Ecology Home > SEA Program Home > Enforcing the Shoreline Management Act Home > Questions for Agencies

Enforcing the Shoreline Management Act

Guidance for Local Government Administrators

Revised 1998 Publication No. 95-101
Prepared by: Huckell/Weinman Associates, Inc.
For: Washington Department of Ecology Shorelands and Environmental Assistance Program

Print Version

This manual was funded in part by the National Oceanic and Atmospheric Administration. The views expressed herein are those of the authors and do not necessarily reflect the views of NOAA or any of its sub-agencies.

Table of Contents

CHAPTER 1 - Introduction

• Purpose
• Organization
• Overview: Enforcement and the Shoreline Management Act
  • The Shoreline Management Act
  • Local and State Roles under the SMA
  • Local Enforcement Programs
  • What is Enforcement?
• Common Shoreline Violations

CHAPTER 2 - Learning About Violations

• Intake: Recording & Evaluating Complaints
  • Telephone Complaints
  • Written Complaints
  • Reports from Agencies
  • Reports from City/County Inspectors
• Complaint Follow-up
  • Evaluating Complaint Information
  • Setting up Case Files
  • Acknowledging the Complaint

CHAPTER 3 - Investigating a Violation

• Importance of the Investigation
• The Site Inspection
  • Inform Interested Parties of Your Activities
  • Bring Help If You Need It
  • Pre-Inspection Reconnaissance
  • Entering the Site
  • Physical Site Assessment -- What To Do
  • Physical Site Assessment -- What To Look For
  • Interviewing
  • Some Interview Tips:
  • The Team Approach To Interviewing
  • Photography as Documentation
  • The Closing Conference
• Site Inspection Follow-up, Reporting and Record Keeping
  • Follow-up to the Site Inspection
  • Reporting
  • Record Keeping

CHAPTER 4 - Assessing the Violation

• SMP Enforcement Guidance
• SMA Policy Guidance
  • Other Considerations

CHAPTER 5 - Legal Tools and Options

• Local Government Enforcement Procedures
• Legal Tools Under the SMA: What's Available
• Considerations in Selecting Enforcement Options
• Techniques for Reaching Voluntary Compliance
• Alternative Dispute Resolution Techniques
  • Negotiation
  • Mediation
• Joint Ecology/Local Government Action
• Coordination with Other Agencies

CHAPTER 6 - Legal Follow-up

• Appeals
  • Appeals to Local Government
  • Appeals to the Shoreline Hearings Board
  • Appeals to Superior Court
• Going to Court

Introduction

This chapter describes the purpose and organization of the manual; the steps involved in responding to a violation; Shoreline Management Act (SMA) jurisdiction; state and local roles; elements of local enforcement programs; and common shoreline violations.

Purpose

Limited resources, competing priorities, a lack of specialized environmental expertise, local political pressure, and concerns about costly litigation may all be constraints to effective shoreline enforcement. Despite these constraints, many tools are available to improve enforcement programs. This manual offers ideas about enforcement techniques that are cost effective even for small communities with limited enforcement capabilities.

This manual is directed to shoreline program administrators who have enforcement responsibilities. The manual takes the reader step by step through the enforcement process and describes techniques and suggestions for investigating and determining appropriate enforcement action. In addition, the manual provides practical information and approaches for setting up and implementing enforcement programs to address multiple violations in a more efficient manner. This manual may also be useful as a guide for training inspectors, code enforcement staff, or other personnel involved in shoreline complaints or enforcement.

This manual is intended to complement the 1994 Shoreline Management Guidebook (Ecology Publication No. 94-104). Whereas the Shoreline Guidebook serves as an excellent general reference on a broad range of shoreline program management issues, (including a chapter on administration and enforcement), the SMA Enforcement Manual provides detailed "how to" information specific to shoreline enforcement.

Organization

The SMA Enforcement Manual is organized according to the steps an administrator would typically follow once a complaint or potential violation is reported. Figure 1, which depicts these steps, can be used as a quick reference to chart the course of a specific enforcement action. Practical information and "how to" techniques and procedures - including tips, reminders and checklists for each of the steps - are provided.

Within each chapter, the step by step "how to" discussion is supplemented by a section called: ideas-Improving Your Program. This section provides suggestions for improving the overall effectiveness of local shoreline enforcement programs.

Manual topics include:

• learning about violations via complaints and inspections;
• effective investigation techniques, including pre-planning, initial contact and interviewing, documentation, photography and reporting;
• coordinating enforcement efforts with agencies;
• evaluating the seriousness of a shoreline violation under the SMA;
• determining the most appropriate compliance strategy;
• legal tools and procedural options, including voluntary compliance;
• issues to consider if cases are appealed or litigated; and
• legal, administrative, and technical support available from the Department of Ecology.

SMA Enforcement Steps

Finding Out about a Violation

• Complaints
• Local and Agency Reports

Investigation

• Research
• Site Inspection
• Building a Case

Evaluating the Violation

• SMA Guidance
• Facts to Consider

Legal Tools and Options

• Local Actions
• Joint Local-Ecology Enforcement
• Voluntary Compliance
• Coordination with Resource Agencies

Legal Follow-up

• Appeals
• Going to Court

Enforcement provisions of the Shoreline Management Act (Chapter 90.58 RCW), and SMA regulations (Chapter 173-27 WAC), are included as an appendix for easy reference. Sample forms, sample notification letters, and other reference materials are also included in the appendix.

IMPORTANT:

This manual attempts to be comprehensive and inclusive. You may not have the time to accomplish all of the steps or the resources to complete the recommended, detailed review and documentation.

If you need to take a shortcut - or you can only do some of the steps - focus on how you might best accomplish the primary goal - protection of the shoreline resource. Highlights to remember:

• Make a site inspection as soon as possible;
• Have your paperwork for violations set up (get your OK from your supervisor and/or attorney) so that you can move quickly; and
• Know who you can contact in other agencies such as Ecology, Fish and Wildlife, The U.S. Army Corps of Engineers, or U.S. Environmental Protection Agency for necessary technical support.