ML12088A230

Entergy Pre-Filed Evidentiary Hearing Exhibit ENT000026 - EPA Stormwater Protocol

ML12088A230
Person / Time
Site:	Indian Point
Issue date:	03/28/2012
From:	Entergy Nuclear Operations, Environmental Protection Agency
To:	Atomic Safety and Licensing Board Panel
SECY RAS
Shared Package
ML12088A225	List: ML12088A226 ML12088A227 ML12088A228 ML12088A229 ML12088A230 ML12088A231 ML12088A232 ML12088A233 ML12088A234 ML12088A235 ML12088A236 ML12088A237 ML12088A238 ML12088A239 ML12093A065
References
RAS 22094, 50-247-LR, 50-286-LR, ASLBP 07-858-03-LR-BD01
Download: ML12088A230 (69)

Text

ENT000026 Submitted: March 28, 2012 Protocol for Conducting Environmental Compliance Audits under the Stormwater Program

United States Environmental Protection Agency Office of Enforcement and Compliance Assurance (2224A)

EPA-300-B-05-004 www.epa.gov.compliance/incentives/auditing/protocol.html January 2005

Notice This document is intended as guidance to help regulated facilities comply with the regulations. This guidance does not constitute rulemaking by the EPA and may not be relied on to create a substantive or procedural right or benefit enforceable, at law or in equity, by any person. The Audit Protocols are designed for use by individuals who are already familiar with the federal regulations but could use an updated comprehensive regulatory checklist to conduct environmental compliance audits at regulated facilities [e.g., construction sites, municipal separate storm sewer systems (MS4s)].

EPA may decide to update this guide without public notice to reflect changes in EPAs approach to implementing the regulations or to clarify and update text.

To determine whether EPA has revised this document and/or to obtain copies, contact EPAs Center for Environmental Publications at 1(800) 490-9198 or refer to www.epa.gov/npdes/compliance and www.epa.gov/clearinghouse. Additional information further assistance pertaining to the specific rules discussed in this document can be found at the end of the Key Compliance Requirements located in Section II.

THE GUIDANCE IS NOT A SUBSTITUTE FOR READING THE REGULATIONS AND UNDERSTANDING ALL THE REQUIREMENTS AS THEY APPLY TO YOUR FACILITY.

This document is intended solely for guidance. No statutory or regulatory requirements are in any way altered by any statement(s) contained herein.

Table of Contents Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Inside cover Section I: Introduction Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i Who Should Use These Protocols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i EPAs Public Policies that Support Environmental Auditing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ii How to Use the Protocols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ii The Relationship of Auditing to Environmental Management Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii Section II: Audit Protocols Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Review of Federal Legislation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 State and Local Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Key Compliance Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Key Terms and Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Typical Records to Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Typical Physical Features to Inspect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Checklist User Guidance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 List of Acronyms and Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Index for Checklist Users . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Appendices Appendix A: On-site Checklist for Construction Stormwater Discharges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A1 Appendix B: EPA Stormwater Regional Contacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B1 Appendix C: Information Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . C1 This document is intended solely for guidance. No statutory or regulatory requirements are in any way altered by any statement(s) contained herein.

THIS PAGE INTENTIONALLY LEFT BLANK Section I Introduction

Background

The Environmental Protection Agencys (EPA) goal is to ensure that businesses and organizations, state and local government, and the public comply with federal laws that protect the public health and the environment. EPAs Office of Enforcement and Compliance Assurance (OECA) was established in 1994 to focus on compliance assistance-related activities. OECA has begun combining traditional enforcement activities with more innovative compliance approaches, including the provision of compliance assistance to the general public. OECA is also encouraging the development of self-assessment programs by regulated facilities. Voluntary audit programs play an important role in helping companies meet their obligation to comply with environmental requirements. Such assessments can be a critical link, not only to improved compliance, but also to improvements in other aspects of an organizations performance. For example, environmental audits may identify pollution prevention opportunities that can substantially reduce an organizations operating costs and protect the environment. Environmental audits can also serve as an important diagnostic tool in evaluating a facilitys overall environmental management system.

EPA has developed a series of Environmental Audit Protocols to assist the regulated community in developing self-audit programs by regulated facilities for evaluating their compliance with the environmental requirements under the federal laws and regulations. The audit protocols also are intended to promote consistency among regulated facilities when conducting environmental audits and to ensure that audits are conducted in a thorough and comprehensive manner. The protocols can be found at http://epa.gov/compliance/incentives/auditing/protocol.html.

Who Should Use These Protocols?

EPA has developed these audit protocols to provide regulated facilities with specific guidance in periodically evaluating their compliance with federal environmental requirements. The specific application of this particular protocol, in terms of which media or functional area it applies to, is described in Section II under Applicability.

The Audit Protocols are designed for use by individuals who are already familiar with the federal regulations but could use an updated comprehensive regulatory checklist to conduct environmental compliance audits. Typically, compliance audits are performed by persons who are not necessarily media or legal experts but instead possess a working knowledge of the regulations and a familiarity with the operations and practices of the facility to be audited. These two basic skills are generally useful for identifying areas subject to environmental regulations and potential regulatory violations that subtract from the organizations environmental performance. With these basic skills, audits can be successfully conducted by persons with various educational backgrounds (e.g., engineers, scientists, lawyers, business owners or operators). These protocols are not intended to be a substitute for the regulations nor are they intended to be instructional to an audience seeking a primer on the requirements under Title 40. Rather, they are designed to be sufficiently detailed to support the auditors efforts.

The term Protocol has evolved over the years as a term of art among the professional practices of auditing and refers to the actual working document used by auditors to evaluate a facilitys conditions against a given set of criteria (in this case the federal regulations). Therefore these documents describe what to audit an entity for rather than how to conduct an audit.

To optimize the effective use of these documents, you should become familiar with basic environmental auditing practices.

For more guidance on how to conduct environmental audits, EPA refers interested parties to:

The Auditing Roundtable 15111 N Hayden Road Suite #160355 Scottsdale, AZ 85260-2555 (480) 659-3738 This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. i

EPAs Public Policies that Support Environmental Auditing In 1986, in an effort to encourage the use of environmental auditing, EPA published its "Environmental Auditing Policy Statement" (see 51 FR 25004). The 1986 audit policy states that "it is EPA policy to encourage the use of environmental auditing by regulated industries to help achieve and maintain compliance with environmental laws and regulations, as well as to help identify and correct unregulated environmental hazards." In addition, EPA defined environmental auditing as a systematic, documented, periodic, and objective review of facility operations and practices related to meeting environmental requirements. The policy also identified several objectives for environmental audits:

t Verifying compliance with environmental requirements t Evaluating the effectiveness of in-place environmental management systems t Assessing risks from regulated and unregulated materials and practices In 1995, EPA published "Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations" which both reaffirmed and expanded its 1986 audit policy. The 1995 audit policy offers major incentives for facilities to discover, disclose and correct environmental violations. Under the 1995 policy, EPA generally will not seek gravity-based penalties or recommend criminal charges be brought for violations that are discovered through an environmental audit (as defined in the 1986 audit policy) or a management system reflecting due diligence and that are promptly disclosed and corrected, provided that other important safeguards are met. These safeguards protect health and the environment by precluding policy relief for violations that cause serious environmental harm or may have presented an imminent and substantial endangerment.

In 1996, EPA issued its Final Policy on Compliance Incentives for Small Businesses. The policy is intended to promote environmental compliance among small businesses by providing them with special incentives to participate in EPA compliance assistance programs. Similar to the EPA Audit Policies, the Small Business Policy also encourages small businesses to conduct environmental audits, and then to promptly disclose and correct violations.

On April 11, 2000, EPA issued its revised final Small Business Policy (65 FR 19630) to expand the options allowed under the 1996 policy for discovering violations and to establish a time period for disclosure. The major changes contained in the April 11, 2000 Small Business Policy revision include lengthening the prompt disclosure period from 10 to 21 calendar days and broadening the applicability of the Policy to violations uncovered by small businesses through any means of voluntary discovery. This broadening of the Policy takes advantage of the wide range of training, checklists, mentoring, and other activities now available to small businesses through regulatory agencies, private organizations, and the Internet.

More information on EPAs Small Business and Audit/Self-Disclosure Policies are available by contacting EPAs Enforcement and Compliance Docket and Information Center (ECDIC) at (202) 566-1514 or visiting the EPA web site at:

http://www.epa.gov/compliance/

How to Use the Protocols Each protocol provides guidance on key requirements, defines regulatory terms, and gives an overview of the federal laws affecting a particular environmental management area. They also include a checklist containing detailed procedures for conducting a review of a facilitys conditions. The audit protocols are designed to support a wide range of environmental auditing needs; therefore, several of the protocols in this set or sections of an individual protocol may not be applicable to a particular facility. To provide greater flexibility, each audit protocol can be obtained electronically from the EPA Website (http://www.epa.gov/compliance/incentives/auditing/protocol.html).

It is important to understand that there can be significant overlap within the realm of the federal regulations. For example, the Department of Transportation (DOT) has established regulations governing the transportation of hazardous materials.

Similarly, the Occupational Safety and Health Administration (OSHA) under the U.S. Department of Labor has promulgated regulations governing the protection of workers who are exposed to hazardous chemicals. There can also be significant overlap between federal, state, and local environmental regulations. State programs that implement federally mandated programs may contain more stringent requirements that are not described in these protocols. There can also be multiple state agencies regulating the areas covered in these protocols. The auditor should determine which regulatory agency has authority for implementing an environmental program so that the required regulations are consulted. Prior to conducting the audit, the auditor should review federal, state and local environmental requirements and expand the protocol, as appropriate, to include other applicable requirements not found in these documents.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. ii

Review of Federal Legislation and Key Compliance Requirements:

These sections are intended to provide only supplementary information or a thumbnail sketch of the regulations and statutes. These sections are not intended to function as the main tool of the protocol. This is the purpose of the checklist.

Instead, they serve to remind the auditor of the general thrust of the regulation and to scope out a facilitys requirements covered by that particular regulation. For example, a brief paragraph describing record keeping and reporting requirements and the associated subpart citations will identify a specific area of focus for the facility.

State and Local Regulations Each EPA Audit Protocol alerts the auditor to typical issues containing state and local regulations (e.g., more stringent local regulations). From a practical standpoint, EPA cannot present individual state and local requirements in the protocols.

However, this section does provide general guidance to the auditor regarding the decision of statutory authority between EPA and the states over a specific media. This section also describes circumstances where states and local governments may enact more stringent requirements that go beyond the federal requirements.

Key Terms and Definitions:

This section of the protocol identifies terms of art used in the regulations and the checklists that are listed in the Definitions sections of the Code of Federal Regulations (CFR). It is important to note that not all definitions from the CFR may be contained in this section, however; those definitions which are commonly repeated in the checklists or are otherwise important to an audit process are included. These definitions are generally related as they appear in the CFR without embellishment.

The Checklists:

The checklists delineate what should be evaluated during an audit. The checklists contained in these protocols are (and should be) sufficiently detailed to identify any area that may potentially receive a notice of violation if compliance is not achieved.

For this reason, the checklists often get to a level of detail such that a specific paragraph of the subpart [e.g., 40 CFR 122.28(b)(2)] contained in the CFR or the Federal Register (FR) is identified for verification by the auditor.

Updates:

Environmental regulations are continually changing both at the federal and state level. For this reason, it is important for environmental auditors to determine if any new regulations have been issued since the publication of each protocol document and, if so, amend the checklists to reflect the new regulations. Auditors may become aware of new federal regulations through periodic review of Federal Register notices as well as public information bulletins from trade associations and other compliance assistance providers. In addition, EPA offers information on new regulations, policies and compliance incentives through several Agency Websites. Each protocol provides specific information regarding EPA program office websites that can be accessed for regulatory and policy updates.

The Relationship of Auditing to Environmental Management Systems An environmental auditing program is an important part of any organizations environmental management system (EMS).

Audit findings generated from the use of these protocols can be used as a basis to implement, upgrade, or benchmark environmental management systems. Regular environmental auditing can be the key element to a high quality environmental management program and will function best when an organization identifies the "root causes" of each audit finding. Root causes are the primary factors that lead to noncompliance events. For example, a violation of a facilitys stormwater discharge permit may be traced back to breakdowns in management oversight, information exchange, or inadequate evaluations by untrained personnel.

As shown in Figure 1, a typical approach to auditing involves three basic steps: (1) conducting the audit, (2) identifying problems (audit findings), and (3) fixing identified deficiencies. When the audit process is expanded to identify and correct root causes to noncompliance, the organizations corrective action part of its EMS becomes more effective. In the expanded model, audit findings (exceptions) undergo a root cause analysis to identify underlying causes to noncompliance events.

Management actions then are taken to correct the underlying causes behind the audit findings and improvements are made to the organizations overall EMS before another audit is conducted on the facility. Expanding the audit process allows the organization to successfully correct problems, sustain compliance, and prevent discovery of the same findings again during subsequent audits. Furthermore, identifying the root cause of an audit finding can mean identifying not only the failures that This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. iii

require correction but also successful practices that promote compliance and prevent violations. In each case a root cause analysis should uncover the failures while promoting the successes so that an organization can make continual progress toward environmental excellence.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. iv

Section II Audit Protocol Applicability This protocol applies to facilities that discharge stormwater directly to waters of the United States or to municipal separate storm sewer systems. Regulated stormwater discharges may originate from an industrial activity; construction sites larger than 1 acre; a small, medium, or large MS4s; or a facility identified by the National Pollutant Discharge Elimination System (NPDES) permitting authority. Guidance is provided on the checklists to direct the auditor to the regulations concerning the origin of stormwater discharges.

There are numerous environmental regulatory requirements administered by federal, state, and local governments. Each level of government may have a major impact on areas of the MS4 or construction site that are subject to the audit. Therefore, auditors are advised to review federal, state, and local regulations in order to perform a comprehensive audit.

Review of Federal Legislation Clean Water Act The 1972 Amendments to the Federal Water Pollution Control Act (commonly known as the Clean Water Act or CWA) prohibit the discharge of any pollutant to waters of the United States from a point source unless the discharge is authorized by an NPDES permit. At the time of the 1972 amendments to the CWA, sewage treatment plant outfalls and industrial process wastewater were easily identified as point sources responsible for contributing to the degradation of water quality. However, as pollution control measures were instituted, it became evident that more diffuse sources, such as agricultural and urban stormwater runoff, also were contributing to the problem. In response to this concern, the Water Quality Act (WQA) of 1987 added Section 402(p) to the CWA and required EPA to establish a comprehensive two-phased approach to address stormwater discharges.

State and Local Regulations EPA is authorized under the CWA to directly implement the NPDES Program. EPA, however, may authorize states, territories, or tribes to implement all or parts of the national program. In such cases, the requirements mandated by the state, territory, or tribe must be at least as stringent as the federal regulations, but may be more stringent (e.g., permit coverage for stormwater discharges may be required for construction activity less than one acre). If the state, territory, or tribe does not have approval for administering the NPDES program, EPA will implement the NPDES program. While this document presents only federal NPDES regulations, auditors should ensure they are familiar with any state (or local) regulations addressing stormwater discharges to which the permittee is subject. Auditors should, as always, evaluate compliance based on the permit issued to the regulated facility -- regardless of whether it was a local, state, tribal, or federal authority who issued the general permit or individual permit.

Key Compliance Requirements In response to the 1987 Amendments to the CWA, EPA developed Phase I of the NPDES Stormwater Program in 1990.

Phase I requires all large and medium MS4s (as defined in 40 CFR 122.26 (b)(4) and (7), respectively) to have an NPDES permit covering discharges of stormwater (55 FR 47990). Phase I requires NPDES permits for stormwater discharges from:

t "Medium" and "large" municipal separate storm sewer systems (MS4s) generally serving, or located in incorporated places or counties with populations of 100,000 or more people t Eleven categories of industrial activity, one of which is construction activity that disturbs five acres of land or greater This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 1

Medium and large MS4s must apply for individual permits under the Phase I program. Dischargers in the industrial categories may seek coverage under applicable general permits. This protocol, however, does not address audits of industrial facilities other than those performing construction activity requiring stormwater permit coverage.

EPA developed Phase II of the NPDES Stormwater Program in October 1999. The Phase II rule requires NPDES permit coverage - mostly under general permits - for stormwater discharges from certain small MS4s (primarily all those located in urbanized areas serving populations of less than 100,000) and construction activity disturbing between 1 and 5 acres of land (60 FR 40230).

In the preamble to the 1999 (Phase II) regulations, EPA recommends using general permits for the sources regulated by this rule. The use of general permits, instead of individual permits, generally reduces the administrative burden on permitting authorities while also limiting the paperwork burden on regulated parties. Permit authorities may require individual permits to address specific concerns, for instance, when there may be a question as to whether the permitted discharge will meet water quality standards. Auditors should always evaluate compliance based on the terms of the local, state, territory, tribal, or federally-issued permit. This is particularly important as it relates to the compliance evaluation of individual permit holders.

For further information regarding the stormwater regulations, refer to U.S. EPAs Stormwater Website at www.epa.gov/npdes/stormwater. The EPA website provides up-to-date information on regulations developed under CWA and the Stormwater Program as well as other helpful information.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 2

Key Terms and Definitions Best management practices (BMPs)

Schedules of activities, prohibitions of practices, maintenance procedures, and other management practices to prevent or reduce the pollution of waters of the United States. BMPs also include treatment requirements, operating procedures, and practices to control plant site runoff, spillage or leaks, sludge or waste disposal, or drainage from raw material storage. (40 CFR 122.2)

Director The Regional Administrator or the State Director, as the context requires, or an authorized representative. When there is no approved state program, and there is an EPA administered program, Director means the Regional Administrator. When there is an approved state program, Director normally means the state Director. In some circumstances, however, EPA retains the authority to take certain actions even when there is an approved state program. For example, when EPA has issues an NPDES permit prior to the approval of a state program, EPA may retain jurisdiction over that permit after program approval, see 40 CFR 123.1). In such cases, the term Director means the Regional Administrator and not the state Director.

(40 CFR 122.2)

Discharge of a pollutant (a) Any addition of any pollutant or combination of pollutants to waters of the United States from any point source, or (b) Any addition of any pollutant or combination of pollutants to the waters of the contiguous zone or the ocean from any point source other than a vessel or other floating craft which is being used as a means of transportation. This definition includes additions of pollutants into waters of the United States from: surface runoff which is collected or channeled by man; discharges through pipes, sewers, or other conveyances owned by a State, municipality, or other person which do not lead to a treatment works; and discharges through pipes, sewers, or other conveyances, leading into privately owned treatment works.

This term does not include an addition of pollutants by any indirect discharger.(40 CFR 122.2)

Discharge-related activities Activities which cause, contribute to, or result in stormwater point source pollutant discharges as well as measures to control stormwater discharges, including the siting, construction and operation of BMPs to control, reduce or prevent stormwater pollution.

Facility or activity Any NPDES point source or any other facility or activity (including land or appurtenances thereto) that is subject to regulation under the NPDES program. (40 CFR 122.2)

General permit An NPDES permit issued under § 122.28 authorizing a category of discharges under the CWA within a geographical area.

(40 CFR 122.2)

Illicit discharge Any discharge to a municipal separate storm sewer that is not composed entirely of stormwater except discharges pursuant to a NPDES permit (other than the NPDES permit for discharges from the municipal separate storm sewer) and discharges resulting from fire fighting activities (40 CFR 122.26(b)(2)).

Large municipal separate storm sewer system All municipal separate storm sewers that are either:

(i) Located in an incorporated place with a population of 250,000 or more as determined by the latest Decennial Census by the Bureau of Census, or (ii) Located in specific counties, except municipal separate storm sewers that are located in the incorporated places, townships or towns within such counties; or (iii) Owned or operated by a municipality other than those described in (i) or (ii) and that are designated as part of the large or medium municipal separate storm sewer system due to the inter-relationship between the discharges of the designated storm sewer and the discharges from municipal separate storm sewers.

(40 CFR 122.26(b)(4))

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 3

Larger common plan of development or sale A contiguous area where multiple separate and distinct construction activities are occurring under one plan (e.g., the operator is building on three half-acre lots in a 6-acre development). Plan is broadly defined as any announcement or piece of documentation (including a sign, public notice or hearing, sales pitch, advertisement, drawing, permit application, zoning request, computer design, etc.) or physical demarcation (including boundary signs, lot stakes, surveyor markings, etc.)

indicating that construction activities may occur on a specific plot.

Major municipal separate storm sewer outfall (or major outfall)

A municipal separate storm sewer outfall that discharges from a single pipe with an inside diameter of 36 inches or more or its equivalent (discharge from a single conveyance other than circular pipe which is associated with a drainage area of more than 50 acres); or for municipal separate storm sewers that receive stormwater from lands zoned for industrial activity (based on comprehensive zoning plans or the equivalent), an outfall that discharges from a single pipe with an inside diameter of 12 inches or more or from its equivalent (discharge from other than a circular pipe associated with a drainage area of 2 acres or more) (40 CFR 122.26(b)(5)).

Major outfall A major municipal separate storm sewer outfall (40 CFR 122.26(b)(6)).

Medium municipal separate storm sewer system All municipal separate storm sewers that are either:

(i) Located in an incorporated p pplace with a ppopulation p of 100,000 or more but less than 250,000, as determined by the latest Decennial Census by the Bureau of Census; or (ii) Located in the counties listed in appendix I, except municipal separate storm sewers that are located in the incorporated places, townships or towns within such counties; or (iii) Owned or operated by a municipality other than those described in paragraph (b)(4) (I) or (ii) of this section and that are designated as part of the large or medium municipal separate storm sewer system due to the interrelationship between the discharges of the designated storm sewer and the discharges from municipal separate storm sewers.

(40 CFR 122.26(b)(7))

Municipal separate storm sewer A conveyance or system of conveyances (including roads with drainage systems, municipal streets, catch basins, curbs, gutters, ditches, man-made channels, or storm drains):

(i) Owned or operated by a state, city, town, borough, county, parish, district, association, or other public body (created by or pursuant to state law) having jurisdiction over disposal of sewage, industrial wastes, stormwater, or other wastes, including special districts under state law such as a sewer district, flood control district or drainage district, or similar entity, or an Indian tribe or an authorized Indian tribal organization, or a designated and approved management agency under Section 208 of the CWA that discharges to waters of the United States; (ii) Designed or used for collecting or conveying stormwater; (iii) Which is not a combined sewer; and (iv) Which is not part of a Publicly Owned Treatment Works (POTW) as defined at 40 CFR 122.2.

(40 CFR 122.26(b)(8))

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 4

Non-stormwater discharges Discharges not entirely composed of stormwater. Unless specifically authorized under an NPDES permit, these discharges are illegal. Commonly authorized non-stormwater discharges include:

• Water line flushing

• Landscape irrigation

• Diverted stream flows

• Rising ground waters

• Uncontaminated ground water infiltration (infiltration is defined as water other than wastewater that enters a sewer system, including sewer service connections and foundation drains, from the ground through such means as defective pipes, pipe joints, connections, or manholes. Infiltration does not include, and is distinguished from, inflow.)

• Uncontaminated pumped ground water

• Discharges from potable water sources

• Foundation drains

• Air conditioning condensate

• Irrigation water

• Springs

• Water from crawl space pumps

• Footing drains

• Lawn watering

• Individual residential car washing

• Flows from riparian habitats and wetlands

• Dechlorinated swimming pool discharges

• Street wash water

• Discharges or flows from fire fighting activities Outfall A point source as defined by 40 CFR 122.2 at the point where a municipal separate storm sewer discharges to waters of the United States and does not include open conveyances connecting two municipal separate storm sewers, or pipes, tunnels or other conveyances which connect segments of the same stream or other waters of the United States and are used to convey waters of the United States. (40 CFR 122.26(b)(9))

Owner or operator Operator of any facility or activity subject to the regulation under the NPDES program. (40 CFR 122.2)

Pollutant Dredged spoil, solid waste, incinerator residue, filter backwash, sewage, garbage, sewage sludge, munitions, chemical wastes, biological materials, radioactive materials (except those regulated under the Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.)), heat, wrecked or discarded equipment, rock, sand, cellar dirt and industrial, municipal, and agricultural waste discharged into water. (40 CFR 122.2)

Principal executive officer of a federal agency This includes:

(i) The chief executive officer of the agency, or (ii) A senior executive officer having responsibility for the overall operations of a principal geographic unit of the agency (e.g., Regional Administrators of EPA).

Qualified personnel A person knowledgeable in the principles and practice of erosion and sediment controls who possesses the skills to assess conditions at the construction site that could impact stormwater quality and to assess the effectiveness of any sediment and erosion control measures selected to control the quality of stormwater discharges from the construction activity.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 5

Qualifying local program A local, state, or Tribal municipal stormwater management program that imposes, at a minimum, the relevant requirements associated with the minimum control measures for small municipal stormwater programs [as detailed in 40 CFR 122.34(b)].

Regional Administrator The administrator of the appropriate Regional Office of the Environmental Protection Agency or the authorized representative of the Regional Administrator. (40 CFR 122.2)

Responsible corporate officer A responsible corporate officer means:

(i) A president, secretary, treasurer, or vice-president of the corporation in charge of a principal business function, or an other person who performs similar policy- or decision-making functions for the corporation, or (ii) the manager of one or more manufacturing, production, or operating facilities, provided, the manager is authorized to make management decision which govern the operation of the regulated facility including having the explicit or implicit duty of making major capital investment recommendations, and initiating and directing other comprehensive measures to assure long term environmental compliance with environmental laws and regulations; the manager can ensure that the necessary systems are established or actions taken to gather complete and accurate information for permit application requirements and where authority to sign documents has been assigned or delegated to the manager in accordance with corporate procedures.

(40 CFR 122.22)

Runoff coefficient The fraction of total rainfall that will appear at a conveyance as runoff. (40 CFR 122.26(b)(11))

Significant materials Includes, but is not limited to: raw materials; fuels; materials such as solvents, detergents, and plastic pellets; finished materials such as metallic products; raw materials used in food processing or production; hazardous substances designated under Section 101(14) of CERCLA; any chemical the facility is required to report pursuant to Section 313 of title III of SARA; fertilizers; pesticides; and waste products such as ashes, slag and sludge that have the potential to be released with stormwater discharges. (40 CFR 122.26(b)(12))

Small municipal separate storm sewer system A conveyance or system of conveyances (including roads with drainage systems, municipal streets, catch basins, curbs, gutters, ditches, man-made channels, or storm drains):

(i) Owned or operated by a state, city, town, borough, county, parish, district, association, or other public body (created by or pursuant to state law) having jurisdiction over disposal of sewage, industrial wastes, stormwater, or other wastes, including special districts under state law such as a sewer district, flood control district or drainage district, or similar entity, or an Indian tribe or an authorized Indian tribal organization, or a designated and approved management agency under Section 208 of the CWA that discharges to waters of the United States; (iii) Not defined as large or medium municipal separate storm sewer systems pursuant to 40 CFR 122.26 (b)(4) and (b)(7), or designated under 40 CFR 122.26 (a)(1)(v);

(iv) This term includes systems similar to separate sewer systems in municipalities, such as systems at military bases, large hospitals or prison complexes, and highways and other thoroughfares. The term does not include separate storm sewers in very discrete areas, such as individual buildings.

(40 CFR 122.26(b)(16))

Urbanized area A land area comprising one or more places - central place(s) - and the adjacent densely settled surrounding area - urban fringe

- that together have a residential population of at least 50,000 and an overall population density of at least 1,000 people per This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 6

square mile.

Stormwater Stormwater runoff, snow melt runoff, and surface runoff and drainage. (40 CFR 122.26(b)(13))

Typical Records to Review The following are typical records an auditor may review while conducting an environmental compliance audit.

• NPDES permits

• Stormwater Pollution Prevention Plan (SWPPP)

• Discharge monitoring reports (DMRs)

• Annual reports

• Notice of Intent documentation

• Hazardous waste transporter invoices or manifests

• Hazardous substance spill control and contingency plan

• Site plans

• Sediment and erosion control plans

• Stormwater management program plans

• Operation and maintenance plans

• Notices of noncompliance

• Notices of violations

• Administrative orders

• Local sewer ordinance

• Training manuals

• NPDES federal or state inspection reports Typical Physical Features to Inspect The following are typical physical features an auditor may observe while conducting an environmental compliance audit:

• Discharge outfall pipes

• Floor drains

• Parking lot drains

• Stormwater management facilities

• Covered storage facilities

• Silt fences

• Sediment traps and basins

• Outdoor storage areas exposed to stormwater Checklist User Guidance Only MS4s and construction activity are covered in this audit protocol document. Each of these categories is regulated slightly differently. The corresponding checklists for these two categories are specifically tailored to audits of each category and are designed as stand-alone tools.

Two audit checklists addressing the requirements for MS4s - one for large/medium MS4s and one for small MS4s - are included in this audit protocol. The audit checklist for medium and large MS4s is scaled down, since auditors must refer to the individual (site-specific) permits to evaluate compliance. The audit checklist for small MS4s refers to the model General Permit for Discharges from Small Municipal Separate Storm Sewer Systems. Auditors should refer to the specific EPA regional or state small MS4 general permit for any additional state specific requirements to evaluate compliance. Language will vary depending on permit format (e.g., state-wide, watershed specific, etc.)

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 7

The left column of the checklist includes requirements mandated by regulation or reference to the Federal Register. The second column of the checklist provide instructions to help conduct the audit. These instructions are performance objectives that should be accomplished by the auditor. Some of the performance objectives may be simple documentation checks that take only a few minutes; others may require a time-intensive physical inspection of an MS4 or construction site. The checklists contain the following components:

t Regulatory Requirement or Management Practice Column The Regulatory Requirement or Management Practice Column states either a requirement mandated by regulation or a best management practice that exceeds the requirements of the Federal regulations. The regulatory citation is given in parentheses after the stated requirement.

t Reviewer Checks Column:

The items under the Reviewer Checks: column identify requirements that must be verified to accomplish the auditors performance objectives. (The key to successful compliance auditing is to verify and document site observations and other data.) The checklists follow very closely with the text in EPAs general permits or CFR in order to provide the service they are intended to fulfill (i.e., to be used for compliance auditing). Wherever possible, the statements or items under the Reviewer Checks column, will follow the same sequence or order of the citations listed at the end of the statement in the Regulatory Requirement or Management Practice column.

t Reviewer Completed Column:

This column provides a check box that allows the auditor to keep track of those items which have been completed in the auditing process. A yes or no question may also be posed in this column to determine need for completion of additional check box items.

t Reviewer Notes Column This space is provided in the checklists to allow the auditor room for additional notes related to each item. This may include identifying the appropriate permit or regulatory authority for a particular item (i.e., if a state or local requirement supercedes the federal requirement), noting areas that need improvement, or options the owner or operator may employ to comply with a given requirement.

t Checklist Numbering System:

This checklist has incorporated a simplified numbering system for ease of use. Blank pages appear between checklist topic sections allowing an inspector to select and remove only the section of interest for use in the field. Each item in the checklist includes the associated regulatory citation or EPA permit reference in parentheses after the section title or text of the requirement.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 8

List of Acronyms and Abbreviations BMP Best Management Practice CERCLA Comprehensive Environmental Response, Compensation, and Liability Act (or Superfund)

CFR Code of Federal Regulations CWA Clean Water Act DMR Discharge Monitoring Report DOT Department of Transportation EPA Environmental Protection Agency EMS Environmental Management System FR Federal Register MS4 Municipal Separate Storm Sewer System NOI Notice of Intent NPDES National Pollutant Discharge Elimination System OECA Office of Enforcement and Compliance Assurance OSHA Occupational Safety and Health Administration POTW Publically Owned Treatment Works RCRA Resource Conservation and Recovery Act SARA Superfund Amendments and Reauthorization Act SMCRA Surface Mining Control and Reclamation SWMP Stormwater Management Program SWPPP Stormwater Pollution Prevention Plan TMDL Total Maximum Daily Load WLA Waste Load Allocation WQA Water Quality Act This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 9

Index for Checklist Users Refer To:

Checklist Items Page Numbers Construction Activity 1.0 through 6.0 12-31 Municipal Separate Storm Sewer Systems (MS4s)

& Medium and Large MS4s 7.0 through 8.15 33-37

& Small MS4s 9.0 through 17.0 39-51 This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 10

THIS PAGE INTENTIONALLY LEFT BLANK This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 11

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program NPDES Stormwater Requirements for Construction Activity Note: The following checklist follows the organization of US EPAs General Permit for Stormwater Discharges from Construction Activities (Construction General Permit, CGP). The CGP can be found at 68 Federal Register 39087 (July 1, 2003). As the permit was not printed in the Federal Register in its entirety, the corresponding permit number (not FR citation) is noted for each item. The regulatory citation is found after the section title or the requirement text where available. Some referenced sections of the CGP are combined to reduce redundancy and facilitate the review process.

It is important to note that construction site stormwater discharges may be covered under an individual permit or under an alternative state or EPA Regional permit. When this occurs, refer to that permit for any additional/different permit requirements that may not be included in the following checklist.

The following table includes checks the auditor should make during both the paperwork and on-site review of an operators management of construction site stormwater discharges. To facilitate the review process, Appendix A includes those checks that are to be performed on site and the associated permit reference.

Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed 1.0 Applicability Regulations generally apply to Verify the area of disturbance (acres) G construction activity that disturbs 1 or within the construction boundary.

more acres of land. [(5 or more acres

- 40 CFR 122.26(b)(14)(x) and (1-5 acres - 40 CFR 122.26(b)(15)(i))]

Regulations apply if the construction Determine whether the construction G activity disturbs less than 1 acre of activity is part of a larger common land, but is part of a larger common plan of development or sale.

plan of development or sale that will ultimately disturb 1 or more acres. Verify the size of disturbance or G

[(5 or more acres - 40 CFR planned disturbance in the common 122.26(b)(14)(x) and (1-5 acres - 40 plan.

CFR 122.26(b)(15)(i))]

2.0 Coverage under the Permit (CGP Part 1) 2.1 Eligibility (CGP Part 1.3) 2.1.1 Discharging into Receiving Waters with an Approved TMDL and Documentation of Permit Eligibility (CGP Part 1.3.C.5 and 3.14. A, B, and C)

The operator must address Is there a TMDL for the receiving G yes G no stormwater discharges that water with conditions applicable to contribute to waters for which a the operators discharges?

TMDL has been established or approved. [40 CFR If yes, verify the SWPPP includes :

122.44(d)(1)(vii)(B)]

• If the TMDL identifies whether G The SWPPP must include the operators discharge is documentation supporting a identified in a TMDL (either determination of permit eligibility with specifically or generally)?

regard to waters that have an EPA-

• Any associated allocations, established or approved TMDL. G requirements, and assumptions (CGP Part 3.14.A, B, C) identified for the operators discharge This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 12

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed

• Conditions applicable to the G discharges necessary for consistency with these assumptions/requirements

• Summaries of consultation with G state/federal TMDL authorities on consistency of SWPPP conditions with the approved TMDL

• Measures/controls taken to ensure the discharge is G consistent with the assumptions/

requirements of the TMDL If a specific wasteload allocation been established that would apply to G the operators discharge, verify the operator has incorporated the allocation into the SWPPP and steps have been implemented to meet the allocation.

If a general wasteload allocation has G

been established applicable to construction stormwater discharges, but no specific requirements for construction sites are established, verify the operator has consulted with the state or federal TMDL authority to confirm adherence to a SWPPP that meets requirements of the permit and is consistent with the TMDL.

Note: Where a wasteload allocation has not been specified for construction stormwater discharges, but has not specifically excluded these discharges, adherance to a SWPPP that meets the requirements of the CGP will generally be assumed to be consistent with the approved TMDL.

Note: If the TMDL specifically precludes such discharges, the operator is not eligible for coverage under EPAs CGP.

Verify on site the operator has G incorporated measures or controls into the SWPPP that are consistent with the assumptions and requirements of the TMDL.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 13

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed 2.1.2 Endangered and Threatened Species and Critical Habitat Protection and Documentation of Permit Eligibility (CGP Part 1.3.C.6 and 3.7)

Permit coverage is available only if Verify the SWPPP includes:

the operators stormwater discharges, allowable non-

• Whether federally-listed G stormwater discharges, and endangered or threatened stormwater-related activities are not species, or federally-designated likely to jeopardize the continued critical habitat may be in the existence of any species that are project area federally-listed as endangered or

• If such species or critical habitat threatened (listed) under the G exist in the project area, whether Endangered Species Act (ESA) or such species or critical habitat result in the adverse modification or may be adversely affected by destruction of habitat that is stormwater discharges or federally-designated as critical under discharge related activities the ESA (critical habitat).

• The results of the permits listed species and critical habitat G The operator is not eligible to screening determination discharge if the stormwater

• Confirmation of NOI delivery to G discharges, allowable non- permitting authority stormwater discharges, or

• Any correspondence with the G stormwater discharge-related U.S. Fish and Wildlife Service activities would cause a prohibited (FWS), EPA, the U.S. National take of federally-listed endangered Marine Fisheries Service or threatened species, unless (NMFS), or others on project authorized under sections 7 or 10 of planning related to listed species the ESA. or critical habitat, including any notification that delays (CGP 1.3.C.6) authorization to discharge

• A description of measures G The SWPPP must include necessary to protect listed documentation supporting a species or critical habitat, if found determination of permit eligibility with in the project area.

regard to endangered species. (CGP 3.7) Verify on site the permittee has G implemented measures (i.e., BMPs) to protect listed threatened or endangered species or critical habitat.

2.1.3 Historic Properties (CGP Part 1.3.C.7)

The operator must comply with Verify the SWPPP has identified any G applicable state, tribal, and local applicable laws regarding historic laws concerning the protection of properties.

historic properties and places.

Verify the SWPPP has identified the G need for the protection of historic property and any measures to protect these site(s).

Verify on site the permittee has G

implemented measures to protect historic properties and places.

3.0 Authorization for Discharges of Stormwater from Construction Activity (CGP Part 2)

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 14

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed Dischargers of stormwater Determine if all operators on site G associated with industrial activity [40 have submitted an NOI.

CFR 122.26(b)(14)(x)] and with small construction activity [122.26(b)(15)] Verify the operator has provided all G are required to apply for an individual the information required by the permit or seek coverage under a permitting authority in the promulgated stormwater general application/NOI.

permit. Facilities that are required to obtain an individual permit or any Verify commencement date of discharge of stormwater which the G construction activities is consistent Director is evaluating for the with submission requirements under designation under 40 CFR the permit.

122.26(a)(1)(v) and is not a municipal storm sewer, shall submit an NPDES application in accordance Determine whether operator has with the requirements of 40 CFR changed at the site. If so, verify:

122.21 as modified and supplemented by the provisions of

• The submission date of new NOI.

this paragraph. [40 CFR G 122.26(c)(1)]

• The date the new operator began work on the site after the new Operators seeking coverage under a NOI was submitted. G general permit shall submit to the Director a written notice of intent (NOI) to be covered by the general permit. A discharger who fails to submit an NOI in accordance with the terms of the permit is not authorized to discharge under the terms of the general permit unless the general permit, in accordance with 40 CFR 122.28 (b)(2)(v),

contains a provision that an NOI is not required or the Director notified a discharger that it is covered. [40 CFR 122.28(b)(2)]

4.0 Stormwater Pollution Prevention Plans (SWPPPs) (CGP Part 3) 4.1 SWPPP Framework (CGP Part 3.1)

A SWPPP must be developed for Verify SWPPP covers the entire G each construction project or site construction site or project for this covered by this permit prior to permit.

submission of an NOI. (CGP Part 3.1.A) Verify the date of the SWPPP and G NOI.

The SWPPP must be prepared in Verify that measures proposed in the G accordance with good engineering SWPPP are based on good practices. (CGP Part 3.1.A) engineering practices (such as those recommended in state or local Sediment and Erosion Control Manuals or Handbooks) which would achieve the intended level of controls.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 15

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed The SWPPP must identify all Verify the SWPPP includes a G potential sources of pollution that description of potential pollutant may be reasonably expected to sources.

affect stormwater quality from the site. (CGP Part 3.1.B.1)

ALSO SEE Section 4.4 Pollution Prevention Plan Contents: Controls to Reduce Pollutants, CGP Part 3.4.I and Section 4.5 Non-stormwater Discharge Management, CGP Part 3.5 The SWPPP must describe practices Verify that the SWPPP contains a G to be used to reduce pollutants in description of the practices that will stormwater discharges from the be used to reduce pollutants from construction site. (CGP Part 3.1.B.2) stormwater discharges.

ALSO SEE Section 4.4 Pollution Prevention Plan Contents: Controls to Reduce Pollutants The SWPPP must assure After a complete review of the G compliance with permit terms and SWPPP, verify it is consistent with conditions. (CGP Part 3.1.B.3) permit conditions described herein.

Once a definable area has been If a definable area is marked on the G finally stabilized, the operator may SWPPP as being stabilized, verify mark this on the SWPPP and no that it is indeed stabilized on site.

further SWPPP or inspection requirements apply to that portion of the site. (CGP Part 3.1.C) 4.2 Requirements for Different Types of Operators (CGP Part 3.2)

Note: One or both of (CGP 3.2.A) and (CGP 3.2.B) may apply to the permittee. (CGP 3.2.C) applies to all permittees having control over only a portion of a construction site.

Permittees with operational control Verify the SWPPP indicates the G over construction plans and areas of the project where the specifications must ensure: operator has operational control.

• Project specifications meet Verify the SWPPP addresses G permit conditions procedures to notify those who may

• SWPPP indicates areas of the be impacted by the SWPPP. If project where operator has changes have been made to operational control over project SWPPP, verify these permittees specifications and ability to make have indeed been notified.

modifications to specifications

• Other permittees implementing Verify the SWPPP contains the portions of SWPPP (or their own name for responsible party(ies) with G SWPPP) who may be impacted day-to-day operational control and by a change are notified by responsibilities.

changes in a timely manner

• SWPPP indicates the name of This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 16

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed party(ies) with day-to-day operational control over those activities necessary to ensure compliance with the SWPPP or permit conditions (CGP Part 3.2.A)

Permittees with operational control Verify the SWPPP indicates areas G over day-to-day activities must where the permittee has operational ensure the SWPPP: control over day-to-day activities.

• Meets the minimum permit Verify the SWPPP contains the G requirements and identifies the name of party(ies) with operational parties responsible for control over project specifications.

implementation of control measures identified in the plan

• Indicates those areas of the project where the operator has operational control over day-to-day activities

• Includes the name of the party(ies) with operational control over project specifications (including the ability to make modifications in specifications)

(CGP Part 3.2.B)

With operational control over only a Verify the permittee is responsible G portion of a larger project, the for only a portion of a larger project permittee is responsible for (e.g., one of four homebuilders in a compliance with all applicable terms subdivision).

and conditions of the permit as it relates to the activities on that Verify that a SWPPP has been G portion of the construction site, developed for this portion of the including the protection of project or that the operator has endangered species, critical habitat, implemented a portion of a common and historic properties, and SWPPP.

implementation of BMPs and other controls required by the SWPPP. Verify on site that the operators activities have not negatively G The operator must ensure either impacted another partys pollution directly or through coordination with controls.

other permittees, that his/her activities do not render another partys pollution control ineffective.

The operator must either implement his/her portion of a common SWPPP or develop and implement his/her own SWPPP.

(CGP Part 3.2.C)

ALSO SEE 2.1.2 and 2.1.3 for This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 17

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed reference to endangered species, critical habitat, and historic properties.

4.3 Pollution Prevention Plan Contents: Site and Activity Description (CGP Part 3.3)

The SWPPP must identify all Verify the name of responsible G operators for the project site, and the party(s) with day-to-day operational areas of the site over which each control of those activities necessary operator has control. (CGP Part to ensure compliance with SWPPP 3.3.A) or other permit conditions.

Verify the SWPPP indicates areas G where the responsible party has control.

The SWPPP must include the nature Verify the SWPPP includes the of the construction activity. (CGP following:

Part 3.3.B)

• The function of the project (e.g., G low density residential, shopping mall, highway, etc.)

• The intended sequence and G timing of activities that disturb soils at the site

• Estimates of the total area G

expected to be disturbed by excavation, grading, or other construction activities, including dedicated off-site borrow and fill areas

• A general location map (e.g.,

USGS quadrangle map, a portion G of a city or county map, or other map) with enough detail to identify the location of the construction site and waters of the United States within one mile of the site.

The SWPPP must contain a legible Verify the SWPPP includes a site site map, showing the entire site. map, indicating the following:

(CGP Part 3.3.C)

• Direction(s) of stormwater flow G and approximate slopes anticipated after major grading activities

• Areas of soil disturbance and G areas that will not be disturbed

• Locations of major structural and G

nonstructural BMPs identified in the SWPPP

• Locations where stabilization practices are expected to occur G

• Locations of off-site material, waste, borrow or equipment G This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 18

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed storage areas G

• Locations of all waters of the United States (including wetlands)

• Locations where stormwater G discharges to a surface water

• Areas where final stabilization G has been accomplished and no further construction-phase permit requirements apply The SWPPP must describe and Verify the SWPPP includes the identify the location and description location and description of the of any stormwater discharge following discharges, as applicable:

associated with industrial activity other than construction at the site.

• Dedicated asphalt plants G This includes stormwater discharges

• Dedicated concrete plants G from dedicated asphalt plants and dedicated concrete plants, that are

• Other industrial activity other G than construction that are covered by this permit. (CGP Part occurring on the site 3.3.D)

ALSO SEE 4.4 Pollution Prevention Plan Contents: Controls to Reduce Pollutants, CGP Part 3.4.I 4.4 Pollution Prevention Plan Contents: Controls to Reduce Pollutants (CGP Part 3.4)

The SWPPP must include a Verify that, for each major activity description of all pollution control identified in the project description, measures (i.e., BMPs) that will be the SWPPP clearly describes:

implemented as a part of the construction activity to control

• Appropriate control measures G pollutant in stormwater discharges. and their locations on the site (CGP Part 3.4.A)

• General sequence during the G construction process in which the measures will be implemented

• Operator who is responsible for G

the control measures implementation The SWPPP must include a Verify the SWPPP:

description of interim and permanent stabilization practices for the site

• Describes interim and permanent G including a schedule of when stabilization practices practices will be implemented. (CGP

• Provides a schedule as to when G Part 3.4.B) these practices are to be im plemented Stabilization measures must be

• Addresses preservation of G initiated as soon as practicable in existing vegetation, where portions of the site where attainable, and stabilization of construction activities have disturbed soil temporarily or permanently ceased, but in no case more than 14 days Verify on site disturbed areas are after the construction activity in that stabilized (sodded or covered by G portion of the site has temporarily or other means) where construction This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 19

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed permanently ceased. (CGP Part activities have temporarily or 3.13.D) permanently ceased.

Note: Stabilization must be initiated as soon as practicable in situations where it is not possible within 14 days. Exceptions include:

• Snow cover and frozen ground conditions

• Arid, semiarid, and drought-stricken areas where initiating perennial vegetative stabilization is not possible Note: If construction activity on a portion of the site is temporarily ceased, and earth disturbing activities will be resumed within 14 days, temporary stabilization measures do not have to be initiated on that portion of the site.

Records must be maintained and Verify the following records are attached to the SWPPP. (CGP Part attached to the plan:

3.4.C)

• Dates when major grading G activities occur

• Dates when construction G activities temporarily or permanently cease on a portion of the site G

• Dates when stabilization measures are initiated The SWPPP must include a Verify the SWPPP includes a G description of structural practices to description of structural practices, divert flows from exposed soils, their locations, and their intended retain/detain flows, or otherwise limit functions.

runoff and discharge of pollutants from exposed areas of site. (CGP Note: Such practices are not to be Part 3.4.D) placed in flood plain zones to the degree practicable.

A combination of sediment and erosion control measures are Verify the SWPPP addresses the required to achieve maximum G appropriate sediment and erosion pollutant removal. (CGP Part 3.13.E) control measures for the drainage area of the site including.

For 10 or more disturbed areas:

G

• A sediment basin with sufficient storage volume from a 2-year, 24 hour2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> storm event or a basin with storage of 3,600 cubic feet per This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 20

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed acre of drainage area (or equivalent measure)

• Silt fences, vegetative buffer strips, or equivalent sediment controls for all down slopes For 10 acres or more disturbed and G where a temporary sediment basin is not attainable:

• Smaller sediment basins and/or sediment traps

• Silt fences, vegetative buffer strips, or equivalent sediment controls for all down slope boundaries For drainage locations serving less than 10 acres: G

• Smaller sediment basins and/or sediment traps

• Silt fences, vegetative buffer strips, or equivalent sediment controls for all down slope boundaries of the construction area (unless a sediment basin providing storage from a 2-year, 24-hour storm or 3,600 cubic feet of storage per acre is provided Verify on site that these measures have been implemented.

G The SWPPP must include a Verify the SWPPP includes a G description of all post-construction description of measures to control stormwater management measures stormwater discharges after the to be installed during the completion of construction.

construction process after construction operations have been Verify placement of structural G completed. measures in the SWPPP and on site.

Structural measures should be Verify SWPPP includes discussion of placed on upland soils to the degree placement of measures if not put on practicable. G upland soils.

Such measures must be designed and installed in compliance with applicable federal, local, state, or tribal requirements.

(CGP Part 3.4.E)

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 21

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed The SWPPP must describe Verify the SWPPP states that no G measures to prevent the discharge solid/building materials will be of solid materials, including building discharged into the waters of the materials, to waters of the United United States. If these discharges States, except as authorized by a are planned, verify reference in the permit issued under Section 404 of SWPPP to a permit issued under the CWA. (CGP Part 3.4.F) Section 404 of the CWA.

Verify on site through inspection of outfalls that no solid/building G materials are discharged unless authorized by a permit.

The SWPPP must describe Verify in the SWPPP that measures G measures to minimize to the extent (such as use of stone entrances or practicable off-site vehicle tracking of truck washing) to minimize vehicle sediments onto paved surfaces and tracking of sediments and the the generation of dust. (CGP Part generation of dust are provided.

3.4.G)

Verify on site that accumulation of G If sediment escapes the construction sediment, or signs of sediment site, off-site accumulations of escape, does not appear outside the sediment must be removed at a construction entrance or perimeter of frequency sufficient to minimize off- the construction site.

site impacts. (CGP Part 3.13.B)

Verify the SWPPP identifies measures and schedule are G identified to remove sediment escaping the construction site.

The SWPPP must include a Verify the SWPPP includes a G description of construction and waste description of construction and waste materials expected to be stored on- materials to be stored on-site.

site with updates as appropriate.

Verify on site that those construction G The SWPPP must include a and waste materials stored on-site description of controls, including match those noted in the SWPPP.

storage practices, to minimize the exposure of the materials to Verify the SWPPP includes a stormwater, and spill prevention and G description of exposure minimization response practices. practices, including storage practices, to prevent construction (CGP Part 3.4.H) and waste materials from becoming sources of pollution. Verify, at a Litter, on-site construction debris, minimum, this includes:

and construction chemicals that could be exposed to stormwater

• Litter must be prevented from becoming a

• On-site construction debris pollutant source in stormwater

• Construction chemicals discharges. (CGP Part 3.13.C)

Verify on site that the exposure minimization practices discussed in G the SWPPP have been implemented.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 22

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed Verify on site the stormwater G conveyance system and the outside perimeter of the construction site are free of debris and chemicals.

Verify the SWPPP includes a description of spill prevention and G response practices.

Verify on site that the spill prevention and response practices are being implemented (there are materials G provided to employees, trainings, etc.)

Velocity dissipation devices must be Verify in the SWPPP adequate G placed at discharge locations and outfall protection including velocity along the length of any outfall dissipation devices are provided channel to provide a non-erosive where required.

flow velocity from the structure to a water course so that the natural Verify on site:

physical and biological characteristics and functions are

• The velocity dissipation devices maintained an protected (e.g., no G have been installed significant changes in the

• There is no evidence of erosion G hydrological regime of the receiving at outlet water). (CGP Part 3.13.F)

• High velocity flow has not G

misplaced rocks

• The size and number of rocks are adequate to avoid soil G erosion

• There is no evidence of additional sedimentation in G receiving water attributable to the site The SWPPP must include a Verify the SWPPP includes:

description of pollutant sources from areas other than construction

• Description of pollutant sources G (including stormwater discharges from areas other than from dedicated asphalt plants and construction (including dedicated dedicated concrete plants), and a asphalt plants and concrete description of controls and measures plants) that will be implemented at those

• Controls and measures to sites to minimize pollutant G minimize pollutant discharges discharges. (CGP Part 3.4.I) from these sources.

4.5 Non-Stormwater Discharge Management (CGP Part 3.5)

The SWPPP must identify all Verify the SWPPP identifies:

allowable sources of non-stormwater discharges listed in the permit [see

• Sources of non-stormwater that G Key Terms and Definitions], except are combined with stormwater for flows from fire fighting activities, discharges from construction that are combined with stormwater activities discharges associated with This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 23

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed construction activities at the site.

• Appropriate water pollution G prevention measures and Non-stormwater discharges should descriptions for the control of be eliminated or reduced to the non-stormwater discharges.

extent feasible.

Verify on site non-stormwater The SWPPP must identify and discharges are eliminated or reduced G ensure the implementation of to the extent feasible appropriate pollution prevention measures for the non-stormwater component(s) of the discharge.

4.6 Maintenance of Controls (CGP Part 3.6) ALSO SEE 4.9, Maintaining an Updated Plan, CGP Part 3.11 All erosion and sediment control Verify the control measures selected G measures and other protective have been deemed appropriate for measures identified in the SWPPP the site (measures have been must be maintained in effective approved and have not been operating condition. (CGP Part modified or replaced without 3.6.A) approval).

All control measures must be Verify on site that the control G

properly selected, installed, and measures, including erosion and maintained in accordance with any sediment controls, identified in the relevant manufacturers SWPPP are installed and operating specifications and good engineering effectively. This may require visiting practices. If periodic inspections or the site after a rain event (ALSO other information indicates a control SEE 4.10 Inspections, CGP 3.10.E).

has been used inappropriately, or incorrectly, the operator must Determine if inspection records have G replace or modify the control for site identified any improperly or situations as soon as practicable. incorrectly used/maintained controls.

(CGP Part 3.13.A)

Verify the operator has procedures in G place to fix improperly functioning control measures identified during inspections so that issues are addressed as soon as practicable (preferably before the next storm event).

Verify on site that if a control measure has been used G inappropriately or correctly it has been replaced or modified.

Verify this change has been G documented in the SWPPP.

If existing BMPs need to be modified If BMPs have required modification or if additional BMPs are necessary or have been added, verify the for any reason, implementation must SWPPP:

be completed before the next storm event whenever practicable.

• Has been updated to include G these changes If implementation before the next

• Details the schedule for the G This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 24

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed storm event is impracticable, the implementation of changes and, G situation must be documented in the if applicable:

SWPPP and alternative BMPs must

• Detail if changes were not be implemented as soon as possible. made before the next rain (CGP Part 3.6.B) event G

• The alternative BMPs that ALSO SEE 4.9 Maintaining and were implemented Updated Plan, CGP Part 3.11 immediately G

Verify on site that these changes have been implemented.

Sediment from sediment traps or Verify the SWPPP address removal G sedimentation ponds must be of sediment from sedimentation removed when design capacity has ponds.

been reduced by 50 percent. (CGP Part 3.6.C) Verify on site that sediment G accumulated does not exceed 50 percent of capacity of sediment traps and/or sediment ponds.

4.7 Applicable State, Tribal, or Local Programs (CGP Part 3.9)

The SWPPP must be consistent with Verify the SWPPP contains G applicable state, tribal, and/or local provisions to be consistent with requirements for soil and erosion applicable state, tribal, or local control and stormwater management requirements for soil and erosion including updates as necessary to control and stormwater reflect revision to the requirements. management.

4.8 Inspections (CGP Part 3.10)

Inspections must be conducted in Verify the SWPPP includes the G accordance with the permits intended inspection schedule which inspection schedule. (3.10.A) is either:

• At least once every 7 calendar days OR

• At least once every 14 calendar days and within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> of the end of a storm event of 0.5 inches or greater.

Inspection frequency may be If operator has modified inspection G reduced to at least once every month schedule, verify in the SWPPP that a given specific seasonal, project, or monthly inspection schedule has geographic conditions. (CGP Part been implemented.

3.10.B)

If the inspection frequency has been G reduced, verify on site that one of the following conditions applies:

• The entire site is temporarily This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 25

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed stabilized

• Runoff is unlikely due to winter conditions (e.g., site is covered with snow, ice, or the ground is frozen)

• Construction is occurring during seasonal arid periods in arid areas and semi-arid areas A waiver of inspection requirements If the operator has sought a waiver is available until one month before from inspection requirements verify thawing conditions are expected to all the following conditions are met:

result in a discharge. (CGP Part 3.10.C)

• Project is located in an area G where frozen conditions are anticipated to extend for more than one month.

• Land disturbance activities have G

been suspended

• Beginning and end dates of waiver period are documented in G the SWPPP Inspections must be conducted by Verify the SWPPP identifies G qualified personnel [See Key Terms appropriate personnel to conduct and Definitions] (provided by the inspections.

operator or cooperatively by multiple operators). (CGP Part 3.10.D)

Inspections must include all areas of Verify the SWPPP contains a G the site disturbed by construction description of inspection procedures activity and areas used for storage of for:

materials that are exposed to precipitation. Inspectors must look

• Disturbed areas for evidence of, or the potential for,

• Storage sites for materials and pollutants entering the stormwater chemicals exposed to conveyance system. precipitation Sedimentation and erosion control Verify procedures are in place to measures identified in the SWPPP G inspect accessible discharge must be observed to ensure proper locations as well as nearby operation. downstream locations when discharge sites are inaccessible.

Discharge locations must be inspected to ascertain whether Verify inspection reports include erosion control measures are evaluations of:

effective in preventing significant impacts to waters of the United G

• Evidence of, or potential for, States, where accessible.

pollutants to enter the stormwater conveyance system Where discharge locations are

• Erosion and sediment control G inaccessible, nearby downstream measures operating correctly locations must be inspected to the (functioning as described in the extent that such inspections are SWPPP) practicable.

• Evidence of offsite sediment G This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 26

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed tracking where vehicles enter Locations where vehicles enter or and exit the site G exit the site must be inspected for

• Erosion control measures are evidence of off-site sediment effective (i.e., no downstream tracking. evidence of silt or construction debris) at accessible discharge (CGP Part 3.10.E) locations or nearby downstream locations (with inaccessible sites)

When stabilization of soils may be At sites with utility line installation, G compromised as the result of pipeline construction, and other inspection of utility line installation, examples of long, narrow, linear pipeline construction, and other construction activities verify controls examples of long, narrow, linear are inspected at the same frequency construction activities, controls must as other construction projects.

be inspected on the same frequencies as other construction If representative inspections are projects, but representative G performed, verify personnel inspects inspections may be controls along the site 0.25 miles performed. above and below each access point.

For representative inspections, personnel must inspect controls along the construction site for 0.25 mile above and below each access point where a roadway, undisturbed right-of-way, or other similar feature intersects the construction site and allows access to the areas described above.

The conditions of the controls along each inspected 0.25 mile segment may be considered as representative of the condition of controls along that reach extending from the end of the 0.25 mile segment to either the end of the next 0.25 mile inspected segment, or to the end of the project, whichever occurs first.

(CGP Part 3.10.F)

For each inspection an inspection Verify the SWPPP contains a record G report must be completed. of each inspection and any actions taken.

A record of each inspection and of any actions taken in accordance with Verify the inspection reports identify G this Part must be retained as part of incidents of non-compliance or the SWPPP for at least three years certification that the site is in from the date that permit coverage compliance.

expires or is terminated.

Verify the reports contains, at a The inspection reports must identify minimum, the following elements:

any incidents of non-compliance with the permit conditions. Where a report

• Summarized scope of inspection This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 27

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed does not identify any incidents of

• Dates of inspections G non-compliance, the report must

• Names, titles, and qualifications G contain a certification that the of personnel conducting G construction project or site is in inspections compliance with the SWPPP and this

• Weather information for the permit. period since the last inspection (or commencement of (CGP Part 3.10.G) construction activity if the first G

inspection) including:

• A best estimate of the beginning of each storm event

• Duration of each storm event, approximate amount of rainfall for each storm event (in inches)

• Whether any discharges occurred

• Weather information and a description of any discharges occurring at the time of the inspection G

• Location(s) of discharges of sediment or other pollutants from the site

• Location(s) of BMPs that need to be maintained G

• Location(s) of BMPs that failed to operate as designed or proved G inadequate for a particular location G

• Location(s) where additional BMPs are needed that did not exist at the time of inspection G

• Corrective action required including any changes to the SWPPP necessary and G implementation dates

• Any incidents of noncompliance with the stormwater permit or SWPPP (if not - report must contain certification of G compliance with SWPPP and permit)

• An appropriate signature G

4.9 Maintaining an Updated Plan (CGP Part 3.11)

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 28

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed Permittee must amend the SWPPP, Determine if there have been any G including site map, whenever there is changes in design, construction, a change in design, construction, operation, or maintenance.

operation, or maintenance that could have a significant effect on discharge If so, verify the SWPPP was G of pollutants to waters of the U.S. not amended to reflect the changes.

previously addressed in the SWPPP.

(CGP Part 3.11.A )

Permittee must amend the SWPPP Determine if there were any G whenever inspections or inspections or investigations that investigations indicate the plan is identified ineffectiveness of plan.

ineffective in eliminating or minimizing pollutants. (CGP Part If so verify:

3.11.B)

• The SWPPP was modified to Based on results of inspection, the include revisions to BMPs to G SWPPP shall be modified as correct problems identified during necessary to include additional or the inspection modified BMPs to correct problems

• Verify these revisions were made identified. Revisions to the SWPPP within 7 days must be completed within seven (7) G

• Implementation of additional or calendar days following the modified BMPs were completed inspection. (CGP Part 3.11.C) prior to next storm event or as G soon as practicable.

4.10 Signature, Plan Review, and Making Plans Available (CGP Part 3.12)

Copies of the permit and of the Verify the SWPPP contains:

signed and certified NOI form that was submitted to EPA must be

• A copy of the permit G included in the SWPPP. Also, upon

• A copy of the signed and certified G receipt, a copy of the letter from the NOI form EPA Stormwater Notice Processing

• A copy of the notification letter G Center notifying the operator of from the EPA Stormwater Notice EPAs receipt of your Processing Center indicating administratively complete NOI must receipt of complete NOI also be included as a component of the SWPPP. (CGP Part 3.8)

Verify these documents are kept on G site or another nearby location has A copy of the SWPPP (including a been identified.

copy of the permit), NOI, and acknowledgment letter from EPA If an on-site location is unavailable, must be kept at the construction site verify a notice of the plans location G or at another location easily accessible during business hours is posted near the main entrance at available from commencement of the construction site in the event an construction activities to the date of when no personnel are present.

final stabilization. (CGP Part 3.12.A )

Verify the posted notice includes the A sign or other notice containing this following information:

documentation must be posted conspicuously near the main

• A copy of the completed NOI G entrance of the construction site. If

• The name and telephone number G displaying near the main entrance is of the contact person for infeasible, the notice can be posted scheduling SWPPP viewing in a local public building such as the times if this information is This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 29

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed town hall or public library. (CGP Part different than that submitted in 3.12.B) the NOI G

• Current location of the SWPPP (if viewing location has changed from that noted in the NOI) G

• Name and telephone number of a contact person for scheduling viewing times Note: If displaying near the main entrance is infeasible, the notice can be posted in a local public building such as the town hall or public library.

Note: For linear projects, verify that the sign or other notice is posted at a publicly accessible location near the active part of the construction project (e.g., where a pipeline project crosses a public road).

SWPPPs must be made available Verify the SWPPP contains G upon request by EPA; a state, tribal, measures are to make the plan or local agency approving sediment available for review upon request by and erosion plans, grading plans, or a government official during an stormwater management plans; local inspection.

government officials; the operator of a municipal separate storm sewer receiving discharges from the site; and representatives of FWS and NMFS. (CGP Part 3.12.C)

The SWPPP must be signed and Verify the SWPPP is signed by the G certified by a responsible corporate appropriate authority.

officer (corporation), a general partner or proprietor (partnership or sole proprietorship), a principal executive officer or ranking elected official (municipal, state, federal, or other public agency). (CGP Part 3.12.D)

ALSO SEE Key Terms and Definitions for additional detail 5.0 Released in Excess of Reportable Quantities The discharge of hazardous Determine if records contain G substances or oil in stormwater reference to any releases of discharges from the construction site hazardous substances or oil of must be prevented or minimized in reportable quantities during a 24-accordance with the SWPPP. hour period.

If a release occurs, it must be If so, verify records detail that the G reported and the SWPPP modified National Response Center was This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 30

Compliance Category:

Stormwater Management for Construction Activity Regulatory Requirement or Reviewer Reviewer Checks Reviewer Notes Management Practice: Completed within seven days of knowledge of notified.

the release. (CGP Part 4.3) G Verify that the SWPPP was modified to include: G G

• A description of the release

• The circumstances leading to the G release G

• The date of the release

• Measures to prevent the G reoccurrence of such release

• Measures to respond to such releases 6.0 Records Retention (CGP Part 6.0)

Copies of the SWPPP and all Verify the permittee has copies on documentation required by this file of the following:

permit, including records of all data used to complete the NOI to be

• SWPPP G covered by this permit, must be

• All reports required by the permit G retained for at least three years from

• Records of all data used to G the date that permit coverage complete the NOI expires or is terminated. This period may be extended by request of EPA at any time.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 31

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program THIS PAGE INTENTIONALLY LEFT BLANK This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 32

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program NPDES Stormwater Requirements for Large and Medium Municipal Separate Storm Sewer Systems Note: As a general permit is not available for large and medium municipal separate storm sewer systems (MS4s), the requirements detailed below are based on the permit requirements outlined in the 1990 regulation (55FR 47990). Refer to the individual citys permit for specific requirements. The corresponding permit section number and/or regulation citation is found after the section title or the requirement text.

Compliance Category:

Stormwater Management for Large and Medium MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed 7.0 Applicability 7.1 Large and medium MS4s are Verify that an application has been G required to apply for an NPDES submitted for a permit.

permit. [40 CFR 122.26(a)(iii)-(iv)]

Note: Large / Medium MS4s are defined in 40 CFR 122.26(b)(4) and 122.26(b)(7).

8.0 Permit Requirements (40 CFR 122.41) 8.1 Permittees with currently Verify the date of reapplication if G effective permits shall submit a new permittee has reapplied for permit application 180 days before the coverage.

existing permit expires, except that:

The Regional Administrator may grant permission to submit an application later than the deadline before submission otherwise applicable, but no later than the permit expiration date. [40 CFR 122.21(d)(2)].

8.2 The permittee must comply with Verify that the municipality is G all conditions of the permit. [40 CFR operating according to permit 122.41(a)] conditions.

Determine if the municipality has a G history of non-compliance with its MS4 NPDES permit (possibly indicating propensity toward non-compliance).

8.3 Samples and measurements Verify that monitoring (i.e., G taken for the purpose of monitoring measurements and samples) shall be representative of the consists of representative sampling.

monitored activity. [40 CFR 122.41(j)(1)]

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 33

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Large and Medium MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed 8.4 The permittee shall retain Verify that the following records are records of all monitoring information being maintained and have been on for a period of at least three years file for three years:

from the date of the sample, measurement, report or application.

• Calibration and maintenance G This period may be extended by the records Director at any time. [40 CFR

• Original strip chart recordings for 122.41(j)(2)] G continuous monitoring instrumentation

• All data used to complete the G

permit application

• All reports required by the permit G

• Records of all data used to complete the permit application G

8.5 Large and medium MS4s must Verify that all monitoring records include detailed information include the:

regarding each monitoring event in all monitoring records. [40 CFR

• Date, exact place, and time of G 122.41(j)(3)] sampling or measurements

• Individual(s) who performed the G sampling or measurements

• Date analyses were performed G

• Individual(s) who performed the G analyses

• Analytical techniques or G methods used

• Results of the analyses G

8.6 Monitoring results must be Verify in the monitoring records that G conducted according to test all analytical methods / procedures procedures approved under 40 CFR use are those approved under 40 part 136, unless other test CFR 136.

procedures have been specified in the permit. [40 CFR 122.41(j)(4)] Verify that:

• A U.S. EPA approved analytical G testing laboratory was used

• Proper approval was obtained G from state/U.S. EPA if alternate analytical procedures are used

• Parameters other than those required by the permit are G analyzed appropriately

• Calibration and maintenance of instruments and equipment is G being performed

• Quality control procedures are G used

• Duplicate samples are analyzed G

• Spiked samples are used G

• A commercial laboratory is used G

• The commercial laboratory is G This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 34

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Large and Medium MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed state certified (states with formal certification program) 8.7 All applications, reports, or Verify that all information submitted G information submitted to the Director to the Director is properly signed shall be signed and certified. [40 and certified by the appropriate CFR 122.41(k)(1); 40 CFR 122.22] person.

Note: This may include a responsible corporate officer for a corporation, a general partner or proprietor for a partnership or sole proprietorship, or a principal executive officer or ranking elected official for a municipality, state, federal, or other public agency.

8.8 The permittee shall give notice As a baseline, verify the permit:

to the Director as soon as possible of any planned physical alternations

• Includes all those areas in the G or additions to the permitted facility. system where there is a Notice is required when the discharge of pollutants.

alteration or addition could

• Adequately describes the nature G significantly change the nature or and quantity of discharge.

increase the quantity of pollutants which are subject neither to effluent Verify that records indicate the G limitations in the permit, nor to Director was contacted of any notification requirements under significant changes in the nature of 122.42(a)(1). [40 CFR discharge or increase in quantity of 122.41(l)(1)(ii)]

discharge.

8.9 The permitee shall give advance Verify records indicate that the MS4 G notice to the Director of any planned notified the Director of any changes in the permitted facility or anticipated noncompliance.

activity which may result in noncompliance with permit requirements. [40 CFR 122.41(l)(2)]

8.10 Monitoring results shall be Verify that all monitoring results G reported at intervals specified in the were sent to the Director at the permit. [40 CFR 122.41(l)(4)] intervals specified in the permit, by reviewing the file which includes the DMRs or other approved reporting forms.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 35

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Large and Medium MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed 8.11 Monitoring results must be Verify that the correct forms for G reported on a Discharge Monitoring reporting monitoring results are Report (DMR) or forms provided or being used by the MS4.

specified by the Director for reporting monitoring results. [40 CFR 122.41(l)(4)(i)]

8.12 If the permittee monitors any Verify if the permittee monitors any G pollutant more frequently than pollutant more frequently than required by the permit using test required. If so, verfiy:

procedures approved under 40 CFR part 136, the test results of this

• All pollutant monitoring results G monitoring shall be included in the use approved test procedures calculation and reporting of the data

• The results are included in the submitted in the DMR. [40 CFR G calculations 122.41(l)(4)(ii)]

• The results are reported to the G Director 8.13 Calculations for all limitations Verify that the arithmetic mean is G which require averaging of being utilized to calculate the measurements shall utilize an average of multiple measurements.

arithmetic mean unless otherwise specified by the Director in the permit. [40 CFR 122.41(l)(4)(iii)].

8.14 Reports of compliance or Verify that all reports relating to G noncompliance with, or any compliance schedules were progress reports on, interim and submitted to the Director within 14 final requirements contained in any days following the schedule date.

compliance schedule of the permit shall be submitted no later than 14 days following each schedule date.

[40 CFR 122.41(l)(5)]

8.15 The permittee shall report any Verify records include any incidents G noncompliance which may endanger on non-compliance including health or the environment. Any releases of hazardous substances information shall be provided orally or oil.

within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> from the time the permittee becomes aware of the Verify records indicate that these G circumstances. A written submission incident were reported:

shall also be provided within 5 days of the time the permittee becomes

• Orally (e.g., telephone call) aware of the circumstances. [40 within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> of becoming CFR 122.41(l)(6)(I)] aware of the event,

• In writing within 5 days of becoming aware of the event Verify that the written submission included:

• Description of the G This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 36

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Large and Medium MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed noncompliance and the cause

• The period of noncompliance (dates and times) G

• If the noncompliance was not corrected, the time frame that G noncompliance is expected to continue, the steps taken to reduce, eliminate, or prevent reoccurrence of such an event.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 37

THIS PAGE INTENTIONALLY LEFT BLANK This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 38

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program NPDES Stormwater Requirements for Small Municipal Separate Storm Sewer Systems Note: The requirements for small municipal separate storm sewer systems (MS4s) are based on the model small MS4 general permit.

Refer to the applicable state-specific small MS4 permit for any additional state-specific requirements. Language will vary depending on if permit is state-wide, watershed specific, etc. The corresponding permit section number and/or regulation citation is found after the section title or the requirement text.

This checklist is based on the assumption that the permitting authority has determined the eligibility of the operator and has reviewed the NOI/application for completeness. Consequently, these items are not discussed in depth below. Additionally, it is important to note that operators of small MS4s have until the end of the first permit term (typically five years) to fully implement the stormwater management program.

Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed 9.0 Applicability The operator of a small MS4s is Verify the MS4 meets the regulatory G required to obtain permit coverage, definition of a small MS4 and unless qualifying for a waiver. satisfies the requirements in 40 CFR 122.32 (see Key Terms and This includes, but is not limited to, Definitions).

federal, state, tribal, or local governments (including state departments of transportation). (40 CFR 122.32(a))

AND Small MS4s located in an urbanized area,, as determined by y the latest Decennial Census byy the Bureau of the Census. [40 CFR 122.26(a)(1)]

OR The operator is designated by the permitting authority [40 CFR 122.26(b)]

10.0 Limitations on Coverage (MS4 - 1.3)

The permit does not authorize: Verify the operator has determined G the location of outfalls into receiving

• Discharges or discharge-related waters to determine where activities that are likely to discharges occur and what may be jeopardize the continued impacted (ALSO SEE 12.3 Illicit existence of any species that are Discharge Detection and Elimination listed as endangered or [122.34(b)(3)] (MS4 - 4.2.3)].

threatened under the ESA or result in the adverse Verify if the Stormwater modification or destruction of Management Program (SWMP) has habitat that is designated as indicated any additional discharge G critical under the ESA. points/related activities.

• Discharges and discharge- If so, verify if these points/related This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 39

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed related activities with activities impact endangered G unconsidered adverse effects on species, historic properties, etc.,

historic properties. limiting permit coverage and this has been communicated with the

• Discharges to territorial seas, permitting authority.

the contiguous zone, and the oceans unless such discharges are in compliance with the ocean discharge criteria of 40 CFR 125, Subpart M.

• Discharges that would cause or contribute to instream exceedances of water quality standards.

• Discharges that do not comply with the state or tribes anti-degredation policy for water quality standards.

Note: Both at the time the NOI/application is filed and throughout the implementation of the SWMP the operator must identify the location of discharge points as well as determine if any existing or new discharges or discharge related activities will have any impact on the above.

11.0 Discharges to Water Quality Impaired Waters (MS4 - 3.1)

The operator must comply with any Determine if a waterbody to which G more stringent effluent limitations in the MS4 discharges has been the permit, including permit designated as a 303(d) listed water requirements that modify, or are in or a TMDL has been developed for addition to, the minimum control the waterbody.

measures based on an approved total maximum daily load (TMDL) or If discharging to an impaired water, equivalent analysis. [40 CFR verify the SWMP discusses:

122.34(e)(1)]

• How discharges of pollutants of G

concern will be controlled

• How the operator will ensure discharges will not cause or G contribute to exceedances of water quality standards

• Measures and BMPs that will G control these discharges If a TMDL has been developed for the waterbody(s), verify the operator has determined the applicability of the MS4s discharges to the TMDL This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 40

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed including:

• If the TMDL is for a pollutant likely to be in stormwater G discharges

• If the TMDL has WLAs or other performance requirement for the G MS4

• If the TMDL addresses a flow regime likely to occur in periods G

of stormwater discharge from MS4 If the MS4 must implement WLA provisions of the TMDL, verify that the operator has assessed if WLAs G are being met through existing stormwater control measures.

Verify documentation of all current or planned control measures and G the schedule for planned measures.

Documentation must include the calculations/evidence showing WLAs will be met.

Verify documentation of a monitoring program showing controls are adequate to meet the G WLAs.

If additional/modified controls are necessary, verify the type and schedule for additional controls has G been described in the SWMP.

Note: Two continuous monitoring cycles must show that the WLAs or water quality standards are being met.

12.0 Stormwater Management Programs - Requirements [40 CFR 122.34(a)] (MS4 - 4.1 and 4.3)

The operator must, at a minimum, Verify the operator has developed, G develop, implement, and enforce a implemented, and is enforcing a SWMP designed to reduce the SWMP.

discharge of pollutants from the MS4 to the maximum extent Verify the SWMP includes the practicable (MEP), to protect water following minimum control quality, and to satisfy the measures:

appropriate water quality requirements of the Clean Water

• Public education and outreach Act. [40 CFR 122.34(a)] G

• Public involvement/participation G

• Illicit discharge detection and G If an existing qualifying local This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 41

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed program requires the operator to elimination G implement one or more of the

• Construction site stormwater minimum control measures, the runoff control G NPDES permitting authority may

• Post-construction stormwater include conditions in the NPDES management in new permit that may direct the operator development and redevelopment to follow that programs

• Pollution prevention/good requirements rather than the G housekeeping.

requirements described under 40 CFR 122.34(b). [40 CFR 122.34(c)]

Verify the SWMP includes the BMPs G that the operator or another entity will use to address each of these control measures including:

• Measurable goals for each BMP G

• Time required to undertake G BMP, including interim milestones and frequency of the action

• Person(s) responsible for G implementing/coordinating BMP

• Rationale for selection of BMPs G and measurable goals If a qualifying local program is G requiring the operator to implement a control measure(s), verify that this has been discussed in the SWMP.

Note: If the operator is meeting the requirements of a qualifying local program, the operator may not be required to submit information on the other minimum measures discussed below.

12.1 Public Education and Outreach on Stormwater Impacts [122.34(b)(1)] (MS4 - 4.2.1)

The operator must implement a Verify the SWMP describes the G public education program to decision process for program distribute educational materials to development including:

the community or conduct equivalent outreach activities about

• Plans to inform individuals/ G the impacts of stormwater households about reducing discharges on water bodies and the stormwater pollution steps that the public can take to

• Plans to inform reduce pollutants in stormwater G individuals/groups about runoff. [40 CFR 122.34(b)(1)] involvement with the stormwater program

• The target audiences and why G they are selected

• The targeted pollutant sources G

• The outreach strategy and G methods that will be used to This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 42

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed reach targeted audiences G

• The number of people expected to be reached by the strategy in permit term G

• Who is responsible for management and implementation of the program/BMPs G

• How the success of the minimum measure will be evaluated

• How the measurable goals were G selected Verify the BMPs and measurable G goals outlined in the plan have been met by the schedule in the SWMP.

12.2 Public Involvement/Participation [122.34(b)(2)] (MS4 - 4.2.2)

The operator must, at a minimum, Verify the SWMP describes the G comply with state, tribal and local decision process for program public notice requirements when development including:

implementing a public involvement/

participation program. [122.34(b)(2)]

• How the public was involved in G NOI submittal and SWMP development

• The plan for public involvement G in program development and implementation

• The target audiences for the involvement program including G ethnic and economic groups

• Person(s) responsible for the management and G implementation of the program/elements

• The types of public involvement G activities including, where appropriate:

• Citizen representatives on a local stormwater management panel

• Public hearings

• Citizen volunteers to educate other individuals about the program

• Volunteer monitoring

• How success of minimum measures are evaluated G

• How measurable goals were selected G Verify the SWMP describes how the This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 43

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed public involvement/ participation G program complies with state, Tribal, and local public notice requirements.

Verify the BMPs and measurable goals outlined in the plan have been G met by the schedule set forth in the SWMP.

12.3 Illicit Discharge Detection and Elimination [122.34(b)(3)] (MS4 - 4.2.3)

The operator must develop, Verify a storm sewer map has been G implement and enforce a program to developed indicating location of detect and eliminate illicit outfalls and receiving waters.

discharges (as defined at 122.26(b)(2)). [122.34(b)(3)] Verify the SWMP describes the G decision process for program development including:

• How a storm sewer map is or will G be developed and how it will be updated

• The regulatory mechanism that will be used to prohibit G discharges (i.e., ordinance) including:

• Why the mechanism was chosen G

• A description of the plan to develop the mechanism or G copy of relevant sections if already developed

• A description of the plan to ensure compliance of this G regulatory mechanism through enforcement procedures and actions

• A plan to detect and address illicit discharges including: G

• Dry weather screening for non stormwater flows G

• Field tests of selected chemical parameters G

• A mechanism to address on-site sewage disposal G systems that flow into the storm drainage system and procedures for:

• Locating priority areas G

• Tracing source o f G discharges (including techniques)

• Removing the source of the G This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 44

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed illicit discharges G

• Program evaluation and assessment G

• A plan to inform public employees, businesses, and the general public of the hazards of illegal discharges and improper disposal (including how this will coordinate with public education, pollution prevention/ good housekeeping)

• Person(s) responsible for G management and implementation of the program/BMPs G

• How success of minimum measures are evaluated G

• How measurable goals were selected G

If already developed, verify the storm sewer map shows the location of the outfalls and names and location of receiving waters.

G Verify the BMPs and measurable goals outlined in the plan have been met by the schedule set forth in the SWMP.

12.4 Construction Site Stormwater Runoff Control ([22.34(b)(4)] (MS4 - 4.2.4)

The operator must develop, Verify the SWMP describes the G implement, and enforce a program decision process for program to reduce pollutants in any development including:

stormwater runoff to the small MS4 from construction activities that

• The regulatory mechanism that G result in a land disturbance of will be used to require erosion greater than or equal to one acre. and sediment controls at Reduction of stormwater discharges construction sites (i.e.,

from construction activity disturbing ordinance) including:

less than one acre must be included

• Why this mechanism was in the program if that construction chosen G activity is part of a larger common

• A description of plan to plan of development or sale that develop the mechanism or G would disturb one acre or more. copy of relevant sections if (122.34(b)(4)) already developed

• A description of the plan to G ensure compliance of this regulatory mechanism through sanctions and enforcement

• Description of procedures for G when certain sanctions are used This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 45

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed

• Requirements for operators to G implement erosion and sediment control BMPs and control waste at construction sites that may impact water quality (concrete truck washout, chemicals, litter, etc.)

• Procedures for site plan review incorporating consideration of G potential water quality impacts including:

• Description of procedures and rationale for identifying G sites for plan review (if not all reviewed)

• Estimated number and percentage of sites with plan G review

• Procedures for receipt and G consideration of information submitted by the public

• Procedures for site inspection G

and enforcement of control measures including prioritization of sites for inspection

• Person(s) responsible for management and G implementation of the program/BMPs

• How success of minimum measures are evaluated G

• How measurable goals were selected G Verify the BMPs and measurable goals outlined in the plan have been G met by the schedule set forth in the SWMP.

12.5 Post-Construction Stormwater Management in New Development and Redevelopment [122.34(b)(5)] (MS4 -

4.2.5)

The operator must develop, Verify the SWMP describes the implement, and enforce a program process for program development to address stormwater runoff from including:

new development and redevelopment projects that disturb

• Specific priority areas to be G greater than or equal to one acre, addressed in the program including projects less than one acre

• How program is specifically that are part of a larger common G tailored to the local community plan of development or sale, that (minimize water quality impacts, discharge into the small MS4. The maintain pre-development program must ensure that controls conditions) are in place that would prevent or

• Structural (wet ponds, filtration minimize water quality impacts. practices, infiltration practices, G This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 46

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed

[122.34(b)(5)] etc.) and non-structural (policies or ordinances, educational programs, etc.) BMPs included in the program G

• The mechanism that will be used to address post-construction runoff (i.e., ordinance)

• Why the mechanism was G

chosen

• A description of plan to develop the mechanism or G copy of relevant sections if already developed

• How the long-term operation and maintenance (O&M) of BMPs G will be ensured

• Person(s) responsible for G management and implementation of the program/BMPs

• How success of minimum G measures are evaluated

• How measurable goals were G selected Verify the BMPs and measurable G

goals outlined in the plan have been met by the schedule set forth in the SWMP.

Verify that proposed BMP maintenance activities are being G performed.

12.6 Pollution Prevention/Good Housekeeping for Municipal Operations [122.34(b)(6)] (MS4 - 4.2.6)

The operator must develop and Verify the SWMP describes the implement an operation and process for program development maintenance (O&M) program that including:

includes a training component and has the ultimate goal of preventing

• A description of the O&M G or reducing pollutant runoff from program to prevent or reduce municipal operations. [122.34(b)(6)] pollutant runoff from municipal operations including:

• Municipal operations G

impacted by the O&M program

• A list of municipally-owned industrial facilities G discharging to the MS4 that are subject to industrial stormwater permitting (including permit number or industrial NOI)

• Any government employee This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 47

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed training program used to G prevent/reduce stormwater pollution from municipal activities including:

• A description of exiting materials used

• Description of how the G training program is coordinated with public information and illicit G discharge minimum measures

• A program description addressing:

• Maintenance activities, schedules, and long-term inspection procedures for controls to reduce floatables/ G pollutants to the MS4

• Controls for reducing or eliminating discharges from streets, parking lots, storage yards, etc.

G

• Procedures for proper disposal of waste removed from MS4 and municipal operations G

• Procedures ensure flood management projects are assessed for impacts on water quality and existing G projects are assessed for incorporation of additional water quality protection

• Person(s) responsible for management and implementation of the program/BMPs

• How success of minimum G measures are evaluated

• How measurable goals were selected G Verify the training program for the G municipal staff achieves the intended goal of educating staff associated with reducing pollutant G runoff from municipal operations.

Verify that proposed maintenance activities are performed.

Verify the BMPs and measurable G goals outlined in the plan have been met by the schedule set forth in the G

SWMP.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 48

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed 13.0 Sharing Responsibility (40 CFR 122.35) (MS4 - 4.4)

The operator may rely on another If an entity other than the MS4 is entity to satisfy the operators implementing part or all of a NPDES permit obligation to minimum control measure, verify the implement a minimum control operator:

measure (40 CFR 122.35).

• Has actually implemented the G measure

• Has implemented a control G measure or component of the control measure that is at least as stringent as the corresponding permit requirements

• Has agreed to implement the control measure on the G municipalitys behalf and that this obligation is maintained as part of the description of the stormwater management program (in the form of a Memorandum of Agreement, etc.)

14.0 Reviewing and Updating Stormwater Management Programs [40 CFR 122.34(g)] (MS4 - 4.5)

The operator must evaluate Verify the operator has performed G program compliance, the an annual review of the SWMP in appropriateness of the identified conjunction with the annual report.

best management practices, and progress towards achieving the If modifications have been made to G identified measurable goals. [40 the SWMP, verify a record of written CFR 122.34(g)] notification of proposed change including:

Permits... may be modified, revoked and reissued, or terminated either at

• An analysis of why the BMP is the request of any interested person G ineffective or infeasible (including the permittee) or upon the

• Expectations of the Directors initiative. However, effectiveness of the replacement G permits may only be modified, BMP revoked and reissued, or terminated

• The analysis of why the for the reasons specified in §122.62 replacement BMP is expected to G or §122.64... All requests shall be in achieve goals of replaced BMP writing and shall contain facts or

• Any modifications to the SWMP reasons supporting the request. [40 are approved by the regulating G CFR 124.5]

agency are implemented according to schedule If additional areas have been added to the MS4, verify:

• A plan for implementation of the G SWMP has been be developed for the area This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 49

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed

• The SWMP has been G implemented no longer than one year after the addition of the area Note: Only those portions of SWMP required as permit conditions are subject to 4o CFR 1224.5.

Modifications of BMPs are considered minor changes and not modifications to the permit.

15.0 Monitoring (MS4 5.1)

The operator must evaluate the When monitoring is conducted, program compliance, the verify in records:

appropriateness of identified BMPs, and progress towards achieving

• Representative samples and G identified measurable goals. [40 measurements have been taken CFR 122.34(g)]

• It is conducted according to the G test procedures approved under Note: The NPDES permitting 40 CFR 136 authority may determine monitoring

• Records include:

requirements for the operator in G

• Date, location, time of accordance with state/Tribal sampling monitoring plans appropriate to the

• Name of those performing watershed. [40 CFR 122.34(g)(1)] sampling

• Date of analyses

• Name of those performing analyses

• Analytical techniques or methods used

• Results of analyses Verify monitoring results are reported on a Discharge Monitoring G Report (DMR).

If the MS4 discharges to a water for which a TMDL was approved, verify G that any additional monitoring requirements were performed.

16.0 Recordkeeping (MS4 - 5.2)

The operator must keep records Verify the following are maintained required by the NPDES permit for at on file:

least three years. The operator must submit records to the NPDES

• Records of all monitoring G permitting authority only when information required in the specifically asked to do so. The permit (i.e., calibration and operator must make records, maintenance records, original including a description of the strip chart recordings for This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 50

Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:

Stormwater Management for Small MS4s Regulatory Requirement or Reviewer Checks Reviewer Reviewer Notes Management Practice: Completed SWMP, available to the public at continuous monitoring reasonable times during regular instrumentation, analytical G business hours. [40 CFR laboratory reports) 122.35(g)(2)]

• Copies of all reports required in G permit G

• DMRs G

• A copy of the permit

• Records of all data used to complete the application (NOI) G Verify a description of the SWMP has been retained in an accessible location for the permitting authority and that records are available to the public.

17.0 Reporting (MS4 - 5.3)

Unless the operator is relying on Verify an annual report has been G another entity to satisfy the NPDES submitted as required and includes:

permit obligations under §122.35(a),

the operator must submit annual

• The status of compliance with G reports to the NPDES permitting permit conditions authority for the first permit term.

• An assessment of the G For subsequent permit terms, the appropriateness of BMPs operator must submit reports in year

• The progress towards achieving two and four unless the NPDES G the goal of reducing the permitting authority requires more discharge of pollutants to the frequent reports. [40 CFR 122.35 MEP (g)(3)]

• The measurable goals for each minimum control measure G

• The results of information collected and analyzed (if any), G including monitoring data used to assess the success of the program

• A summary of stormwater G activities planned in the next reporting cycle and schedule

• Any proposed changes to G SWMP (including to BMPs and measurable goals)

• Notice that the operator is G relying on another entity for permit obligations Verify that stormwater activities reported in the annual report are G being undertaken by the permittee or other entity.

This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein. 51

Appendix A Onsite Checklist for Construction Stormwater Discharges

Onsite Checklist for Construction Stormwater Discharges Reviewer checks of regulatory requirements or management practices for construction activity require both paperwork and on-site review. To facilitate the review process, reference to those checks requiring on-site are referenced below.

Permit Reference On-Site Reviewer Checks 2.1.1 Discharging into Receiving Verify on site the operator has incorporated measures or controls into the SWPPP Waters with an Approved TMDL that are consistent with the assumptions and requirements of the TMDL.

and Documentation of Permit Eligibility (CGP Part 1.3.C.5 and 3.14. A, B, and C) 2.1.2 Endangered and Threatened Verify on site the permittee has implemented measures (i.e., BMPs) to protect listed Species and Critical Habitat threatened or endangered species or critical habitat Protection and Documentation of Permit Eligibility (CGP Part 1.3.C.6 and 3.7) 2.1.3 Historic Properties (CGP Verify on site the permittee has implemented measures to protect historic properties Part 1.3.C.7) and places.

4.1 SWPPP Framework (CGP If a definable area is marked on the SWPPP as being stabilized, verify that it is Part 3.1.C) indeed stabilized on site.

4.2 Requirements for Different Verify on site that the operators activities have not negatively impacted another Types of Operators (CGP Part partys pollution controls.

3.2.C) 4.4 Pollution Prevention Plan Verify on site disturbed areas are stabilized (sodded or covered by other means)

Contents: Controls to Reduce where construction activities have temporarily or permanently ceased.

Pollutants (CGP Part 3.4.B, 3.13.D) 4.4 Pollution Prevention Plan Verify on site the appropriate sediment and erosion control measures for the Contents: Controls to Reduce drainage area of the site is implemented as described in the SWPPP.

Pollutants (CGP Part 3.4.D, 3.13.E) 4.4 Pollution Prevention Plan Verify placement of structural measures in the SWPPP and on site.

Contents: Controls to Reduce Pollutants (CGP Part 3.4.E) 4.4 Pollution Prevention Plan Verify on site through inspection of outfalls that no solid/building materials are Contents: Controls to Reduce discharged unless authorized by a permit.

Pollutants (CGP Part 3.4.F) 4.4 Pollution Prevention Plan Verify on site that accumulation of sediment, or signs of sediment escape, does not Contents: Controls to Reduce appear outside the construction entrance or perimeter of the construction site.

Pollutants (CGP Part 3.4.G, 3.13.B) 4.4 Pollution Prevention Plan Verify on site that those construction and waste materials stored on-site match those Contents: Controls to Reduce noted in the SWPPP.

Pollutants (CGP Part 3.4.H, 3.13.C)

A2

4.4 Pollution Prevention Plan Verify on site that the exposure minimization practices discussed in the SWPPP have Contents: Controls to Reduce been implemented.

Pollutants (CGP Part 3.4.H, 3.13.C) 4.4 Pollution Prevention Plan Verify on site the stormwater conveyance system and the outside perimeter of the Contents: Controls to Reduce construction site are free of debris and chemicals.

Pollutants (CGP Part 3.4.H, 3.13.C) 4.4 Pollution Prevention Plan Verify on site that the spill prevention and response practices are being implemented Contents: Controls to Reduce (there are materials provided to employees, trainings, etc.)

Pollutants (CGP Part 3.4.H, 3.13.C) 4.4 Pollution Prevention Plan Verify on site:

Contents: Controls to Reduce Pollutants (CGP Part 3.13.F)

• The velocity dissipation devices have been installed

• There is no evidence of erosion at outlet

• High velocity flow has not misplaced rocks

• The size and number of rocks are adequate to avoid soil erosion

• There is no evidence of additional sedimentation in receiving water attributable to the site 4.5 Non-Stormwater Discharge Verify on site non-stormwater discharges are eliminated or reduced to the extent Management (CGP Part 3.5) feasible 4.6 Maintenance of Controls (CGP Verify on site that the control measures, including erosion and sediment controls, Part 3.6.A, 3.13.A) identified in the SWPPP are installed and operating effectively.

4.6 Maintenance of Controls (CGP Verify on site that if a control measure has been used inappropriately or correctly it Part 3.6.A, 3.13.A) has been replaced or modified.

4.6 Maintenance of Controls (CGP Verify on site that changes to existing BMPs or additional BMPs have been Part 3.6.B) implemented/added.

4.6 Maintenance of Controls (CGP Verify on site that sediment accumulated does not exceed 50 percent of capacity of Part 3.6.C) sediment traps and/or sediment ponds.

4.8 Inspections (CGP Part 3.10.B) If the operator has modified the inspection frequency, verify on site that one of the following applies:

• The entire site is temporarily stabilized

• Runoff is unlikely due to winter conditions (e.g., site is covered with snow, ice, or the ground is frozen)

• Construction is occurring during seasonal arid periods in arid areas and semi-arid areas A3

Appendix B EPA Stormwater Regional Contacts

EPA Stormwater Regional Contacts REGION 1 Thelma Murphy US EPA, Region 01 / Office of Ecosystem Protection 1 Congress St, Suite 1100 (CMU)

Boston, MA 02114-2023 Phone: (617) 918-1615 Email: murphy.thelma@epa.gov REGION 2 Stephen Venezia US EPA, Region 02 290 Broadway, 24th Floor New York, NY 10007-1866 Phone: (212) 637-3856 Email: venezia.stephen@epa.gov Sergio Bosques US EPA, Region 02 / Caribbean Environmental Protection Division 1492 Ponce de Leon Ave Central Europa Building, Suite 417 Santura, PR 00907-4127 Phone: (787) 977-5838 Email: bosques.sergio@epa.gov REGION 3 Paula Estornell US EPA, Region 03 1650 Arch St Philadelphia, PA 19103 Phone: (215) 814-5632 Fax: (215) 814-2301 Email: estornell.paula@epa.gov REGION 4 Mike Mitchell US EPA, Region 04 / Water Management Division Atlanta Federal Center 61 Forsyth St SW Atlanta, GA 30303-3104 Phone: (404) 562-9303 Fax: (404) 562-8692 Email: mitchell.michael@epa.gov REGION 5 Brian Bell US EPA, Region 05 / NPDES Programs Branch 77 W Jackson Blvd (WN-16J)

Chicago, IL 60604-3507 Phone: (312) 886-0981 Email: bell.brianc@epa.gov B2

REGION 6 Brent Larsen US EPA, Region 06 1445 Ross Ave, Suite 1200 Dallas, TX 75202-2733 Phone: (214) 665-7523 Fax: (214) 665-2191 Email: larsen.brent@epa.gov REGION 7 Mark Matthews US EPA, Region 07 901 N 5th St Kansas City, KS 66101 Phone: (913) 551-7635 Fax: (913) 551-7765 or 7165 Email: matthews.mark@epa.gov REGION 8 Greg Davis US EPA, Region 08 999 18th St Suite 300 Denver, CO 80202-2466 Phone: (303) 312-6082 Fax: (303) 312-6955 Email: davis.gregory@epa.gov REGION 9 Eugene Bromley US EPA, Region 09 75 Hawthorne St San Francisco, CA 94105-3901 Phone: (415) 972-3510 Fax: (415) 947-3545 Email: bromley.eugene@epa.gov REGION 10 Misha Vakoc US EPA, Region 10 1200 6th Ave Seattle, WA 98101-1128 Phone: (206) 553-6650 Email: vakoc.misha@epa.gov B3

Appendix C Information Sources

Information Sources (Updated November 2004)

WEBSITES (water and/or wastewater-oriented; financial related)

EPA National Compliance Assistance Clearinghouse www.epa.gov/clearinghouse Compliance Assistance Centers http://www.assistancecenters.net Construction Industry Compliance Assistance Center www.cicacenter.org EPA NPDES website http://www.epa.gov/npdes EPA Operator On-Site Technical Assistance Program-104(g) www.epa.gov/owm/mab/smcomm/104g/sstc.htm (hands-on assistance to small municipal WWTP operators at no cost to community)

EPA Office of Wastewater Management www.epa.gov/owm EPA Clean Water Tribal Grant Program www.epa.gov/owm/mab/indian/cwisa.htm EPA Colonias Program www.epa.gov/owm/mab/mexican EPA Clean Water State Revolving Loan Fund Program www.epa.gov/owm/cwfinance/cwsrf EPA Website (Headquarters & Regions) www.epa.gov/

EPA Small Business Gateway http://www.epa.gov/smallbusiness Environmental Finance Center http://sspa.boisestate.edu/efc National Environmental Services Center/WV University www.nesc.wvu.edu Local Govt. Environmental Assistance Network www.lgean.org Rural Community Assistance Program (RCAP) www.rcap.org Water Environment Federation (WEF) www.wef.org AMSA www.amsa-cleanwater.org/pubs/

American Water Works Assoc. (AWWA) http://www.awwa.org/

National Association of Towns & Townships (NATAT) http://www.natat.org/

PUBLICATIONS /TRAINING VIDEOS /NEWSLETTERS, etc.

EPA National Service Center For Environmental Publications (NSCEP)

USEPA/NSCEP PO Box 42419 Cincinnati, OH 45242 Tele: 1-800-490-9198 or 513-489-8190 (fax: 513-489-8695)

EPA Office of Water Resource Center Tele: 202-566-1729 (24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />) center.water-resources@epa.gov C2

National Environmental Services Center (formerly the National Small Flows Clearinghouse)

West Virginia University Small Business Gateway P.O. Box 6064 Morgantown, WV 26506 Tele: 1-800-624-8301 California State University - Sacremento Tele: 916-278-6142 (training videos, etc.)

List Compiled by Sharie Centilla, USEPA/OECA centilla.sharie@epa.gov 33 C3