including color and odor) at the time of sample collection. Data generated from ambient water quality monitoring (in-situ measurements and laboratory samples) are used to trigger water quality investigations when elevated pollutant levels, indicative of an illicit discharge, are observed. These trigger levels will be used to initiate an investigation at a specific monitoring location and should be followed upstream for potential pollution sources. Indicator parameters and associated trigger levels from in-situ measurements (temperature, pH, specific conductivity, and turbidity) or laboratory


sample results (5-day biochemical oxygen demand, copper, zinc, and fecal coliform) are located in Appendix D.

Although observed conditions or in-situ field measurements can trigger an investigation, it is important to complete the scheduled ambient water quality monitoring within the required timeframe. Depending on the severity of the problem encountered, a call should be made to alert another investigator that is not performing ambient water quality monitoring; otherwise, the investigator performing ambient water quality monitoring should return to the location after ambient water quality monitoring has been completed. In the case of a sanitary sewer overflow, Water & Sewer Maintenance should be alerted immediately.

Laboratory samples may be analyzed at the South Durham Water Reclamation Facility (SDWRF) or by a contract laboratory. Fecal coliform samples analyzed by the SDWRF are generally reported to the WQ Section within 1-2 business days of sample collection when the results are >2,500 cfu/100mL. In general, results of other samples (i.e. metals, nutrients) are reported 2-4 weeks after sample collection.

The Ambient Monitoring Coordinator will notify investigators when trigger levels from laboratory samples have been met and require an investigation. Measurements or laboratory results below trigger levels may also be used to initiate an investigation if multiple parameters (weight-of-evidence) or data trends indicate an ongoing problem. Data from various other special studies performed by the WQ Section may also be considered to trigger an investigation. It is at the discretion of the Ambient Monitoring Coordinator, Assistant WQ Manager, or WQ Manager whether data trends or other study data will initiate an investigation.

Outfall Screening The dry weather outfall screening program is a requirement in the City of Durham’s NPDES permit and was designed to specifically target stormwater outfalls to detect and eliminate pollution sources. The guidance document entitled “Dry Weather Outfall Screening Standard Operating Procedures” (see link in Appendix A) details the methodology and procedures that WQ staff members follow for this type of IDDE efforts. The procedures for the outfall screening program mirror practices contained within this guidance document, although specific for dry-weather outfall screening. In short, when pollution sources are detected, investigations are triggered and follow the procedures and guidelines discussed below in this document. Some investigations begin immediately or are called in to other available investigators in the office, but are all considered staff initiated investigations.

Weekend Enforcement Patrols Violations of the City of Durham’s Stormwater Pollution Control Ordinance are not limited to City business hours. Once per month between March and November, WQ investigators will patrol locations in the City where previous violations have occurred or where violations are likely to occur. The patrollers actively seek out violations at these locations. It is common for a single patrol day to generate multiple investigations.


The WQ investigator should reference the “Stormwater Weekend Enforcement Patrol Standard Operating Procedures” (see link in Appendix A) document for guidance on conducting those duties.

SAFETY OVERVIEW The City of Durham’s most valuable resources are its employees. Under any set of circumstances, your own safety is a priority over any investigation task. Investigators must continually be aware of potential hazards when conducting an investigation. Where potential hazards exist, investigators must evaluate the potential hazard and take appropriate precautions to decrease the chance of injury.

City employees must read and understand the City’s safety policies. Safety Policy S-201: Safety Program indicates that “Each individual is in the very best position to ensure his/her own personal safety, which will impact, not only the individual but others in his/her immediate work environment.” S-201 goes on to list requirements that every City employee must observe. Safety Policy S-206: On the Job Accident Reporting and Procedures establishes requirements for employees and supervisors that will result in prompt and accurate reporting of an accident, injury or near miss.

All city employees are required to use Personal Protective Equipment (PPE) appropriate for the task or work assignment. Stormwater staff conducting investigations must wear steel-toe safety boots or shoes in the field. At certain work sites, including construction sites and certain industrial sites, hard hats, safety glasses, and ear plugs are required. Safety goggles, nitrile gloves, and other PPE are required when carrying out certain activities during a given investigation. When you are unsure about the safety requirements of an environment that you need to investigate, be prepared with your PPE duffel bag. You may also be able to call ahead to the investigation site and ask about required PPE.

Beginning in July of 2013, the Public Works Safety Officer supplied all investigators with a duffle bag containing specific Personal Protective Equipment for each investigator. Each investigator is responsible for the PPE in their respective duffle bag and for using the necessary PPE while conducting an investigation. The duffle bag includes, but is not limited to, the following:

first aid kit

insect repellant

snake bite kit

ear plugs

safety glasses

ANSI hard hat

ANSI Class II, Level III rain jacket

ANSI Class E, Level II rain pants

ANSI Class II, Level II t-shirt


If an investigator needs a particular type of PPE not otherwise provided, he or she should

discuss the need with a supervisor.

Safety Assessment Field investigators must react to a variety of scenarios when responding to complaints. Potential safety concerns should be evaluated upon arrival at an investigation location.

Hazardous Materials and Conditions

If hazardous materials have been released or there are other conditions that present danger to the public, 911 should be called immediately. In such situations, the investigator’s primary responsibility is to promote safety for all, evacuating the area, and identifying hazards where it is possible to do so safely. Investigators can assist emergency responders by identifying likely flow paths based on topography and sub-surface stormwater piping or other utilities.

Hostile Individuals

If at any time while conducting an investigation, should investigators find themselves in a confrontational situation with another person or persons, the investigator should attempt to defuse the situation. If the situation appears hostile or threatening, the investigator should withdraw. After safely withdrawing, the City of Durham police department should be contacted and requested to arrive on-scene to assist in completing the investigation.

Animals, both domestic and wild, can also present a danger and investigators should use their best judgment in determining their safety risk.

Roadway Hazards In some cases it may be necessary to park along a roadway, or it may be necessary to inspect, observe, or sample from a catch basin or other structure along a roadway. Staff must be aware of potential hazards from roadway traffic. Safety measures (such as activating vehicle safety strobe lights, wearing ANSI Class II safety vests, and setting out traffic cones) should be implemented to reduce road hazards.

In rare cases, such as when dye testing to confirm a connection, it may be necessary to implement a traffic control plan to safely access manholes or other structures. Most often, a traffic control plan is implemented during investigations conducted jointly with Water and Sewer Maintenance, which involves blocking a lane of traffic and providing traffic control-signal staff to safely route traffic. Investigators not familiar with traffic controls should consult with more experienced staff, their supervisor, or the Public Works Safety Officer.

Other Hazards In addition to roadway traffic, staff must be aware of other dangers of working in urban areas. Hazards that may be present include sharps (glass shards, needles, wire, etc.), construction debris, uneven and slippery terrain, and miscellaneous trash. Leather work gloves must be worn


when investigators are exposed to sharp materials. Investigators must be vigilant to reduce the possibility of accidents and injury while conducting investigations.

Staff should be aware of seasonal hazards such as exposure to cold, exposure to heat, insects and snakes, and poisonous plants. Ticks and mosquitoes may carry insect-borne diseases such as Lyme disease, Eastern Equine Encephalitis, and West Nile virus. Staff should take appropriate precaution in selection of clothing, selective use of insect repellants and a thorough check for ticks after every day in the field. If an employee is especially sensitive to poison ivy, oak, or sumac then protective lotions or clothing should be used.

Injury Response and Reporting

Vehicles routinely used by Stormwater investigators should be provided with first aid kits which should be used for minor injuries. Staff member duffle bags also include first aid kits which staff may use in the rare instance that a Public Works pool vehicle is being used. Employees are required to promptly report on-the-job accidents, injuries, and illnesses to their supervisor and the Public Works Safety Officer, and follow the additional reporting requirements of Safety Policy S206: On the Job Accident Reporting. All employees must be familiar with and follow procedures and deadlines for all Workers’ Compensation claims. If an injury occurs during field operations, the supervisor or team leader will be responsible for transporting the injured employee for medical attention as warranted. In the event of an emergency, call 911 or transport the employee to the nearest hospital. For minor injuries, S206 directs that employees injured during working hours should be taken to the City’s Employee Health Service provider (Concentra Urgent Care); and after working hours, employees should be taken to any Duke Urgent Care facility, Durham Regional or Duke Hospital. The City of Durham general safety procedures are located on the City’s intranet under Policies, or at: http://codi/sites/policy/SitePages/Home.aspx under Safety Program (S201) and On the Job Accident Reporting (S206).

New employees must successfully complete OSHA First Responder Training as soon as it is offered.

Confined Spaces

Investigators need to be especially aware of OSHA regulations regarding confined space entry. During the course of an investigation WQ staff members may need to enter a confined space, but certain types of confined spaces should not be entered. A brief discussion on confined spaces follows below; however, investigators should familiarize themselves with the specific regulations regarding confined spaces. A link to this information is provided in Appendix A. OSHA 29 CFR 1910 defines a confined space for general industry as follows:

Configurations of a work area that hinder the activities of employees who must enter, work in, and exit them. A confined space has limited or restricted means for entry or

http://codi/sites/policy/SitePages/Home.aspx


exit, and it is not designed for continuous employee occupancy. Confined spaces include, but are not limited to underground utility vaults, tanks, storage bins, manholes, pits, silos, process vessels, and pipelines.

Permit-required confined spaces (29 CFR 1910.146) contain hazardous conditions that pose a definite or potential health risk which could result in a serious injury or death. These conditions include noxious gasses, trapping and asphyxiating hazards, exposed live electrical wires, or unguarded machinery. WQ investigators should never attempt to enter a permit-required confined space. If an investigator is unsure of the conditions of a work area, then the Public Works Safety Officer or the Safety Officer from the City of Durham’s Risk Management Department should be contacted to determine if the work area requires a permit to enter. WQ staff members should keep in mind that if a space does not meet the regulatory requirements of being a confined space, this does not imply that the space is without hazards. Relevant examples of categorically classified spaces are listed below:

Sanitary sewer manholes, lift stations, and wet sumps – Permit-required Confined Spaces (noxious gasses)

Stormwater pipes less than or equal to 18 inches in diameter – Not a Confined Space

Stormwater pipes greater than 18 inches in diameter – Non-permit Confined Spaces1

Catch basins less than or equal to 36 inches deep – Not a Confined Space Catch basins greater than 36 inches deep – Non-permit Confined Space* Stormwater manholes – Permit-required Confined Spaces (oxygen deficiency)

INVESTIGATION PROCESS OVERVIEW

Team Member Roles

Investigations are often conducted by two staff members as part of an investigation team. One member will be designated as lead investigator and normally will be the primary contact for communications with complainants, property owners, potential responsible parties, state regulators, etc. When an investigation is conducted by two people, either may collect data, and either may record information on investigation field forms. However, the lead investigator will normally handle obtaining right-of-entry permission, and will be responsible for investigation information and control over evidence. The lead investigator will enter investigation information in the WQ Investigations Access database, will be responsible for making sure that digital photos are downloaded, and will normally sign chain-of-custody forms for any laboratory samples collected.

1 Requires the investigator to remain in constant contact with another staff member residing outside of the

entered space.


The lead investigator has primary responsibility for conducting water quality investigations in accordance with the general principals and procedures of this document; however, each member of an investigation team must be thoroughly familiar with principles and procedures for conducting investigations.

Collection and Control of Evidence

When conducting an IDDE or water quality investigation it is important that information and evidence be gathered using procedures intended to recognize property and privacy rights. Following proper procedures reduces the possibility that evidence tending to show a party’s guilt will be excluded from use in Water Quality enforcement hearings or if the enforcement case is brought before a court.

All physical evidence (notes, forms, and pictures) is stored in a secured area on the third floor of City Hall that is inaccessible to the general public. Additionally, electronic records in the WQ investigations Access database can only be edited and accessed by staff members in the WQ Section. This level of security ensures that evidence supporting on-going cases is not compromised.

Entry onto Premises

As detailed below, the City’s process of collecting evidence is first to observe from public areas or from property where permission has been granted, then ask for permission to enter property to conduct an investigation. In many cases it is possible to document a violation without entering property, but that entry would be useful to help assess the source and cause, and to evaluate what may be needed to eliminate an illicit discharge or other violation. Investigators have been very successful in obtaining permission to enter property. However, when permission is not granted, investigators should be aware of the conditions under which a search warrant may be obtained.

As a government agent, an Investigator has a duty not to intrude on peoples’ privacy. The Fourth Amendment to the U.S. Constitution provides people with protection against unreasonable searches by the government. In the context of WQ investigations, a “search” occurs when an Investigator enters upon property seeking out evidence of an ordinance violation. In sum, it would be unreasonable and illegal for an investigator to search an area that a person (or business) takes steps to keep private.

If, during an illegal search, an investigator collects evidence of a violation, that evidence will be excluded from use in enforcement actions against the accused violator (this includes any “hearing” held by WQ as well as any civil or criminal proceedings). Along the same lines, if an investigator collects evidence during an illegal search that leads to the discovery of additional evidence, that additional evidence is also excluded.


In the absence of permission to search a property, the appropriate way for an investigator to enter property to conduct a search is to obtain a valid search warrant (discussed in the next section).

An investigator may conduct a search in a way that is not “unreasonable” when it is conducted either 1) from an area covered by the “plain view” doctrine; or 2) on the premises with the consent of a person with authority to give it.

The Plain View Doctrine

Simply, there’s no reasonable expectation of privacy if a thing is in plain view. If the investigator is lawfully present in a place where he can plainly see, smell, or hear the evidence and the unlawful character of the evidence is immediately apparent, there is no infringement of 4th Amendment rights if the investigator records his observations and uses them as evidence.

This means that prior to entering a site or property, evidence may be collected by observing conditions and violations from places like:

City streets and sidewalks

City easements

City property

Public areas such as parks

Adjacent private property once the investigator is granted consent (or a warrant) to enter

Business areas open to the public such as: o Customer parking lots o Sales floor o Reception area

Without consent or a warrant, an investigator should avoid entering places like closed maintenance bays, sheds, office areas, fenced or walled off areas, or other places marked as “Authorized Entry Only” (or similarly marked). Additionally, avoid peeking into windows or other openings of homes or businesses while standing immediately adjacent to or within a few feet of the home or business – that area is private too.

Consent to enter premises

In the absence of a search warrant or a plain view to evidence of a violation, consent must be granted before an investigator records observations or collects evidence from areas that would be unreasonable to search. The investigator should always include in the investigation notes the name or names of individuals who granted, denied, or revoked consent to enter. Remember that once given, consent may be limited or revoked at any time.


No individual is required to give consent. Threats, tricks, or bluffs should not be used to coerce an individual to grant consent.

As a first step, Investigators should identify themselves, show their City credentials, and explain the reason for requesting consent to enter and investigate for specific conditions in specific places (i.e. “Hello, I’m John Connor. I work for City Stormwater Services. Here’s my City identification badge. May I please come in and put tracing dye in your drains to check for a sewer leak we suspect may be coming from a home on this street?”). Generally, any person who has control over, the right to joint access of, or authority over a property may grant consent to a search.

A person with control over property could be:

The property owner o Though if the property is in the possession of a tenant, the property owner can

only give consent to enter under certain circumstances (usually described in the lease)

The tenant o See the note under property owner.

When dealing with co-tenants or co-owners, any of the tenants or owners may grant valid consent to enter the premises. However, it only takes a single tenant or owner to object or revoke the consent.

When seeking consent from a non-owner, tenant, or other possessor of property, the investigator needs to know: Does this manger/sales associate/mechanic/other employee have the authority to act on behalf of the property owner, business owner, etc. to grant consent to enter the premises?

The surest way of confirming the authority of a person is through direct communication with the property owner, business owner, etc. For example: A property owner tells the investigator that their caretaker is authorized to grant consent to enter the premises. This degree of certainty is ideal, but not always necessary.

An individual may have authority to grant valid consent to enter the premises if: 1) the person he’s acting on behalf of has given him the appearance of authority; 2) the investigator reasonably believes the individual to have authority; and 3) the investigator’s belief is based on the appearance of authority that was given.

For example:

An investigator, Harley, visits an auto mechanic shop to conduct an inspection. Bruce, the owner, is not present, but an individual named Alfred, wearing the shop’s uniform and a name tag greets her (appearance of authority given by Bruce). Alfred tells Harley that he is an employee and as part of his job duties can access all of the areas of the


shop that Harley needs to search. He tells her that she has permission to look around for compliance issues. It would be reasonable for Harley to believe that Alfred has authority to grant this consent because he is wearing the uniform provided by Bruce, has access to relevant areas of the shop, and actually does grant the consent. Had Alfred told Harley that he was unsure as to his authority to grant consent, then it would be improper for Harley to assume he had authority.

Some Final Notes on Entry

When in doubt as to the legality of entry, an investigator should not take any risks. Except in the case of emergency, if an owner, manager, or other supervisor is not available, it is usually best to return another time when such a person is available.

Remember that observations from plain view areas are often all that is needed to either cite a Code violation or use as supporting evidence in an affidavit for an administrative search warrant.

Administrative Search Warrants

If an investigator must investigate private property and cannot get consent to enter or observe via a plain view area, then an administrative search warrant is required. For WQ investigation purposes, a warrant is a court order issued by a magistrate authorizing investigators to conduct an investigation of a location for evidence of a violation and collect evidence if found.

To obtain a search warrant under N.C.G.S. § 15-27.2, one of the following must be true:

There must be probable cause to believe that a violation has occurred or is occurring on the property; or

The property is to be inspected as part of a legally authorized program of inspection that includes the property

The above conditions correspond to the two types of administrative search warrant options available to WQ staff members: particular condition or activity (a.k.a. probable cause) warrant and periodic inspection warrant, respectively.

Particular Condition or Activity (a.k.a Probable Cause) Warrant

This type of warrant is used primarily for investigations where there is probable cause for believing that there is a condition, object, activity, or circumstance which legally justifies such a search or inspection of that property.

Sources of probable cause can be categorized into four groups: observation, expertise, circumstantial evidence, and information. Investigators typically use visual and olfactory observations most frequently to collect probably cause evidence. Results from field indicator test kits may also provide probable cause evidence. WQ investigators also rely on their training


and expertise to identify potential probable cause evidence, such as looking for car washing operations and improper grease disposal. Circumstantial evidence can consist of evidence of pollution near the source of the violation, but without a direct observable link. Investigators frequently observe soapy water discharges downstream of a fenced-in residential yard which can provide probable cause evidence to seek an administrative search warrant. The last category is information given to WQ investigators from complainants in the form of pictures or signed affidavits. This type of information can be useful in establishing probable cause evidence to bring to a Magistrate when seeking a search warrant. Evidence to support a probable cause warrant should be collected from street rights-of-way, public areas, or from adjacent property when the owners have given permission to enter. Photos or affidavit statements provided to investigators by complainants may also be used to support a probable cause warrant provided the evidence was not obtained by trespass. In fact, when possible, any statement by a witness should be in the form of an affidavit or signed document.

Periodic Inspection Warrant

Typically, routine inspection warrants are utilized by Stormwater Inspectors and are used for accessing industrial sites and other businesses and operations subject to a program of routine inspection, such as established by the Inspection Program. Use of this type of warrant is beyond the scope of this document. For further information refer to the Industrial Stormwater Inspection Program SOP (see link in Appendix A).

Applying for a Warrant

To apply for either warrant, an investigator must complete the appropriate affidavit (AOC-CR-913M for probable cause or AOC-CR-914M for periodic inspection). Web links to both affidavits may be found in Appendix A. A copy of the probable cause affidavit may be found in Appendix C.

For the probable cause warrant, the affidavit should be completed using evidence that amounts to a substantial basis for probable cause that a violation has occurred or is occurring on the premises. Mere conclusory statements, such as “There is an illicit discharge occurring on the property, therefore we must enter to search for evidence,” are not sufficient to support probable cause. The investigator should fully explain her basis for probable cause, using relevant, lawfully obtained evidence such as investigation notes, pictures, and witness statements. For the periodic inspection warrant, the affidavit should be completed with a description of how the place to be inspected is subject to an inspection program, including evidence such as copies of the business’s stormwater permit.

Some advice when preparing the affidavit:

It is unlikely that the magistrate will be familiar with the WQ Investigation program or the City’s Stormwater Management and Pollution Control Ordinance. Include a copy of


the ordinance with the relevant section(s) highlighted, such as § 70-525, which gives authority to enter, inspect, and monitor public or private properties.

Attach hard copies of evidence and supporting documents: permits, photos, witness statements, maps, diagrams, etc.

Avoid using jargon. Remember your audience is someone who probably has no experience with the technical aspects of stormwater.

Bring 3 hard copies of the affidavit and supporting documents with you.

A draft of the completed affidavit should be submitted to the WQ Manager for review prior to submission before the Magistrate. In addition, it is recommended that investigators also review evidence and details of an investigation with, and submit a draft of the affidavit to, a representative of the City Attorney’s office.

Once the affidavit is finalized, it must be brought to the Magistrate’s Office, located at the Durham Detention Center on S. Mangum Street. The Magistrate’s job is to make a practical, common sense decision whether, under the totality of the circumstances, there is a fair probability that evidence of a crime or violation will be found in a particular place. The investigator will be required to swear an oath or affirmation as to the truth of the affidavit. The investigator may also be required to answer the Magistrate’s questions about the warrant application. If the application is not approved, the Magistrate will give the grounds for denying it. The investigator may need to gather additional evidence and resubmit the affidavit.

If the application is approved, the investigator will next need to execute the warrant without undue delay.

Executing a Search Warrant

All administrative search warrants are valid to be served and executed for only twenty-four (24) hours after they are issued. Warrants must be served personally to the property owner or tenant between 8:00 a.m. and 8:00 p.m. If the owner or tenant is not present at the time of the search and reasonable efforts made to locate him or her have been made and failed, entry may be conducted once the warrant or a copy of it is affixed to the property.

It is a good practice to request a police escort when serving and executing the search warrant, both as a personal safety measure and a property damage liability measure.

Once the warrant is executed, it must be returned to the Magistrate within forty-eight (48) hours.


WATER QUALITY INVESTIGATION PROCEDURES AND GUIDELINES

Investigation Preparation

Before responding to a complaint, employees should verify that they have the necessary equipment and supplies they need to carry out the investigation, including safety equipment. Equipment needed may vary from one investigation to another. Some equipment and supplies are normally kept in vehicles while other equipment is normally stored in the office or lab until needed. Appendix E provides an equipment checklist, including safety equipment, to assist in planning investigations.

An important step prior to leaving the office is to confirm if the location of the water quality complaint is within the City limits. An investigator should use the City and County jurisdiction layers in ArcGIS to determine if the complaint should be investigated by City or County staff. If the water quality complaint is located in the County outside the City’s jurisdiction, then the complaint must be reported to the Durham County Stormwater and Erosion Control Division. Depending on the nature of the complaint, an investigator may need to report the complaint to other Durham County agencies and NCDENR.

It is also important to be prepared for identifying, documenting, and tracking down a potential pollution source before an investigator leaves to conduct an investigation. An investigator must use their judgment to decide what equipment or information might be needed to conduct an investigation which may include sampling equipment, tracing dyes, water chemistry meters, maps, safety vests, and tools. An investigator must also decide if an assisting investigator is needed to provide support or serve as a witness when preparing for a field investigation. Any additional information relevant to the investigation should be obtained in the office prior to leaving. This may involve ArcGIS mapping of the properties and utilities, researching the property owners and contacting the complainant to get additional information regarding the specific nature and location of the complaint (see the Office Investigation Section on page 33).

All WQ complaints and investigations are assigned a specific investigation number which is recorded on the Water Quality Complaint Log Form. The WQ Complaint Log Form is an Excel document that all investigators can access on the WQ Section shared drive (see Appendix H or follow the link in Appendix A). Each investigation number is assigned based on the year and the order in which it was recorded on the log form (typically in chronological order). For example, in the investigation number 12WQ133, the 12 represents 2012, WQ is the abbreviation for Water Quality, and the number 133 refers to it being the 133rd investigation conducted that year. A new numbering system is initiated at the beginning of each calendar year, and a new log form is created at the beginning of each fiscal year. The lead investigator and assisting investigator names are entered into the form, as well as, a brief description of the complaint and complaint address/location. The lead investigator’s name is entered into the


column for “Database Entry” and is responsible for database entries, enforcement activities (including penalty assessments and NOVs), and follow-up investigations for that particular investigation. The initial investigation and NOV/letter sent dates must also be recorded on this log form.

Field Investigations

Investigators responding to a water quality complaint should take the time to look for other water quality violations (see page Error! Bookmark not defined. of this document) in addition to observing evidence regarding the original complaint. Some investigations require only direct visual observations, such as illicit vehicle washing activities, while others require field testing to confirm a violation has occurred. WQ investigators typically use field sampling equipment, indicator test kits, and other water quality testing instruments to measure for indications of potential pollution. These measurements should be performed according to the manufacturer’s specifications. Investigators should refer to specific test kit instructions described in the guidance document entitled “Outfall Screening and Monitoring Standard Operating Procedures” (see link in Appendix A) General ways to discover or trace pollution violations in the MS4 or receiving stream are discussed below, followed by common types of investigations.

Once contamination is suspected there are various strategies and techniques that can be used to trace the source. All of these techniques were developed to find and eliminate illicit discharges, but it is up to the investigator to decide which is the most appropriate for a specific situation. Tracing upstream sources using water quality instruments or indicator tests is a reliable technique for tracking pollution sources. However, a measureable parameter must be first observed to track upstream following an increasing presence of that parameter or indicator. Ammonia used as an indicator for sanitary sewage works well for tracking upstream sources. Low level measurements at the end of a pipe or in a catch basin can be compared to upstream sources for increasing concentrations. This method can also help determine which pipe at an intersection leads to the pollution source, while eliminating another pipe/potential source. The pipe is then followed up to the next intersection where samples can be taken. Investigators should then follow the increasing concentrations until a source is identified.

Options for tracing the source of an illicit discharge are discussed in the guidance document entitled “Illicit Discharge Detection and Elimination, A Guidance Manual for Program Development and Technical Assessments” (see link in Appendix A). Section 8.2 “Isolating Illicit Discharges” of this document, discusses the strategy options of (1) working progressively up the trunk, (2) splitting the trunk and testing strategic points, or (3) working progressively down the system. A fourth option may be considered where the discharge has identifiable characteristics that suggest a specific source type which has a limited number of source candidates, such as fluorescent green color indicating possible radiator flushing. In such cases, the investigator may elect to targeted specific sources either based on local knowledge or on information available in GIS on the tablet PC computers.


Working progressively up the trunk of the system can take time, but it usually does not require much knowledge of the drainage system.

Investigators typically have access to a full range of GIS data on a tablet computer or more simplified GIS data on Trimble handheld GPS units that can be used to more efficiently guide efforts to locate a source. The tablet computers display detailed surface topography (2-foot contours), drainage network of inlets, pipes, and open channels. Other information is available that can help identify potential sources such as parcel ownership, zoning, aerial photography, water and sewer utility pipes, locations of industrial stormwater permits and industrial zoning, etc. These resources can be used to identify the general area of interest where the source should be located. They can also identify critical branches in the drainage system, and sometimes identify potential sources to investigate. The GIS coverage of the drainage network is quite extensive. Stormwater pipes 12-inches and larger are mapped throughout the City including on both public and private property. Generally pipes smaller than 12-inches serve an individual parcel (home or business) and are not extensively mapped.

Having access to these GIS resources in the field facilitates using the more efficient strategy of splitting the trunk and testing strategic locations. Testing at the midpoint of a long pipe segment essentially cuts the target area in half; if the midpoint does not show contamination, the investigator can back-track to another downstream location. If contamination is present then the target search area is upstream. A variation of this procedure is to sample at strategic locations where two or more pipes come together, sampling each to determine which tributary is contributing the contaminated flow.

Targeted investigation of specific candidate locations can be very efficient in certain situations. It is sometimes possible to narrow the search to a small number of locations, based on knowledge of businesses in the area, zoning, or other information so that the likely target may be related (i.e., automotive maintenance).

In some cases targeted investigation methods can also be used with sanitary sewage, which is a pollutant frequently found during investigations. Sometimes when sanitary sewage is found in a stormwater pipe, it has entered after exfiltrating from an overlying sanitary sewer pipe. The City has mapped locations where the sanitary sewer system crosses a stormwater pipe or open channel. Where invert elevation data is available the elevations have been used to determine where the sanitary sewer is above the stormwater pipe or drainage channel. This data has been used to develop a point layer showing the crossing location, which system is above the other, and the pipe material for the sanitary sewer. Vitrified clay sewer pipe material indicates much older pipe that is more likely to exfiltrate wastewater. This crossing layer is small enough to store the entire layer on the handheld Trimble GPS units for source tracking. The layer (gis_data.A1.sewer_storm_crosses) in the City’s enterprise GIS system is updated regularly based on collection of additional invert elevations for both systems. WQ investigators should check that the crossing layers on the tablet computers and on the Trimble are up-to-date quarterly.


Tracing dyes may also be helpful when testing for suspected illicit connections or confirming properly connected systems. Illicit connections or damaged connections result in dye showing up in the MS4, nearby stream, or other stormwater conveyance system. Alternatively, dye from a properly connected system will show up in the sanitary sewer system. This method typically requires more than one investigator. One team member applies the tracing dye into the suspected pipe or system and another member sets up at a downstream location (sewer manhole, stream, or end of a suspect pipe) to detect evidence of the tracing dye. Flushing water after dye application can speed up the time it takes for the dye to be detected. If more than one suspected pipe or system is involved, different tracing dye colors should be used. If there is a potential for the tracing dye to come out in a storm drain or stream, investigators should follow procedures for contacting Durham County Emergency Management and other parties (for a full list of who to contact to report release of non-toxic tracing dyes, see Appendix J) to notify them of the dye test. Some investigations require several hours before the tracing dye is visible and investigators should make sure to follow up at a later time.

Occasionally, sources of pollution can enter the MS4 through cracks or holes in the pipe itself and sources would otherwise remain unidentifiable. WQ investigators can request Stormwater Street Maintenance or Water & Sewer Maintenance video inspectors to assist with an investigation. The use of a mobile crawler video camera can find sources entering a pipe that investigators have no other means of accessing. Video cameras also have the advantage of measuring the distance to the source and can be used to identify or eliminate areas where potential pollution sources originate. Investigators also have access to a less intrusive handheld pole camera that requires much less set up and effort than the tractor cameras to look for potential pollution infiltration into the MS4. This pole camera can be inserted down a catch basin or manhole to look down a pipe; while it does not go into the pipe, it can often give investigators enough evidence to either confirm a pollution source is entering the MS4 or to justify contacting one of the video camera inspection crews from Water & Sewer Maintenance, Stormwater Street Maintenance, or a private contractor hired by the Stormwater Infrastructure Group. The Stormwater Development Review Section is in charge of storing and maintaining the pole camera.

Occasionally, water samples need to be taken to confirm and quantify specific pollutants that field equipment is not able to detect. Investigators take samples to the water chemistry laboratory at the South Durham Water Reclamation Facility. The lab must be notified before the sample is taken to ensure they are able to analyze it within the proper hold time. Once the sample is taken, it should be stored according to the sampling requirements used for the ambient monitoring program or proper sample handling procedures if sampling for an atypical parameter. Sampling requirements for the ambient monitoring program can be found in the document, “Ambient Water Quality Monitoring Quality Assurance Project Plan (QAPP)” (see link in Appendix A). A properly filled out chain-of-custody form should accompany the sample with a specific sample name (typically, the WQ investigation #) and the requested analysis.


Investigators should keep in mind that if they find a problem or violation, they should contact the responsible party as soon as possible; however, it may take some time and research to identify the responsible party and to acquire contact information. The responsible party should be made aware of the problem, expectations of corrective actions, and potential penalties associated with the investigation.

Common types of investigations and general investigative guidelines are discussed below. Departmental and agency contacts are listed in Appendix J with the services they provide and contact information for common problems encountered while conducting most investigational situations. A link to this document can be found in Appendix A.

Sanitary Sewage Related Investigations

From the City-owned or operated system

Historically, one of the most common2 calls investigators receive is to respond to a Water & Sewer Maintenance report of a sanitary sewer overflow, where WQ staff members are needed to assist in tracking the spill in a stream and finding a location to set up a pump. Investigators work with Water & Sewer staff to ensure discharged sanitary sewage is contained, collected, and disposed back into the sanitary sewer system. Often this requires WQ staff members to coordinate efforts for proper remediation of the affected areas and provide testing of stream samples to effectively contain the sewage in the stream.

Notices of Violation (NOV) are not issued by WQ investigators to the City of Durham Water Management Department for these types of municipal spills.

From a privately-owned or operated system

Other sewage related investigations involve private on-site wastewater treatment failures (from septic and sand filter systems), illicit connections to a receiving stream or stormwater system, and leaking or overflowing private sewer service laterals or pumping stations. Some of these may be discovered by tracking high ammonia or fecal coliform numbers to a source, but are often reported by private citizens. If a private system is found to be failing or illicitly connected, the investigators should work with the owners to ensure that they properly control and remediate the discharge.

Issuance of a NOV is typically done to document the occurrence of the discharge and to encourage compliance and timely and complete remediation efforts by the responsible party. When necessary, Water Quality can use progressively stronger forms of enforcement (See the document “Official Water Quality Section Enforcement Guidelines” for details) to achieve compliance and to ensure adequate preventative maintenance to prevent or reduce discharges.

2 SSOs from the city’s collection system have been declining in total volume and frequency.


General Practices applicable to both types of systems

If a discharge of sewage is suspected, investigators should test samples of the contaminated water using CHEMetrics ammonia indicator field test kits. Ammonia levels of 2 mg/L or greater usually indicate the presence of sewage and should initiate procedures to trace the source. Ammonia levels between 1 mg/L and 2 mg/L should be viewed as suspicious, triggering additional evaluation by the investigator, which may be to perform additional field tests for other indicators (conductivity, methylene blue active substances (MBAS), etc.) or to proceed to source tracing, depending upon the circumstances. Care must be taken when sampling water using a colorimetric indicator test kit to compensate for the background color of the water sample itself when interpreting the results. When recommending a location for pump setup, ammonia CHEMetrics tests run on samples from the location should measure less than 2 mg/L. Investigators should refer to the guidance document entitled “Outfall Screening and Monitoring Standard Operating Procedures” (see link in Appendix A) for field test kit instructions and how to interpret test kit results.

Illicit Vehicle Washing Operations Investigations

General Guidance

Vehicle wash water is considered to be a wastewater carrying in it many stormwater pollutants. These types of illicit discharges may be either direct or indirect, depending on the circumstances. Water Quality does not enforce the illicit discharge of these wastewaters under certain residential and charity circumstances (refer to Appendix M for more details).

As the City educates more members of the public about stormwater pollution prevention and types of violations, illicit vehicle washing violations are more routinely reported to the WQ Section. These types of reports are most common during the warmer months.

Most often, this type of investigation relies on eyewitness reports from either WQ investigators, other City employees, or from the public. A WQ investigator should respond to a complaint of a vehicle washing violation as soon as possible to attempt to observe the responsible party in commission of a violation.

WQ investigators are trained to collect and document the required evidence needed for enforcement action, such as taking photos and interviewing suspects to get names and addresses of business owners. This evidence is sufficient to proceed with enforcement actions.

The amount and quality of information that investigators get from the public varies widely. Unfortunately, unless a complainant can provide a photo of the responsible party committing the violation, investigators often have insufficient information required to pursue enforcement action. Even if the complainant gives insufficient evidence in the report, the investigator should make reasonable efforts to investigate the complaint.


Weekends during the warm weather months are a common time for these types of businesses to operate. Weekend enforcement patrols should be on the lookout for violations at these businesses.

City Authorization Program

Any mobile vehicle washing outfit that wants to operate or do business in the City must first be authorized by Water Quality. All businesses wishing to operate in the City must also pay a privilege tax to the Finance Department. Water Quality and the Finance Department have put in place a notification system. When a business that describes itself as doing mobile vehicle washing goes to pay its tax, it is referred to the Water Quality section for authorization.

To be in compliance with City Ordinance, mobile vehicle washing operations must properly 1) contain, 2) collect, and 3) dispose of vehicle wash water into the sanitary sewer system. Before the operation may begin doing business, it must perform a demonstration for WQ staff to prove that its washing staff can properly and effectively perform the above three requirements. If the demonstration is successful, an authorization form is given to the business to keep with them at all times of operation and present upon request.

Reporting Major Spills to State Regulators, Generally

The City is required to report to State Emergency Management “all discharges that constitute an imminent threat to health or the environment.”

Investigators should report discharges if they might be toxic, if they involve a sufficient volume of sewage that might cause a fish kill, if they are likely to be reported to Emergency Management because of the public impact (odor over a large area), etc.

These reports are to be made “within 24 hours by phone or email to the Division Regional Office during business hours, or to the NC Division of Emergency Management State Operations Center hotline outside of business hours.”

The Division of Water Resources contact information and the Emergency Management State Operations Center hotline number (also known as the State Warning Point number) are listed in Appendix J.

Reporting City or County Sewer Spills to the System Operator

The City and the County each operate a wastewater collection system within portions of the City of Durham. The operator is responsible for reporting spills from its system to the State. If a potential SSO is found, the investigator should report it immediately to the appropriate utility staff for investigation and reporting.


Reporting Private Sanitary Sewer Spills to State Regulators

Discharges from private sewer lines and pumping stations “that constitute an imminent threat”

shall be reported as soon as reasonably possible but in no case longer than 24 hours by the

investigator. In addition to the guidelines in the previous paragraph, private sewage discharge

should be considered an imminent threat when:

1,000 gallons or more are discharged to the ground

any amount of discharge to surface waters that causes dissolved oxygen less than 4

mg/l

any discharge to a ditch or storm drain of 100 gallons or more

Reporting Spills of Hazardous Substances to State Regulators

How to call

The State DENR Environmental Emergency phone hotline is 1-800-858-0368. When calling, be prepared to give a statement including: the time and date of the spill, a description of the incident causing the spill, the type of substance spilled, the approximate volume of the spill, the responsible parties, and any containment or remedial actions done or underway. Make a note of the time and date of the call, as well as the person you spoke to. As of the time of this writing, the State does not assign report numbers to these types of hotline calls.

When to call

The quantities and reporting times vary. The quantities of hazardous substances are available at

the following Web site: www2.epa.gov/epcra-tier-i-and-tier-ii-reporting/consolidated-list-lists.

Hazardous substances are reportable only if the spill exceeds the reportable quantity.

Reporting Petroleum Spills to State Regulators

How to call

The State DENR Environmental Emergency phone hotline is 1-800-858-0368. When calling, be prepared to give a statement including: the time and date of the spill, a description of the incident causing the spill, the type of petroleum spilled, the approximate volume of the spill, the responsible parties, and any containment or remedial actions done or underway. Make a note of the time and date of the call, as well as the person you spoke to. As of the time of this writing, the State does not assign report numbers to these types of hotline calls.

When to call


The reporting requirements for petroleum products are in North Carolina's Oil Pollution and Hazardous Substances Control Act of 1978, N.C.G.S § 143-215.85(a) and (b):

IF the petroleum discharged, released or spilled:

is 25 gallons or more, OR

causes a sheen on nearby surface water, OR

is 100 feet or less from surface water body,

THEN the person owning or having control over the oil must immediately take measures to collect and remove the discharge, and report the discharge to NCDENR within 24 hours of discharge, and begin to restore area affected by discharge.

IF the petroleum released or spilled:

Is less than 25 gallons, does not cause a sheen on nearby surface water, AND is more than 100 feet from surface water bodies,

THEN the person who owns or has control over the oil must immediately take measures to collect and remove the discharge. If it cannot be cleaned up within 24 hours of the discharge or causes a sheen on nearby surface water, the person must immediately notify the NCDENR.

If the petroleum released or spilled in any circumstances does not meet one of the above requirements, or is not permitted by GS 143-215.1, or it is not pursuant to a rule adopted by the Environmental Management Commission or, a regulation of USEPA, it must be reported to NCDENR immediately.

Office Investigations

Office investigation includes doing research on various things. Investigators routinely need to search for the parties responsible for violations or issues, find mailing addresses and contact information, figure out the extent of a violation’s impact, coordinate with other agencies, research online business records, and many other in-office tasks.

Identifying and Contacting Responsible Parties

Identifying a party responsible for property, a violation, or an issue can often be completed in the office. Sometimes, if an investigator cannot get this information while in the field, this phase must be conducted from the office. What does “responsible” mean? Responsible, according to the City Stormwater Ordinance § 70-493(b), is defined as:

a person or party having direct or indirect control over the occurrence of an action, incident, or condition. Responsibility includes the ability to control what occurs on property through ownership of property, or through ownership, control, or management


of a business, organization, or other entity whose activities occur on property and cause in part or in whole the action, incident, or condition. Causation may be through deliberate action or through negligence, omission, or inattention.

What about “person” or “party?” The City Stormwater Ordinance § 70-493(b) also defines those words as:

any individual, partnership, co-partnership, LLC, firm, company, corporation, unincorporated association, organization, joint-stock company, trust, estate, institution, governmental entity or any other entity that owns a property, conducts a business, or controls management or activities.

To combine the terms, the phrase “responsible parties” may include individuals or business owners that directly or indirectly control the activities for a property where a violation has occurred.

Office investigations may be used to determine ownership of property (land, buildings, etc.), businesses, vehicles, and more. Refer to Appendix I, where there are web links to agencies and other online sources of information that can assist investigators in making these types of ownership determinations. The corporate search site on the NC Secretary of State link is useful in identifying business owners that are difficult to track down by other means, and business filings (annual reports, etc.) may contain additional or more current contact information than is available from other sources. In addition to the links and agencies provided in the appendix, investigators can find land parcel ownership information available in City GIS spatial datasets and additional mapping tools on the City’s website.

Often, the method used to identify the responsible party will also reveal a mailing address. If the responsible party is a business operating in the City, the investigator may be able to contact the City Finance Department to get phone numbers for the business. If the responsible party owns land in the City, the Stormwater Billing section may be able to find phone numbers as well.

Other investigative procedures that can be conducted in the office are for collecting or relaying additional information related to an investigation that do not require investigators to be on-site at the location of the violation. These activities could include correspondence with complainants, responsible parties, regulatory agencies, or discussing enforcement options with Stormwater & GIS Services or WQ management staff members.

Complaint Follow-ups

Follow-up investigations are done to document corrective actions taken by a responsible party, as directed, in response to a water quality violation. Depending on the severity of the violation, how much progress the responsible party has made, and deadlines for corrective actions, multiple follow-up investigations may be required to ensure and document compliance. These


investigations do not require another investigation number or new form, but it is recommended that investigators use the supplemental or follow-up investigation form (Appendix G) for documentation purposes. Details of follow-up investigations are stored in the original file folder and updated in the investigations database as a new task. Investigators should conduct a follow-up investigation or site visit to document compliance no later than five (5) business days after a compliance deadline date.

Investigation Form Completion and Database Entry Procedures A standard operating procedure document was specifically produced for investigators to follow to properly document evidence collected during investigations. This document, entitled, “Water Quality Investigation Form Standard Operating Procedures” (see link in Appendix A), provides guidance and procedures on how to properly fill out the paper and Access database versions of the WQ Investigation form. Investigative staff must be familiar with and adhere to the requirements and guidelines of this document. This document also provides the means to ensure consistency and accuracy when completing these forms and is intended to be used as an internal quality assurance measure.

DOCUMENTATION PROCEDURES WQ investigators should use proper procedures (according to the document cited above in the preceding section) when collecting and documenting evidence and information for investigations. Most of this information can be documented using the WQ Investigation and Follow-up forms (Appendices F and G), but additional notes or other materials may need to be taken. All investigative information and documentation should be stored in an individual investigations folder for each separate investigation number and placed in the appropriate document storage file cabinet. Photos should be taken to document violations and responsible party information posted on signs or vehicles. Photos should be stored on the WQ shared drive and placed in a folder containing the WQ investigation number and a brief description (see link in Appendix A). Photos should be taken with the time/date stamp activated on the camera set to the correct date and time. GPS locations of violations should also be recorded by either using a handheld GPS or by selecting the violation location and getting coordinates from the most current and appropriate ArcGIS layers.

Field Audits

The purpose of conducting a field audit for water quality investigations is to document and determine if proper procedures are being used for each investigation performed by the WQ investigators. The results of these audits and recommendations will help ensure consistency between investigations regardless of staff involved. Notes are taken on general guideline compliance and may address any deviations or ways to improve the investigation process. The role of the auditor is simply to observe and report while offering no assistance to the lead


investigator, though relevant questions may be asked. Field audits will be conducted quarterly and summaries will be located in the investigations folder on the WQ Section’s shared drive (Appendix A).

ISSUING NOTICES AND PENALTIES Guidance procedures were developed for writing Notices of Requirement (NOR) and Notices of Violation (NOV), and assessing civil penalties for violations of the Stormwater Ordinance. This document can be found on the WQ Section’s shared drive and is entitled, “Guidelines for Enforcement of the Stormwater Management and Pollution Control Ordinance (Article V of Durham City Code of Ordinances) 2011” (see link in Appendix A). Other documents in this folder include a spreadsheet used for calculating civil penalties assessed as a result of a Stormwater Pollution Control Ordinance violation.


APPENDIX A: Relevant Documents List and Links

City of Durham – Ambient Water Quality Monitoring Quality Assurance Project Plan (QAPP):

\\Durham_pw\public_works\SW\Division Files\Quality\Maverick\Ambient\QAPP\City of

Durham Ambient WQ Monitoring QAPP_10.10.2012.doc

City of Durham – Outfall Screening and Monitoring Standard Operating Procedures:

\\Durham_pw\public_works\SW\Division Files\Quality\Docs\Outfall

Screening\SOP\2013.05.06_Outfall Screening and Monitoring SOP.docx

City of Durham – Guidelines for Enforcement of the Stormwater Pollution Control Ordinance

(Article V of Durham City Code of Ordinances): \\Durham_pw\public_works\SW\Division

Files\Quality\Docs\Investigations\Enforcement Procedures\Official Water Quality Section

Ordinance Enforcement Guidelines 4-12-11.docx

City of Durham – Illicit Discharge Detection and Elimination (IDDE) Investigations Standard

Operating Guidelines: \\Durham_pw\public_works\SW\Division

Files\Quality\Docs\Investigations\Investigation Procedures\IDDE Investigations SOP 8-15-

13.docx

City of Durham – Industrial Stormwater Inspections Program Manual: F:\SW\Division

Files\Quality\Docs\Industrial Storm Water Program\Standard Operating

Procedures\Industrial Stormwater Inspection Program Manual.docx

City of Durham – Water Quality Investigation Form Standard Operating Procedures

\\Durham_pw\public_works\SW\Division Files\Quality\Docs\Investigations\Investigation

Procedures\Investigation Complaint Form SOP 4-11-14.doc

City of Durham – Chapter 70 Article V – Stormwater Management and Pollution Control

Ordinance: F:\SW\Division Files\Quality\Docs\INVSTGTN\WQ Investigation SOPs\WQ

Investigations SOP\Enforcement\ARTICLE 5 SW Ordinance.docx

City of Durham – List of Agency and Departmental Contacts:

\\Durham_pw\public_works\SW\Division Files\Quality\Docs\Investigations\Investigation

Procedures\Agency Contact List 12-31-13.xlsx

City of Durham – Vehicle Washing Compliance Program Documents:

\\Durham_pw\public_works\SW\Division Files\Quality\Docs\Pollution Prevention\Vehicle

Washing Compliance Program


City of Durham – Water Quality Complaint (Investigations) Form:

\\Durham_pw\public_works\SW\Division Files\Quality\Docs\Investigations\Water Quality

Complaint Form

City of Durham – Water Quality Complaint (Investigations) Supplemental (Follow-up) Form:

\\Durham_pw\public_works\SW\Division Files\Quality\Docs\Investigations\Water Quality

Complaint Form\2008 & 2009 WQ Complaint Forms

City of Durham – Water Quality Complaint (Investigations) Log Form: F:\SW\Division

Files\Quality\Docs\Investigations\Water Quality Complaint Log.xlsx

City of Durham – Water Quality Investigation Folders: F:\SW\Division

Files\Quality\Docs\Investigations

City of Durham – Water Quality Investigations Field Audit Folder: F:\SW\Division

Files\Quality\Docs\Investigations\Investigation Field Audits

City of Durham - Weekend Enforcement Patrol Standard Operating Procedures:

F:\SW\Division Files\Quality\Docs\Investigations\Weekend Enforcement Patrol\Forms,

Maps,& Procedures

Illicit Discharge Detection and Elimination: A Guidance Manual for Program Development

and Technical Assessments, October, 2004, Center for Watershed Protection and Robert

Pitt: F:\SW\Division Files\Quality\Docs\Investigations\Investigation Procedures\Center for

Watershed Protection IDDE Manual.pdf

NC Administrative Search Warrant for Particular Condition or Activity (AOC-CR-913M):

www.nccourts.org/forms/Documents/172.pdf

NPDES Stormwater General Permit Information: http://portal.ncdenr.org/web/lr/npdes-

stormwater#tab-3

OSHA Confined Space Regulations: http://www.osha.gov/SLTC/confinedspaces/index.html

and: http://www.lbl.gov/ehs/pub3000/CH34.html#Work_Process_C

http://www.nccourts.org/forms/Documents/172.pdf

http://portal.ncdenr.org/web/lr/npdes-stormwater#tab-3

http://portal.ncdenr.org/web/lr/npdes-stormwater#tab-3

http://www.osha.gov/SLTC/confinedspaces/index.html

http://www.lbl.gov/ehs/pub3000/CH34.html#Work_Process_C


APPENDIX B: Summary of Ordinance Violations


APPENDIX C: NC Administrative Search Warrant Affidavit



APPENDIX D: List of Ambient Water Quality Monitoring

Parameter Investigation Trigger Levels

Parameter

Investigation Trigger Level (No Precipitation within 24 Hours)

In-situ Parameters

Temperature* ≥32° C

pH* <5 or >9

Specific Conductivity** ≥730 µS

Turbidity** ≥163 NTU

Laboratory Parameters

Fecal coliform** ≥60,000 cfu/100mL

5-Day Biochemical Oxygen Demand** ≥8 mg/L or Overdepletion

Copper (Total and Dissolved)** ≥18 µg/L

Zinc (Total and Dissolved)** ≥55 µg/L

* Trigger criteria based on the North Carolina Division of Water Quality’s state water quality standard.

** Trigger criteria generated by using the 99th

percentile of pooled data from the City’s ambient monitoring

locations from January 2006 through June 2012 (>5 years of data for each parameter).


APPENDIX E: Pre-investigation Checklist The following is a list of potential equipment requirements and tasks to complete before

leaving the office to conduct a water quality investigation. This is not a comprehensive list.

Other items and tasks may be needed for an individual investigation.

OFFICE CHECKLIST

Check City and County jurisdictional boundaries using ArcGIS to see if complaint is located within the City limits.

Check the Water Quality Complaint Log to avoid duplicating investigations.

Check for any complaints sent to the Water Quality group email ([email protected]).

Search the Water Quality Investigation Database for prior investigations and violations at a property or a business.

If the WQ Investigation involves an industrial or suspected industrial activity, follow the steps outlined on page 9 of the IDDE Investigations SOP.

Contact complainant before leaving office (if possible).

Properly fill out the WQ Complaint Log before leaving office - must include pertinent contact and complaint information (address, description, and investigation number).

Water Quality Investigation Form with contact and complaint information

Safety vest

Steel-toe safety shoes or boots

Hard hat, safety glasses, and ear protection ( must be worn on some work sites)

Camera

Cell phone

City-issued business cards

City-issued identification badge

Tablet PC or printed ArcGIS map of appropriate area and utilities

LAB AND STORAGE ROOM CHECKLIST

Check Chemetrics kits for ammonia, MBAS, chlorine, copper, phenols (ampoules and stabilizer solutions).


Empty full Chemetrics waste bottles into appropriate containers in the lab hazardous waste cabinet.

Calibrate Meters if needed:

YSI Professional Plus multi-parameter meter

Oakton ECTestr low or TDSTestr3 conductivity pens

Oakton WP pH Tester 2 pH pens

Hach Turbidimeter Model 2100P

Hach Chlorine meter

Peristaltic pump, battery, and tubing

Nitrile gloves

Flashlight/spotlight

VEHICLE CHECKLIST

First aid kit

Tracing dyes (check for quantity and variety)

Manhole hooks

Safety cones

Plastic sample pole with cup

Nitrile gloves

Sufficient fuel in vehicle

Other tools as needed (shovel, machete, soil auger, etc.)


APPENDIX F: Example of Water Quality Investigation Form –

for use with initial investigations



APPENDIX G: Example of Water Quality Investigation Follow-up Form




APPENDIX H: Example of Water Quality Complaint Log Form

FY 2013-2014 Water Quality Complaint Log

Investigation # Investigation Date Description Location Lead Investigator Assistant Investigator Database Entry Notice Issued? Date Sent

Corrective Action

Deadline


APPENDIX I: List of Investigational Information Sources

Agency/Source Website or contact info Information Available

Durham County Register of Deeds http://rodweb.co.durham.nc.us/ Business assumed name/partnerships, property deed info

NC Secretary of State Corporations Division - Corporation Search

www.secretary.state.nc.us/corporations/CSearch.aspx Corporation information and registered agents

ZABA Search (Online People & Public Info Search Engine)

www.zabasearch.com/

Basic public info (telephone # and/or address) sometimes unreliable/outdated

City of Durham Public Works, Stormwater Services Billing Unit

[email protected]

Basic public info (telephone # and/or address), water, sewer, and stormwater information.

City of Durham Finance Department, Business License Office.

[email protected] [email protected]

Basic public info (telephone # and/or address) and business privilege license info

NC DOT/DMV Special Information Telephone Service

See Authorized Users (Mike Oudersluys or Jon Baker) *User Code Required

Vehicle registration information if license plate and/or VIN are acquired.

http://rodweb.co.durham.nc.us/

http://www.secretary.state.nc.us/corporations/CSearch.aspx

http://www.zabasearch.com/





APPENDIX J: List of Agency and Departmental Contacts

Most current version (revised 11/4/13) of the following list may be found here:

\\Durham_pw\public_works\SW\Division Files\Quality\Docs\Investigations\Investigation Procedures\Contact List for Water Quality

Investigations 4-7-14.xlsx

Contact List for Water Quality Pollution Investigations AGENCY OR

DEPARTMENT Problem or

Services Needed Division Title Office

Number Cell

Number

Email

CITY OF DURHAM Finance Department General Billing & Collections

Business License and Penalty Collections

Paul Mason Billing & Collections Supervisor

560-4700 x18281 [email protected]

Sharran Gray Revenue Agent 560-4700 x18284 [email protected]

General Services

Facilities

City Maintenance - Operations and

Facilities

Lori Blake-Reid

Facilities Operations Manager


Carl Locus Assistant Facilities Operations Manager


Ed Mitchell Facilities Maintenance



Supervisor

Barry Blake Facilities Maintenance Tech.


Landscape Services

Landscape and Mowing Services

Kevin Lilly Landscape Services Division Manager


Keith Braun Landscape Operations Supervisor


Inspections Plumbing Inspections

Private Plumbing Issues

Dana Inebnit Chief Plumbing Inspector

560-4144 x26497

919-369-9157

Building Inspections

Building Inspections

David Coward Chief Building Inspector

560-4144 x26285

919-369-9121

Neighborhood Improvement Services

Code Enforcement

Junk Cars and Trash Dumping

Cliff Pratt Code Enforcement - Dist. 1


Lester Smith Code Enforcement - Dist. 1


Thomas Oakley

Code Enforcement - Dist. 2


Michael Vaughn



Dawn Hill-Alston



Michelle Sellers



Vacant Assistant Director 560-1647 x34236


Impact Team

Leaves and Trash in ROW

Daryl Hedgspeth

Impact Team Manager


Planning Zoning/Code Enforcement

Riparian Buffer and Zoning

Enforcement

Grace Smith Planning Supervisor 560-4137 x28215 [email protected]

Lindsay Darden

Site Compliance Planner


Dennis Doty Senior Planner 560-4137 x28252 [email protected]

Police Operations Bureau

Police Assistance Steve Mihaich Deputy Chief 560-4322 x29204

919-323-9628

Durham Emergency Communications Center

Non-emergency Assistance

Jim Soukop Director 560-4191 [email protected]

Non-emergency Number 560-4600

Solid Waste Code Enforcement

Trash Dumping Mike Simpson Code Enforcement Supervisor


Public Works Stormwater Street Maintenance

Clogged City Storm Drains and

Maintenance

Coleman Brown

Asst. Director of Maintenance & Operations


Dwight Murphy

Public Works Operations Manager

560-4312 x30380

919-384-6887

Michael Macon

Public Works Supervisor. - Stormwater

560-4312 x30392

919-475-8967


Stormwater Infrastructure City and Private

Drainage Response

Nathalie Williams

Engineering Tech. 560-4326 x30234

919-475-8640

Floodplain Response

Stephan Windsor

Senior Engineering Designer

560-4326 x30268

919-475-2387

Graham Summerson

Civil Engineer III 560-4326 x30287

919-730-3960

City Drainage Projects

Yi Wang Civil Engineer I 560-4326 x30244 [email protected]

Sujit Ekka Civil Engineer III 560-4326 x30271

919-928-6047

Stormwater Engineering Services

SCM and Development

Issues

Shea Bolick Civil Engineer IV 560-4326 x30270 [email protected]

Jake Chandler Civil Engineer IV 560-4326 x30240 [email protected]

Raghu Badami

Civil Engineer III 560-4326 x30243 [email protected]

Jennifer Buzun

Civil Engineer III 560-4326 x30292 [email protected]

SCM Ponds and Maintenance

Issues

Mike Fuller Sr. Engineering Technician


Bill Hailey Sr. Engineering Technician


Development Review Section

Group Email 560-4326 [email protected]

Stormwater Billing & GIS


Stormwater Billing Issues

Edward Cherry

Stormwater Billing Supervisor

560-1258 [email protected]

Engineering Services

Private Sewer Connections

Nathan McHenry

Engineering Services Supervisor


Laura Adcock Asst. Engineering Services Supervisor


Maurice Smith

Sr. Engineering Technician


Sewer Main Extensions & Private Sewer

Easements

Justin Weist Development Review Supervisor


Water Management Water & Sewer Maintenance

Sanitary Sewer Spills, Leaks, or

Breaks - City Owned

Junior Mobley

Asstistant Superintendent


Claude Gregory

Utility System Supervisor

560-4344 x35353

919-937-8110

[email protected]

Jeff Lewis Crew Chief II 560-4344 919-201-8748

[email protected]

Kenny Willard Utility Services Supervisor

560-4344 x35356

919-937-8053

City Water Leaks and Breaks

Andy Brogden Superintendent Water/Sewer


Vacant Utility System Supervisor

560-4344 x35345

919-201-8752


Utility System Support - Water & Sewer Issues

Russell Gregory

Utility System Supervisor

560-4344 x35344

919-937-8109

Plant Maintenance

and Pump Stations

Chris Hollifield

Superintendent 560-4388 x35349

919-730-7839

Bob Slaughter Asst. Superintendent


Wastewater Treatment

NDWRF

Sewage Treatment Issues

John Dodson WWT Superintendent

560-4384 x35509

919-270-9780

SDWRF

Laboratory Analytical

Services - WQ Investigations

Charlie Cocker

WWT Superintendent


Vacant Lab Manager 560-4386

James Blake Lab Team Leader 560-4386 x35533 [email protected]

Shelia Hopkins

Lab Team Leader 560-4386 x35555 [email protected]

Regulatory Compliance

Allowable Discharges to the

City Sewer System

Reggie Hicks Superintendent 560-4381 x35256 [email protected]

Tyrone Battle Industrial Pretreatment

560-4386 x35556

919-475-2520


Coordinator

Water Conservation

Issues

Al Nelson Conservation Coordinator


DURHAM COUNTY Emergency Management Emergency Management

Hazardous Material and

Petroleum Spills

Jeff Batten Fire Marshal 560-0660 [email protected]

Mark Schell Emergency Management Coordinator


Emergency Mgmt. Group

Main Number and Group Email


Engineering and Env. Services Stormwater and Erosion Control

E&S Control Issues -

Construction Sites

Chris Roberts Division Manager 560-0739 [email protected]

Tim Holland Erosion Control Technician


Robert Sokolowski

Erosion Control Technician


Durham County Stormwater

Issues

Ryan Eaves Stormwater Manager

560-7992 919-886-2318

Utility Division


Durham County Sewer Issues

Joe Pearce Division Manager 544-8832 [email protected]

Stephanie Brixey

Compliance Manager


Shannon Bergeron

Pretreatment Coordinator


Public Health Environmental Health

Private Septic System

Compliance Issues

Robert Brown Director of Environmental Health


Patrick Eaton Onsite Water Protection Supervisor

560-7812 919-761-3973

Nancy Wood Environmental Health

560-7867 919-698-9114

Restaurant and Lodging

Compliance Issues

Marc Meyer General Inspections Supervisor

560-7818 919-201-6638

Health Inspection Group

Group reporting email

[email protected]

Soil & Water Conservation Soil & Water Conservation District

Durham County Agricultural

Issues

Eddie Culberson

Director 560-0558 919-886-2318

DUKE UNIVERSITY Facilities Management Utilities


Water, Sewer, Stormwater, and

Construction Issues

Ed Sinnott Utilities Shop Supervisor

919-660-1497

919-257-9299

Mike Leezer Construction Coordinator

919-613-6046

919-730-9619

Ryan Lavender

Project Engineer

Martin Rimmer

Utility Locator 919-730-4345

Town of Chapel Hill Public Works Stormwater Management

Illicit Discharge Detection & Elimination

Dave Almond Stormwater Technician/IDDE Officer

919-969-2042 [email protected]

NCDENR Division of Water Resources Surface Water Protection

Fish Kills and NC Regulatory Compliance

Issues

Raleigh Regional Office

Main line 919-791-4200

Danny Smith Surface Water Supervisor


Mack Wiggins Environmental Specialist


Autumn Romanski

Environmental Senior Specialist



Surface Water Protection Grp.

Group Email [email protected]

Environmental Emergency Line

State Warning Point 800-858-0368

Division of Waste Management Underground Storage Tank (UST) Section

Underground Petroleum

Storage Tanks and Spills

Craig McIntosh

Hydrogeologist (Durham Area)


Mark Powers Regional Supervisor 919-791-4200 [email protected]

NCDOT Division of Highways Division 5

Spills and Stormwater

Issues on State Roads

Wally Bowman

Division Engineer 919-220-4600 [email protected]

Joey Hopkins Deputy Division Engineer


District 2 - Durham County

Mark Craig District Engineer 919-220-4750 [email protected]

Michael Goodwin

Assistant District Engineer


Office of Beautification Programs

Roadside Littering

Customer Service Office

Swat-A-Litterbug 1-877-DOT-4YOU (1-877-368-4968)


EPA Region 4

Regional Regulatory Compliance

Issues

Ken Rhame On-Scene Coordinator 919-475-7397

Contact list for dye tests potentially reaching surface waters

City Stormwater Services

Stormwater Quality [email protected]

Stormwater Infrastructure [email protected]

Paul Wiebke [email protected]

Coleman Brown

[email protected]

Dwight Murphy

[email protected]

County Stormwater

Chris Roberts [email protected]

Ryan Eaves [email protected]

City Water Management

Claude Gregory

[email protected]

Kenny Willard [email protected]

Andy Brogden [email protected]


Martin Nona [email protected]

Jim Harding [email protected]

Todd Friedman

[email protected]

County Water Management

Joe Pearce [email protected]

Stephanie Brixey [email protected]

Emergency Management

Group EM Email

[email protected]

Jeff Batten [email protected]

Mark Schell [email protected]

Durham One Call

Group DOC Email [email protected]

Marcelle Brawner [email protected]

Carmen Murphy

[email protected]

Durham Emergency Communications Center (DECC)

On-Duty Shift Supervisor [email protected]

Tonya Pearce [email protected]

911 Center

911 Center [email protected]

James Soukup [email protected]


EPA Region 4


APPENDIX K: Sample Training Record Form for Water Quality

Staff Members Name: Date:

Job Title:

Complete this quiz after studying the IDDE Investigations SOP. Circle the single best answer for each of the following multiple choice questions.

1. Wastewater generated from a mobile car wash business must be a. contained, collected, filtered, and discharged to the storm drainage system b. contained, collected, and dispersed onto heavily vegetated areas c. contained, collected, and disposed of into the sanitary sewer system d. contained, collected, and reused without any discharge or disposal

2. What source of authority can you check to determine whether a particular type of discharge to the storm drainage system is illegal?

a. Durham City Code b. City of Durham Municipal NPDES Stormwater Permit c. An applicable NPDES General or Individual Stormwater Permit d. All of the above

3. Which of the following chemical field tests should an investigator begin with when testing for a suspected sanitary sewer spill?

a. Ammonia b. Chlorine c. Methylene Blue Active Substances d. Conductivity

4. Which of the following oil spill scenarios must be reported to the NC DENR Emergency Hotline?

a. A 10 gallon oil spill occurred at 9 a.m. on Wednesday. Cleanup of the spill began at 11 a.m. on Thursday. No oil reached surface waters or the storm drain system.

b. 50 gallons of diesel fuel leaked from a truck parked in a lot 250 feet from a storm drain. The fuel did not reach the drain.

c. A car accident on a rainy day causes a leak of transmission fluid that reaches the storm drain. There is rainbow sheen on the water discharging from this part of the drainage system to a nearby stream.

d. All of the above I affirm that I have read over the entire IDDE Investigations SOP document. If I have questions about these or related procedures, I will ask a senior staff member or supervisor for assistance.

Signed Name: ________________________________


APPENDIX L: NPDES Stormwater General Permits


APPENDIX M: Car Washing Definitions and Exemptions

Definitions of Charity and Residential Car Washing in reference to the Stormwater

Management and Pollution Control Ordinance Section 70-513 (5)(O) (Authorized Non-

Stormwater Discharges)

The definitions below were developed to clarify and to specify further limitations referenced to

charity and residential car washing. These definitions were developed by the City of Durham

Stormwater Services Staff with guidance provide by the Durham City Attorney’s Office (Karen

Sindelar & Emanuel McGirt) on 5/12/09.

Charity Car Washing is defined as an occasional vehicle washing which occurs at a fixed

location (non-mobile) for charitable purposes by registered nonprofit corporations.

Occasional is defined as no more than one occurrence per two months and no more than 3

occurrences per year.

Occurrence is defined as a single event which does not exceed duration of more than 8 hours.

Registered nonprofit corporations are defined as corporations that: (1) have properly filed

their company’s Articles of Incorporation with the North Carolina Secretary of State

Corporations Division, (2) qualify as exempt organizations under sections 501(c)(3) and

170(c)(2) of the Internal Revenue Code of 1986, and (3) have made required annual corporate

and tax filings.

Charity Car Washing does not include regular vehicle washing activities conducted by nonprofit

corporations engaged in a business. Such corporations have the same impact on surface waters

as for-profit businesses engaged in the same activity.

Residential Car Washing is defined as vehicle washing which occurs at an individual’s place of

residence for the purpose of the washing their vehicle(s) under the following conditions:

1. Vehicle washing occurs on property zoned for residential use only. 2. Vehicle being washed is not used for business purposes. 3. Individual(s) conducting vehicle washing reside at the location where the vehicle

washing occurs. 4. Each vehicle being washed has a current vehicle registration card (available upon

request) and address listed on the vehicle registration card matches location where vehicle is being washed.

5. No money is exchanged for services rendered.


APPENDIX N: Photo Examples of Illicit Discharges

Pipe entering stream bank indicating possible illicit connection.

Pipe entering storm drain indicating an illicit connection.

Broken sewer lateral indicating an illegal discharge (Green dye used to confirm sewer leak).

Creek discolored by an illegal sewer discharge.


Creek discolored by discharge from washing latex paint.

Overflowing sewer manhole.

Failing septic system with sewage draining off the property.

Discharge from a sewer clean out.


Sewage fungus indicating long term sewer discharge.

Iron bacteria in a small stream – this occurs naturally.

Dead fish indicating a pollution problem. Cooking grease spilled on pavement outside of a restaurant.


Food grease discharged to a drainage channel. Sewage and grease overflowing from a poorly

maintained grease interceptor (series of manholes).

Petroleum product (heating oil) discharged to a stream. (Oil booms are used to contain the spill).

Excessive foam in a stream indicating an illicit discharge of detergents and wastewater.