SMARTS Records & Evidence
SMARTS Records Can Become Evidence Against Your Facility
Review reporting accuracy and preserve the underlying record.
Stormwater Legal & Compliance Center / Article
California SMARTS records can be reviewed by the Water Boards, other regulators, and the public. They may also become evidence in a stormwater enforcement action or Clean Water Act citizen suit.
That does not mean every mistake or unfavorable entry proves a violation. It does mean that required SMARTS filings should be treated as important regulatory statements, supported by accurate records.
The answer is not to withhold information or try to make an old record disappear. It is to report accurately, keep good records, and correct genuine mistakes through the proper process.
What can SMARTS records show?
SMARTS contains stormwater registration, compliance, and monitoring information. Depending on the permit and filing, the record may include enrollment information, SWPPP descriptions, analytical results, certifications, annual reports, and changes in permit coverage.
Regulators or private plaintiffs may compare those records with what actually happened at the facility. An annual report may be compared with inspection logs. A site map may be compared with photographs and drainage conditions. A reported laboratory result may be checked against the original laboratory report.
A single inconsistency may simply raise a question. Multiple inconsistencies can raise broader concerns about the accuracy of the facility's compliance record.
The significance of any discrepancy depends on the applicable permit and the underlying facts. A SMARTS status or database entry should not be treated as proof of compliance—or proof of a violation—without reviewing what the permit required and what actually occurred.
What SMARTS inconsistencies should you look for?
Before submitting a filing, check for basic errors such as the wrong facility or reporting year, incorrect units, missing attachments, outdated drainage maps, or differences between the laboratory report and the reported result. Confirm that required certifications are completed by an authorized person.
Also look for larger inconsistencies between the paperwork and actual site conditions. For example, a SWPPP may describe covered material storage while photographs show materials stored outdoors. A former employee may still be listed as responsible even though that person no longer manages the facility.
These issues can matter more than a simple typographical error because they may affect the reliability of the facility's compliance record.
A consultant's involvement does not eliminate the need for the business to review what is being submitted. The facility should understand the information being certified and keep the records supporting it.
Check the underlying records
When the Water Board asks for supporting documents, our agency information-request guide addresses how to review and coordinate a response.
Not every apparent discrepancy is a real error. Different units, reporting periods, sample numbers, or later revisions can explain an apparent conflict.
Before drawing conclusions, compare the SMARTS filing with the original laboratory report, chain of custody, field notes, photographs, and applicable calculation requirements. Involve the laboratory or a qualified technical professional when necessary.
For numeric results, confirm that the correct averaging and exceedance calculations were used. A result above a reference value is not automatically a permit-defined exceedance or an effluent-limit violation. See our article on numeric action-level exceedances.
Correct mistakes—don't erase them
If a SMARTS filing contains an error, determine what was wrong, which filings are affected, and what correction process applies. Keep the original submission and the records supporting the correction.
Do not backdate records, delete unfavorable information, or replace a required result with a more favorable one. A correction should make the regulatory record more accurate, not hide what was previously reported.
Remember that the regulatory record is larger than SMARTS. Emails, drafts, field photographs, inspection records, laboratory files, and consultant records may also become relevant in an enforcement matter.
Review SMARTS filings before they are submitted
A simple review process can prevent many problems. Assign responsibility for preparing, technically reviewing, and certifying each filing. Before submission, confirm the facility information, reporting period, attachments, units, calculations, and certifications.
Keep a copy of the final submission and proof that it was filed. When employees, consultants, owners, or operators change, make sure SMARTS access and responsibility for upcoming deadlines are transferred properly.
These steps help ensure that the SMARTS record accurately reflects the facility's actual stormwater compliance.
Frequently asked questions
Are SMARTS filings protected by attorney-client privilege?
Generally, required regulatory filings are not made privileged simply because an attorney helped prepare or review them. Counsel can advise the business about its obligations, potential discrepancies, and how to respond to an enforcement issue, but copying an attorney on an email does not automatically make the communication privileged.
Whether a particular communication or work product is protected requires a separate legal analysis.
Should we stop submitting reports while an error is being investigated?
No. Finding an error does not automatically suspend reporting obligations. Continue meeting current deadlines while determining how to correct the error through the appropriate process. Do not stop reporting unless the applicable requirements or the Water Board authorize it.
Can a complete SMARTS record prove that a facility was in compliance?
Not by itself. SMARTS shows what the facility reported, but compliance also depends on what actually happened at the site. The facility must meet the applicable operational, monitoring, and technical requirements, and its records should accurately document that work.
For legal help with a significant discrepancy or enforcement concern, visit SMARTS submissions counsel or Get A Case Evaluation. This information is educational and is not legal advice.
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