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{{#Wiki_filter:Environmental Compliance Program Protocol for Conducting
{{#Wiki_filter:United States Nuclear Regulatory Commission Official Hearing Exhibit ENT000026 Entergy Nuclear Operations, Inc.                  Submitted: March 28, 2012 In the Matter of:
(Indian Point Nuclear Generating Units 2 and 3)
ASLBP #: 07-858-03-LR-BD01 Docket #: 05000247 l 05000286 Exhibit #: ENT000026-00-BD01                  Identified: 10/15/2012 Admitted: 10/15/2012                        Withdrawn:
Rejected:                                      Stricken:
Other:
Protocol for Conducting Environmental Compliance Audits under the Stormwater Program


Audits under the Stormwater ENT000026 Submitted:  March 28, 2012 United States Nuclear Regulatory Commission Official Hearing Exhibit In the Matter of
United States Environmental Protection Agency Office of Enforcement and Compliance Assurance (2224A)
: Entergy Nuclear Operations, Inc. (Indian Point Nuclear Generating Units 2 and 3)
EPA-300-B-05-004 www.epa.gov.compliance/incentives/auditing/protocol.html January 2005
ASLBP #:07-858-03-LR-BD01 Docket #:05000247 l 05000286 Exhibit #:
Identified:
Admitted: Withdrawn:
Rejected: Stricken: Other: ENT000026-00-BD01 10/15/2012 10/15/2012 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 J anuar y 2 005 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
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)].
........................................................................................ 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.
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.
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.
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.
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 c ompliance 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 gener ally 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 th e 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 GUIDANCE IS NOT A SUBSTITUTE FOR READING THE REGULATIONS AND UNDERSTANDING ALL THE REQUIREMENTS AS THEY APPLY TO YOUR FACILITY.
The Auditing Roundtable 15111 N Hayden Road Suite #160355 Scottsdale, AZ 85260-2555
This document is intended solely for guidance. No statutory or regulatory requirements are in any way altered by any statement(s) contained herein.


(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.
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.
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:
Verifying compliance with environmental requirements Evaluating the effectiveness of in-place environmental management systems 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.
THIS PAGE INTENTIONALLY LEFT BLANK Section I Introduction
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.
===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.
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:
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/
http://www.epa.gov/compliance/
How to Use t he 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
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, t he Department of Transportation (DOT) has established regulations governing the transportation of hazardous materials.
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.
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.
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.
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
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.
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.
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
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.
: This section of the protocol identifies terms of art used in the regulations and the checklists that are listed in the Definit ions 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.
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.
The Checklists
Key Terms and Definitions:
: 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.
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.
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  
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


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).
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.
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.
AMlyz.
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.
AOOit 1-0     Identify PrOOIo=
iv ----------------------, , , AMlyz. A OOit 1-0 Identify PrOO Io= H> Except io", for C""".!Effect , , J , -.1 , , ,
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                                        ~                      J                           -.1
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                                                                                    , Group Firrling> fo>
, , ------------------------Improve Deve lo p A ct io ns Examine ElICh Ertvironm.ntal to CO"'"'t G"lUp for Mgmt. Syst.m U!rlerlying C,""" U!rlerlying Cm;e" Effectivenes, F:i;= I _ C o""ctive ActiOll Motel 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 b y 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.
FixPrOOIo=             ,
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 is sued 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.
                                                                                    , Conumn   C,"""
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:  "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  Eleven categories of industrial activity, one of which is construction activity that disturbs five acres of land or
                        ------           ------ ------------                       ~
Improve Develop Actions            Examine ElICh Ertvironm.ntal
                                                    ~                  C,""" ~
to CO"'"'t                 G"lUp for Mgmt. Syst.m U!rlerlying               U!rlerlying Cm;e" Effectivenes, F:i;= I _ Co""ctive ActiOll Motel 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


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.
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.
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  
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


(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.
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.
For further information regarding the stormwater regulations, refer to U.S. EPAs Stormwater Website at www.epa.gov/npdes/stormwater.
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).
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.
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.
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)
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.
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.
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)
(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.
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.
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(40 CFR 122.2)
(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)).
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.
Large municipal separate storm sewer system All municipal separate storm sewers that are either:
(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.
(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.
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.)
(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.
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 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)).
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 place with a population 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.
Medium municipal separate storm sewer system All municipal separate storm sewers that are either:
(i)       Located in an incorporated p        pplace with a population p 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))
(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  
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


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.
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:
(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 L o cate d i n an i ncor p orate d pl ace w i t h a p o p u l at i on of 100,000 or m o r e b ut l ess t h an 250 , 000 , as d eterm i n ed pppp by the latest Decennial Census by the Bureau of Census; 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
* Water line flushing
* Landscape irrigation
* Landscape irrigation
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* 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))
* 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)
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  
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


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)
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)].
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)
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.
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)
(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))
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))
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  
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);
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.
(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))
(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
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.
- 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
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.
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
* NPDES permits
* Stormwater Pollution Prevention Plan (SWPPP)
* Stormwater Pollution Prevention Plan (SWPPP)
Line 166: Line 201:
* Silt fences
* Silt fences
* Sediment traps and basins
* 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 categor y 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.
* 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.
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: 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. 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. 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. 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. 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.
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.)
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
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
 
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 Small MS4s 7.0 through 8.15 9.0 through 17.0 33-37 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes 1.0 Applicability Regulations generally apply to construction activity that disturbs 1 or
 
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))
] Verify the area of disturbance (acres) within the construction boundary.
GRegulations apply if the construction activity disturbs less than 1 acre of
 
land, but is part of a larger common plan of development or sale that will ultimately disturb 1 or more acres.
 
[(5 or more acres -
40 CFR 122.26(b)(14)(x) and (1-5 acres - 40 CFR 122.26(b)(15)(i))
] Determine whether the construction activity is part of a larger common
 
plan of development or sale. Verify the size of disturbance or planned disturbance in the common
 
plan. G G2.0 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 stormwater discharges that contribute to waters for which a TMDL has been established or
 
approved. [40 CFR
 
122.44(d)(1)(vii)(B)] The SWPPP must include documentation supporting a determination of permit eligibility with regard to waters that have an EPA-established or approved TMDL.
(CGP Part 3.14.A, B, C) Is there a TMDL for the receiving water with conditions applicable to
 
the operators discharges? If yes, verify the SWPPP includes :
* If the TMDL identifies whether the operators discharge is identified in a TMDL (either specifically or generally)?
* Any associated allocations, requirements, and assumptions
 
identified for the operators
 
discharge G yes G no G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes
* Conditions applicable to the discharges necessary for consistency with these
 
assumptions/requirements
* Summaries of consultation with state/federal TMDL authorities on consistency of SWPPP conditions with the approved TMDL
* Measures/controls taken to ensure the discharge is consistent with the assumptions/
requirements of the TMDL If a specific wasteload allocation been established that would apply to 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 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 incorporated measures or controls
 
into the SWPPP that are consistent with the assumptions and requirements of the TMDL.
G G G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes 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 the operators stormwater discharges, allowable non-stormwater discharges, and stormwater-related activities are not likely to jeopardize the continued existence of any species that are federally-listed as endangered or
 
threatened (listed) under the
 
Endangered Species Act (ESA) or
 
result in the adverse modification or
 
destruction of habitat that is federally-designated as critical under
 
the ESA (critical habitat). The operator is not eligible to discharge if the stormwater discharges, allowable non-stormwater discharges, or stormwater discharge-related activities would cause a prohibited take of federally-listed endangered
 
or threatened species, unless
 
authorized under sections 7 or 10 of
 
the ESA. (CGP 1.3.C.6)
The SWPPP must include documentation supporting a determination of permit eligibility with
 
regard to endangered species. (CGP
 
3.7) Verify the SWPPP includes:
* Whether federally-listed endangered or threatened species, or federally-designated critical habitat may be in the
 
project area
* If such species or critical habitat exist in the project area, whether
 
such species or critical habitat may be adversely affected by stormwater discharges or
 
discharge related activities
* The results of the permits listed species and critical habitat
 
screening determination
* Confirmation of NOI delivery to permitting authority
* Any correspondence with the U.S. Fish and Wildlife Service (FWS), EPA, the U.S. National
 
Marine Fisheries Service (NMFS), or others on project
 
planning related to listed species
 
or critical habitat, including any notification that delays
 
authorization to discharge
* A description of measures necessary to protect listed
 
species or critical habitat, if found
 
in the project area. Verify on site the permittee has


implemented measures (i.e., BMPs)  
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


to protect listed threatened or  
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


endangered species or critical
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


habitat. G G G G G G G 2.1.3 Historic Properties (CGP Part 1.3.C.7) The operator must comply with applicable state, tribal, and local laws concerning the protection of
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


historic properties and places. Verify the SWPPP has identified any applicable laws regarding historic
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


properties. Verify the SWPPP has identified the need for the protection of historic property and any measures to  
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
protect these site(s). Verify on site the permittee has implemented measures to protect
* 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.
historic properties and places.
G G G3.0 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.
Verify the SWPPP has identified the            G need for the protection of historic property and any measures to protect these site(s).
14 Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category: Stormwater Management for Construction Activity Regulatory Requirement or Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes Dischargers of stormwater associated with industrial activity [40 CFR 122.26(b)(14)(x)] and with small construction activity [122.26(b)(15)]
Verify on site the permittee has G
are required to apply for an individual
implemented measures to protect historic properties and places.
 
3.0 Authorization for Discharges of Stormwater from Construction Activity (CGP Part 2)
permit or seek coverage under a promulgated stormwater general
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
 
permit. Facilities that are required to
 
obtain an individual permit or any discharge of stormwater which the
 
Director is evaluating for the
 
designation under 40 CFR
 
122.26(a)(1)(v) and is not a municipal storm sewer, shall submit
 
an NPDES application in accordance with the requirements of 40 CFR
 
122.21 as modified and supplemented by the provisions of
 
this paragraph. [40 CFR
 
122.26(c)(1)]
Operators seeking coverage under a 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)]
Determine if all operators on site
 
have submitted an NOI. Verify the operator has provided all the information required by the permitting authority in the
 
application/NOI. Verify commencement date of construction activities is consistent with submission requirements under


the permit. Determine whether operator has changed at the site. If so, verify:
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.
* The submission date of new NOI.
* The date the new operator began work on the site after the new NOI was submitted.
this paragraph. [40 CFR                                                                    G 122.26(c)(1)]
G G G G G 4.0 Stormwater Pollution Prevention Plans (SWPPPs) (CGP Part 3) 4.1 SWPPP Framework (CGP Part 3.1)
* 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),
A SWPPP must be developed for each construction project or site covered by this permit prior to  
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)
submission of an NOI. (CGP Part  
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.
3.1.A) Verify SWPPP covers the entire
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
construction site or project for this
 
permit. Verify the date of the SWPPP and NOI. G GThe SWPPP must be prepared in accordance with good engineering  
 
practices. (CGP Part 3.1.A) Verify that measures proposed in the
 
SWPPP are based on good
 
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.
GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes The SWPPP must identify all potential sources of pollution that may be reasonably expected to 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 Verify the SWPPP includes a description of potential pollutant
 
sources. GThe SWPPP must describe practices
 
to be used to reduce pollutants in stormwater discharges from the
 
construction site. (CGP Part 3.1.B.2)
ALSO SEE Section 4.4 Pollution Prevention Plan Contents: Controls
 
to Reduce Pollutants Verify that the SWPPP contains a description of the practices that will
 
be used to reduce pollutants from stormwater discharges.
GThe SWPPP must assure compliance with permit terms and
 
conditions. (CGP Part 3.1.B.3) After a complete review of the SWPPP, verify it is consistent with
 
permit conditions described herein.
G Once a definable area has been finally stabilized, the operator may
 
mark this on the SWPPP and no
 
further SWPPP or inspection requirements apply to that portion of
 
the site. (CGP Part 3.1.C)
If a definable area is marked on the
 
SWPPP as being stabilized, verify
 
that it is indeed stabilized on site.
G 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 over construction plans and
 
specifications must ensure:
* Project specifications meet permit conditions
* SWPPP indicates areas of the project where operator has operational control over project specifications and ability to make


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
modifications to specifications
* Other permittees implementing portions of SWPPP (or their own SWPPP) who may be impacted by a change are notified by changes in a timely manner
* 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.
* SWPPP indicates the name of Verify the SWPPP indicates the areas of the project where the
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
operator has operational control. Verify the SWPPP addresses procedures to notify those who may be impacted by the SWPPP. If
 
changes have been made to SWPPP, verify these permittees
 
have indeed been notified. Verify the SWPPP contains the name for responsible party(ies) with day-to-day operational control and
 
responsibilities.
G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes 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 over day-to-day activities must
 
ensure the SWPPP:
* Meets the minimum permit requirements and identifies the parties responsible for
 
implementation of control


measures identified in the plan
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
* 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  
* 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)
over project specifications (including the ability to make  
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.
modifications in specifications) (CGP Part 3.2.B) Verify the SWPPP indicates areas where the permittee has operational control over day-to-day activities. Verify the SWPPP contains the name of party(ies) with operational
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.
control over project specifications.
The operator must either implement his/her portion of a common SWPPP or develop and implement his/her own SWPPP.
G GWith operational control over only a portion of a larger project, the
(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
permittee is responsible for compliance with all applicable terms  
 
and conditions of the permit as it  
 
relates to the activities on that  
 
portion of the construction site, including the protection of  
 
endangered species, critical habitat, and historic properties, and implementation of BMPs and other controls required by the SWPPP. The operator must ensure either directly or through coordination with  
 
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 Verify the permittee is responsible for only a portion of a larger project (e.g., one of four homebuilders in a
 
subdivision). Verify that a SWPPP has been developed for this portion of the
 
project or that the operator has


implemented a portion of a common
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


SWPPP. Verify on site that the operators activities have not negatively impacted another partys pollution
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
controls.
G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes 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 operators for the project site, and the areas of the site over which each
 
operator has control. (CGP Part
 
3.3.A) Verify the name of responsible party(s) with day-to-day operational
 
control of those activities necessary to ensure compliance with SWPPP
 
or other permit conditions. Verify the SWPPP indicates areas where the responsible party has
 
control. G GThe SWPPP must include the nature of the construction activity. (CGP
 
Part 3.3.B) Verify the SWPPP includes the following:
* The function of the project (e.g., low density residential, shopping mall, highway, etc.)
* The intended sequence and timing of activities that disturb
 
soils at the site
* Estimates of the total area 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 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.
G G G GThe SWPPP must contain a legible site map, showing the entire site.
(CGP Part 3.3.C) Verify the SWPPP includes a site map, indicating the following:
* Direction(s) of stormwater flow and approximate slopes anticipated after major grading
 
activities
* Areas of soil disturbance and areas that will not be disturbed
* Locations of major structural and nonstructural BMPs identified in
 
the SWPPP
* Locations where stabilization practices are expected to occur
* Locations of off-site material, waste, borrow or equipment G G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes storage areas
* Locations of all waters of the United States (including wetlands)
* Locations of all waters of the United States (including wetlands)
* Locations where stormwater discharges to a surface water
* Locations where stormwater           G discharges to a surface water
* Areas where final stabilization has been accomplished and no  
* 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.
further construction-phase permit  
* Dedicated asphalt plants              G This includes stormwater discharges
 
* Dedicated concrete plants            G from dedicated asphalt plants and dedicated concrete plants, that are
requirements apply G G GThe SWPPP must describe and identify the location and description of any stormwater discharge associated with industrial activity  
* 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)
other than construction at the site.
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:
This includes stormwater discharges  
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)
from dedicated asphalt plants and  
* General sequence during the           G construction process in which the measures will be implemented
 
* Operator who is responsible for G
dedicated concrete plants, that are covered by this permit. (CGP Part  
the control measures implementation The SWPPP must include a                         Verify the SWPPP:
 
description of interim and permanent stabilization practices for the site
3.3.D) ALSO SEE 4.4 Pollution Prevention Plan Contents: Controls to Reduce  
* 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
Pollutants, CGP Part 3.4.I Verify the SWPPP includes the location and description of the following discharges, as applicable:
* 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
* Dedicated asphalt plants
* Dedicated concrete plants
* Other industrial activity other than construction that are occurring on the site G G G4.4 Pollution Prevention Plan Contents: Controls to Reduce Pollutants (CGP Part 3.4) The SWPPP must include a description of all pollution control measures (i.e., BMPs) that will be  
 
implemented as a part of the construction activity to control pollutant in stormwater discharges.
(CGP Part 3.4.A) Verify that, for each major activity
 
identified in the project description, the SWPPP clearly describes:
* Appropriate control measures and their locations on the site
* General sequence during the construction process in which the measures will be implemented
* Operator who is responsible for the control measures  
 
implementation G G GThe SWPPP must include a description of interim and permanent  
 
stabilization practices for the site including a schedule of when practices will be implemented. (CGP  
 
Part 3.4.B)
Stabilization measures must be initiated as soon as practicable in portions of the site where  
 
construction activities have temporarily or permanently ceased, but in no case more than 14 days after the construction activity in that portion of the site has temporarily or Verify the SWPPP:
* Describes interim and permanent stabilization practices
* Provides a schedule as to when these practices are to be im plemented
* Addresses preservation of existing vegetation, where
 
attainable, and stabilization of


disturbed soil Verify on site disturbed areas are
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.
stabilized (sodded or covered by other means) where construction G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes permanently ceased. (CGP Part 3.13.D) activities have temporarily or permanently ceased.
Note: Stabilization must be initiated as soon as practicable in situations where it is not possible within 14 days. Exceptions include:
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
* Snow cover and frozen ground conditions
* Arid, semiarid, and drought-stricken areas where initiating perennial vegetative stabilization  
* 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:
is not possible Note: If construction activity on a  
3.4.C)
 
* Dates when major grading               G activities occur
portion of the site is temporarily  
* 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.
ceased, and earth disturbing activities will be resumed within 14 days, temporary stabilization  
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.
measures do not have to be initiated  
 
on that portion of the site.
Records must be maintained and  
 
attached to the SWPPP. (CGP Part  
 
3.4.C) Verify the following records are
 
attached to the plan:
* Dates when major grading activities occur
* Dates when construction activities temporarily or permanently cease on a portion  
 
of the site
* Dates when stabilization measures are initiated G G GThe SWPPP must include a description of structural practices to divert flows from exposed soils, retain/detain flows, or otherwise limit  
 
runoff and discharge of pollutants  
 
from exposed areas of  
 
Part 3.4.D)
A combination of sediment and erosion control measures are  
 
required to achieve maximum  
 
pollutant removal. (CGP Part 3.13.E) Verify the SWPPP includes a
 
description of structural practices, their locations, and their intended
 
functions.
Note: Such practices are not to be placed in flood plain zones to the
 
degree practicable. Verify the SWPPP addresses the appropriate sediment and erosion
 
control measures for the drainage  
 
area of the site including.
For 10 or more disturbed areas:
For 10 or more disturbed areas:
* A sediment basin with sufficient storage volume from a 2-year, 24 hour storm event or a basin with  
G
* A sediment basin with sufficient storage volume from a 2-year, 24 hour 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


storage of 3,600 cubic feet per G G G site. (CGP This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein.
Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:
20 Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category: Stormwater Management for Construction Activity Regulatory Requirement or Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes acre of drainage area (or equivalent measure)
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 where a temporary sediment basin is  
* 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:
 
not attainable:
* Smaller sediment basins and/or sediment traps
* Smaller sediment basins and/or sediment traps
* Silt fences, vegetative buffer strips, or equivalent sediment controls for all down slope  
* Silt fences, vegetative buffer strips, or equivalent sediment controls for all down slope boundaries For drainage locations serving less than 10 acres:                             G
 
boundaries For drainage locations serving less  
 
than 10 acres:
* Smaller sediment basins and/or sediment traps
* Smaller sediment basins and/or sediment traps
* Silt fences, vegetative buffer strips, or equivalent sediment controls for all down slope  
* 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.
boundaries of the 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.
area (unless a sediment basin providing storage from a 2-year, 24-hour storm or 3,600 cubic feet  
Such measures must be designed and installed in compliance with applicable federal, local, state, or tribal requirements.
 
(CGP Part 3.4.E)
of storage per acre is provided Verify on site that these measures  
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
 
have been implemented.
G G GThe SWPPP must include a description of all post-construction stormwater management measures  
 
to be installed during the  
 
construction process after  
 
construction operations have been  


completed.
Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:
Structural measures should be placed on upland soils to the degree
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


practicable.
Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:
Such measures must be designed and installed in compliance with
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.
applicable federal, local, state, or
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.
tribal requirements. (CGP Part 3.4.E) Verify the SWPPP includes a description of measures to control stormwater discharges after the
flow velocity from the structure to a water course so that the natural                 Verify on site:
 
physical and biological characteristics and functions are
completion of construction. Verify placement of structural measures in the SWPPP and on site. Verify SWPPP includes discussion of placement of measures if not put on
* 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)
upland soils.
* High velocity flow has not G
G G GThis document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein.
misplaced rocks
21 Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category: Stormwater Management for Construction Activity Regulatory Requirement or Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes The SWPPP must describe measures to prevent the discharge
* 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:
of solid materials, including building materials, to waters of the United States, except as authorized by a
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
permit issued under Section 404 of
* 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 CWA. (CGP Part 3.4.F) Verify the SWPPP states that no solid/building materials will be discharged into the waters of the
The SWPPP must identify all                     Verify the SWPPP identifies:
 
allowable sources of non-stormwater discharges listed in the permit [see
United States. If these discharges are planned, verify reference in the
* 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
 
SWPPP to a permit issued under
 
Section 404 of the CWA. Verify on site through inspection of outfalls that no solid/building
 
materials are discharged unless authorized by a permit.
G GThe SWPPP must describe measures to minimize to the extent
 
practicable off-site vehicle tracking of
 
sediments onto paved surfaces and
 
the generation of dust. (CGP Part
 
3.4.G) If sediment escapes the construction site, off-site accumulations of
 
sediment must be removed at a frequency sufficient to minimize off-
 
site impacts. (CGP Part 3.13.B) Verify in the SWPPP that measures (such as use of stone entrances or truck washing) to minimize vehicle
 
tracking of sediments and the
 
generation of dust are provided. Verify on site that accumulation of sediment, or signs of sediment
 
escape, does not appear outside the
 
construction entrance or perimeter of
 
the construction site. Verify the SWPPP identifies measures and schedule are
 
identified to remove sediment
 
escaping the construction site.
G G GThe SWPPP must include a description of construction and waste
 
materials expected to be stored on-site with updates as appropriate. The SWPPP must include a description of controls, including
 
storage practices, to minimize the
 
exposure of the materials to stormwater, and spill prevention and
 
response practices. (CGP Part 3.4.H)
 
Litter, on-site construction debris, and construction chemicals that could be exposed to stormwater
 
must be prevented from becoming a pollutant source in stormwater
 
discharges. (CGP Part 3.13.C) Verify the SWPPP includes a description of construction and waste
 
materials to be stored on-site. Verify on site that those construction and waste materials stored on-site
 
match those noted in the SWPPP. Verify the SWPPP includes a description of exposure minimization
 
practices, including storage
 
practices, to prevent construction and waste materials from becoming sources of pollution. Verify, at a
 
minimum, this includes:
* Litter
* On-site construction debris
* Construction chemicals Verify on site that the exposure minimization practices discussed in
 
the SWPPP have been
 
implemented.
G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes Verify on site the stormwater 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  
 
response practices. Verify on site that the spill prevention and response practices are being  
 
implemented (there are materials provided to employees, trainings, etc.) G G GVelocity dissipation devices must be placed at discharge locations and along the length of any outfall  
 
channel to provide a non-erosive flow velocity from the structure to a water course so that the natural physical and biological  
 
characteristics and functions are  
 
maintained an protected (e.g., no  
 
significant changes in the hydrological regime of the receiving water). (CGP Part 3.13.F) Verify in the SWPPP adequate
 
outfall protection including velocity
 
dissipation devices are provided where required. Verify on site:
* 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 G G G G G GThe SWPPP must include a description of pollutant sources from  
 
areas other than construction (including stormwater discharges  
 
from dedicated asphalt plants and  
 
dedicated concrete plants), and a  
 
description of controls and measures that will be implemented at those  
 
sites to minimize pollutant  
 
discharges. (CGP Part 3.4.I) Verify the SWPPP includes:
* Description of pollutant sources from areas other than construction (including dedicated
 
asphalt plants and concrete
 
plants)
* Controls and measures to minimize pollutant discharges
 
from these sources.
G G 4.5 Non-Stormwater Discharge Management (CGP Part 3.5) The SWPPP must identify all allowable sources of non-stormwater  
 
discharges listed in the permit [see Key Terms and Definitions], except for flows from fire fighting activities, that are combined with stormwater discharges associated with Verify the SWPPP identifies:
* Sources of non-stormwater that are combined with stormwater discharges from construction
 
activities GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes construction activities at the site. Non-stormwater discharges should be eliminated or reduced to the
 
extent feasible. The SWPPP must identify and ensure the implementation of
 
appropriate pollution prevention measures for the non-stormwater
 
component(s) of the discharge.
* Appropriate water pollution prevention measures and
 
descriptions for the control of non-stormwater discharges. Verify on site non-stormwater
 
discharges are eliminated or reduced
 
to the extent feasible G G4.6 Maintenance of Controls (CGP Part 3.6)
ALSO SEE 4.9, Maintaining an Updated Plan, CGP Part 3.11 All erosion and sediment control measures and other protective
 
measures identified in the SWPPP
 
must be maintained in effective
 
operating condition. (CGP Part
 
3.6.A) All control measures must be properly selected, installed, and maintained in accordance with any
 
relevant manufacturers
 
specifications and good engineering
 
practices. If periodic inspections or
 
other information indicates a control has been used inappropriately, or incorrectly, the operator must replace or modify the control for site
 
situations as soon as practicable.
(CGP Part 3.13.A) Verify the control measures selected
 
have been deemed appropriate for
 
the site (measures have been
 
approved and have not been modified or replaced without
 
approval). Verify on site that the control measures, including erosion and
 
sediment controls, identified in the
 
SWPPP are installed and operating effectively. This may require visiting
 
the site after a rain event (ALSO SEE 4.10 Inspections, CGP 3.10.E).
Determine if inspection records have identified any improperly or incorrectly used/maintained controls. Verify the operator has procedures in 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 inappropriately or correctly it has
 
been replaced or modified. Verify this change has been documented in the SWPPP.
G G G G G G If existing BMPs need to be modified or if additional BMPs are necessary for any reason, implementation must


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.
be completed before the next storm event whenever practicable.
If implementation before the next If BMPs have required modification or have been added, verify the
* 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
SWPPP:
* Has been updated to include these changes
* Details the schedule for the G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes storm event is impracticable, the situation must be documented in the
 
SWPPP and alternative BMPs must
 
be implemented as soon as possible.
(CGP Part 3.6.B)
ALSO SEE 4.9 Maintaining and Updated Plan, CGP Part 3.11 implementation of changes and, if applicable:
* Detail if changes were not made before the next rain event
* The alternative BMPs that were implemented


immediately Verify on site that these changes  
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:
have been implemented.
SWPPP and alternative BMPs must
G G G Sediment from sediment traps or sedimentation ponds must be removed when design capacity has been reduced by 50 percent. (CGP  
* 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
Part 3.6.C) Verify the SWPPP address removal
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.
of sediment from sedimentation
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)
ponds. Verify on site that sediment accumulated does not exceed 50 percent of capacity of sediment traps  
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)
and/or sediment ponds.
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:
G G 4.7 Applicable State, Tribal, or Local Programs (CGP Part 3.9) The SWPPP must be consistent with applicable state, tribal, and/or local  
 
requirements for soil and erosion control and stormwater management including updates as necessary to  
 
reflect revision to the requirements. Verify the SWPPP contains provisions to be consistent with
 
applicable state, tribal, or local
 
requirements for soil and erosion control and stormwater
 
management.
G 4.8 Inspections (CGP Part 3.10) Inspections must be conducted in accordance with the permits  
 
inspection schedule. (3.10.A) Verify the SWPPP includes the intended inspection schedule which
 
is either:
* At least once every 7 calendar days OR
* At least once every 7 calendar days OR
* At least once every 14 calendar days and within 24 hours of the end of a storm event of 0.5  
* At least once every 14 calendar days and within 24 hours 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


inches or greater.
Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:
GInspection frequency may be reduced to at least once every month
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


given specific seasonal, project, or
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
geographic conditions. (CGP Part
* 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.
3.10.B) If operator has modified inspection schedule, verify in the SWPPP that a monthly inspection schedule has
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.
been implemented. If the inspection frequency has been reduced, verify on site that one of the following conditions applies:
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.
* The entire site is temporarily G GThis document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein.
(CGP Part 3.10.F)
25 Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category: Stormwater Management for Construction Activity Regulatory Requirement or Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes stabilized
For each inspection an inspection               Verify the SWPPP contains a record          G report must be completed.                        of each inspection and any actions taken.
* Runoff is unlikely due to winter conditions (e.g., site is covered with snow, ice, or the ground is
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.
frozen)
Verify the reports contains, at a The inspection reports must identify             minimum, the following elements:
* Construction is occurring during seasonal arid periods in arid
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
areas and semi-arid areas A waiver of inspection requirements
 
is available until one month before thawing conditions are expected to
 
result in a discharge. (CGP Part
 
3.10.C) If the operator has sought a waiver
 
from inspection requirements verify all the following conditions are met:
* Project is located in an area where frozen conditions are anticipated to extend for more
 
than one month.
* Land disturbance activities have been suspended
* Beginning and end dates of waiver period are documented in
 
the SWPPP G G G Inspections must be conducted by qualified personnel [See Key Terms and Definitions] (provided by the operator or cooperatively by multiple
 
operators). (CGP Part 3.10.D) Verify the SWPPP identifies
 
appropriate personnel to conduct
 
inspections.
G Inspections must include all areas of the site disturbed by construction activity and areas used for storage of
 
materials that are exposed to
 
precipitation. Inspectors must look
 
for evidence of, or the potential for, pollutants entering the stormwater conveyance system.
Sedimentation and erosion control measures identified in the SWPPP
 
must be observed to ensure proper
 
operation.
Discharge locations must be inspected to ascertain whether
 
erosion control measures are
 
effective in preventing significant impacts to waters of the United States, where accessible.
Where discharge locations are inaccessible, nearby downstream
 
locations must be inspected to the
 
extent that such inspections are
 
practicable. Verify the SWPPP contains a
 
description of inspection procedures
 
for:
* Disturbed areas
* Storage sites for materials and chemicals exposed to precipitation Verify procedures are in place to
 
inspect accessible discharge locations as well as nearby downstream locations when
 
discharge sites are inaccessible. Verify inspection reports include evaluations of:
* Evidence of, or potential for, pollutants to enter the stormwater conveyance system
* Erosion and sediment control measures operating correctly (functioning as described in the
 
SWPPP)
* Evidence of offsite sediment G G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes Locations where vehicles enter or exit the site must be inspected for
 
evidence of off-site sediment  
 
tracking. (CGP Part 3.10.E) tracking where vehicles enter and exit the site
* Erosion control measures are effective (i.e., no downstream  
 
evidence of silt or construction  
 
debris) at accessible discharge locations or nearby downstream locations (with inaccessible sites)
GWhen stabilization of soils may be  
 
compromised as the result of inspection of utility line installation, pipeline construction, and other examples of long, narrow, linear  
 
construction activities, controls must  
 
be inspected on the same  
 
frequencies as other construction  
 
projects, but representative inspections may be performed.
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) At sites with utility line installation, pipeline construction, and other examples of long, narrow, linear construction activities verify controls
 
are inspected at the same frequency
 
as other construction projects.
If representative inspections are performed, verify personnel inspects
 
controls along the site 0.25 miles above and below each access point.
G G For each inspection an inspection report must be completed.
A record of each inspection and of any actions taken in accordance with  
 
this Part must be retained as part of the SWPPP for at least three years  
 
from the date that permit coverage  
 
expires or is terminated. The inspection reports must identify any incidents of non-compliance with  
 
the permit conditions. Where a report Verify the SWPPP contains a record of each inspection and any actions
 
taken. Verify the inspection reports identify incidents of non-compliance or
 
certification that the site is in
 
compliance. Verify the reports contains, at a minimum, the following elements:
* Summarized scope of inspection G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes does not identify any incidents of non-compliance, the report must contain a certification that the
 
construction project or site is in compliance with the SWPPP and this
 
permit. (CGP Part 3.10.G)
* Dates of inspections
* Names, titles, and qualifications of personnel conducting inspections
* Weather information for the period since the last inspection (or commencement of construction activity if the first


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:
inspection) including:
* A best estimate of the beginning of each storm event
* A best estimate of the beginning of each storm event
* Duration of each storm event, approximate amount of  
* Duration of each storm event, approximate amount of rainfall for each storm event (in inches)
 
rainfall for each storm event (in inches)
* Whether any discharges occurred
* Whether any discharges occurred
* Weather information and a description of any discharges  
* 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


occurring at the time of the
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.
inspection
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.
* Location(s) of discharges of sediment or other pollutants from
previously addressed in the SWPPP.
 
the site
* Location(s) of BMPs that need to be maintained
* Location(s) of BMPs that failed to operate as designed or proved
 
inadequate for a particular
 
location
* Location(s) where additional BMPs are needed that did not
 
exist at the time of inspection
* Corrective action required including any changes to the SWPPP necessary and
 
implementation dates
* Any incidents of noncompliance with the stormwater permit or SWPPP (if not - report must contain certification of compliance with SWPPP and
 
permit)
* An appropriate signature G G G G G G G G G G G 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes Permittee must amend the SWPPP, including site map, whenever there is  
 
a change in design, construction, operation, or maintenance that could  
 
have a significant effect on discharge of pollutants to waters of the U.S. not previously addressed in the SWPPP.
(CGP Part 3.11.A )
(CGP Part 3.11.A )
Determine if there have been any  
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:
changes in design, construction, operation, or maintenance. If so, verify the SWPPP was amended to reflect the changes.
3.11.B)
G G Permittee must amend the SWPPP whenever inspections or  
* 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
investigations indicate the plan is  
* 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)
ineffective in eliminating or  
Copies of the permit and of the                 Verify the SWPPP contains:
 
signed and certified NOI form that was submitted to EPA must be
minimizing pollutants. (CGP Part  
* 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
3.11.B) Based on results of inspection, the SWPPP shall be modified as necessary to include additional or  
* 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.
modified BMPs to correct problems  
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.
 
identified. Revisions to the SWPPP must be completed within seven (7) calendar days following the  
 
inspection. (CGP Part 3.11.C) Determine if there were any
 
inspections or investigations that
 
identified ineffectiveness of plan. If so verify:
* The SWPPP was modified to include revisions to BMPs to correct problems identified during
 
the inspection
* Verify these revisions were made within 7 days
* Implementation of additional or modified BMPs were completed
 
prior to next storm event or as  
 
soon as practicable.
G G G G 4.10 Signature, Plan Review, and Making Plans Available (CGP Part 3.12)
Copies of the permit and of the signed and certified NOI form that was submitted to EPA must be  
 
included in the SWPPP. Also, upon receipt, a copy of the letter from the EPA Stormwater Notice Processing Center notifying the operator of EPAs receipt of your administratively complete NOI must  
 
also be included as a component of  
 
the SWPPP. (CGP Part 3.8) A copy of the SWPPP (including a copy of the permit), NOI, and acknowledgment letter from EPA  
 
must be kept at the construction site  
 
or at another location easily  
 
accessible during business hours  
 
available from commencement of  
 
construction activities to the date of  
 
final stabilization. (CGP Part 3.12.A )
final stabilization. (CGP Part 3.12.A )
A sign or other notice containing this documentation must be posted conspicuously near the main  
Verify the posted notice includes the A sign or other notice containing this           following information:
 
documentation must be posted conspicuously near the main
entrance of the construction site. If displaying near the main entrance is  
* 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
infeasible, the notice can be posted  
 
in a local public building such as the Verify the SWPPP contains:
* A copy of the permit
* A copy of the signed and certified NOI form
* A copy of the notification letter from the EPA Stormwater Notice Processing Center indicating
 
receipt of complete NOI Verify these documents are kept on site or another nearby location has
 
been identified.
If an on-site location is unavailable, verify a notice of the plans location
 
is posted near the main entrance at
 
the construction site in the event an when no personnel are present. Verify the posted notice includes the following information:
* A copy of the completed NOI
* The name and telephone number of the contact person for scheduling SWPPP viewing
 
times if this information is G G G G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes town hall or public library. (CGP Part 3.12.B) different than that submitted in
 
the NOI
* Current location of the SWPPP (if viewing location has changed
 
from that noted in the NOI)
* 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).
G G SWPPPs must be made available upon request by EPA; a state, tribal, or local agency approving sediment
 
and erosion plans, grading plans, or stormwater management plans; local
 
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) Verify the SWPPP contains
 
measures are to make the plan available for review upon request by
 
a government official during an
 
inspection.
GThe SWPPP must be signed and certified by a responsible corporate
 
officer (corporation), a general
 
partner or proprietor (partnership or


sole proprietorship), a principal  
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


executive officer or ranking elected
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.
official (municipal, state, federal, or other public agency). (CGP Part
the release. (CGP Part 4.3)                                                                 G Verify that the SWPPP was modified to include:                                 G G
 
3.12.D) ALSO SEE Key Terms and Definitions for additional detail Verify the SWPPP is signed by the appropriate authority.
G 5.0 Released in Excess of Reportable Quantities The discharge of hazardous substances or oil in stormwater
 
discharges from the construction site
 
must be prevented or minimized in accordance with the SWPPP.
If a release occurs, it must be reported and the SWPPP modified Determine if records contain reference to any releases of
 
hazardous substances or oil of
 
reportable quantities during a 24-
 
hour period. If so, verify records detail that the National Response Center was G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes within seven days of knowledge of the release. (CGP Part 4.3) notified. Verify that the SWPPP was modified to include:
* A description of the release
* A description of the release
* The circumstances leading to the release
* The circumstances leading to the       G release                               G
* The date of the release
* The date of the release
* Measures to prevent the reoccurrence of such release
* Measures to prevent the               G reoccurrence of such release
* Measures to respond to such releases G G G G G G 6.0 Records Retention (CGP Part 6.0)
* Measures to respond to such releases 6.0 Records Retention (CGP Part 6.0)
Copies of the SWPPP and all documentation required by this  
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
permit, including records of all data  
* SWPPP                                  G covered by this permit, must be
 
* All reports required by the permit    G retained for at least three years from
used to complete the NOI to be covered by this permit, must be 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


the date that permit coverage expires or is terminated. This period may be extended by request of EPA at any time. Verify the permittee has copies on file of the following:
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
* SWPPP
* All reports required by the permit
* Records of all data used to complete the NOI G G GThis 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 city s 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes 7.0 Applicability 7.1 Large and medium MS4s are required to apply for an NPDES


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)]
permit. [40 CFR 122.26(a)(iii)-(iv)]
Note: Large / Medium MS4s are defined in 40 CFR 122.26(b)(4) and  
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.
122.26(b)(7). Verify that an application has been
 
submitted for a permit.
G 8.0 Permit Requirements (40 CFR 122.41) 8.1 Permittees with currently effective permits shall submit a new application 180 days before the  
 
existing permit expires, except that:
existing permit expires, except that:
The Regional Administrator may  
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.
grant permission to submit an  
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.
application later than the deadline before submission otherwise  
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
applicable, but no later than the  
 
permit expiration date. [40 CFR  
 
122.21(d)(2)]. Verify the date of reapplication if
 
permittee has reapplied for permit
 
coverage.
G8.2 The permittee must comply with  
 
all conditions of the permit. [40 CFR  
 
122.41(a)] Verify that the municipality is
 
operating according to permit
 
conditions. Determine if the municipality has a history of non-compliance with its  
 
MS4 NPDES permit (possibly indicating propensity toward non-
 
compliance).
G G 8.3 Samples and measurements taken for the purpose of monitoring  
 
shall be representative of the monitored activity. [40 CFR  
 
122.41(j)(1)] Verify that monitoring (i.e.,
measurements and samples)
 
consists of representative sampling.
GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes 8.4 The permittee shall retain records of all monitoring information for a period of at least three years


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.
from the date of the sample, measurement, report or application.
This period may be extended by the Director at any time. [40 CFR  
* 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
122.41(j)(2)] Verify that the following records are
* All data used to complete the G
 
permit application
being maintained and have been on file for three years:
* All reports required by the permit G
* Calibration and maintenance records
* Records of all data used to complete the permit application G
* Original strip chart recordings for continuous monitoring instrumentation
8.5 Large and medium MS4s must                   Verify that all monitoring records include detailed information                     include the:
* All data used to complete the permit application
regarding each monitoring event in all monitoring records. [40 CFR
* All reports required by the permit
* Date, exact place, and time of          G 122.41(j)(3)]                                         sampling or measurements
* Records of all data used to complete the permit application G G G G G 8.5 Large and medium MS4s must include detailed information  
* Individual(s) who performed the         G sampling or measurements
 
* Date analyses were performed           G
regarding each monitoring event in  
* Individual(s) who performed the         G analyses
 
* Analytical techniques or               G methods used
all monitoring records. [40 CFR  
* 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.
122.41(j)(3)] Verify that all monitoring records
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
include the:
* Proper approval was obtained           G from state/U.S. EPA if alternate analytical procedures are used
* Date, exact place, and time of sampling or measurements
* Parameters other than those required by the permit are             G analyzed appropriately
* Individual(s) who performed the sampling or measurements
* Calibration and maintenance of instruments and equipment is           G being performed
* Date analyses were performed
* Quality control procedures are         G used
* Individual(s) who performed the analyses
* Duplicate samples are analyzed         G
* Analytical techniques or methods used
* Spiked samples are used                 G
* Results of the analyses G G G G G G 8.6 Monitoring results must be conducted according to test  
* 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
procedures approved under 40 CFR  
 
part 136, unless other test  
 
procedures have been specified in  
 
the permit. [40 CFR 122.41(j)(4)] Verify in the monitoring records that all analytical methods / procedures
 
use are those approved under 40
 
CFR 136. Verify that:
* A U.S. EPA approved analytical testing laboratory was used
* Proper approval was obtained from state/U.S. EPA if alternate analytical procedures are used
* Parameters other than those required by the permit are analyzed appropriately
* Calibration and maintenance of instruments and equipment is  
 
being performed
* Quality control procedures are used
* Duplicate samples are analyzed
* Spiked samples are used
* A commercial laboratory is used
* The commercial laboratory is G G G G G G G G G
GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes state certified (states with formal certification program) 8.7 All applications, reports, or
 
information submitted to the Director
 
shall be signed and certified. [40
 
CFR 122.41(k)(1); 40 CFR 122.22] Verify that all information submitted to the Director is properly signed and certified by the appropriate
 
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.
G8.8 The permittee shall give notice
 
to the Director as soon as possible of any planned physical alternations or additions to the permitted facility.
Notice is required when the
 
alteration or addition could significantly change the nature or increase the quantity of pollutants which are subject neither to effluent
 
limitations in the permit, nor to
 
notification requirements under
 
122.42(a)(1). [40 CFR
 
122.41(l)(1)(ii)] As a baseline, verify the permit:
* Includes all those areas in the system where there is a discharge of pollutants.
* Adequately describes the nature and quantity of discharge. Verify that records indicate the Director was contacted of any
 
significant changes in the nature of discharge or increase in quantity of


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.
discharge.
G G G8.9 The permitee shall give advance notice to the Director of any planned changes in the permitted facility or activity which may result in noncompliance with permit  
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)]
requirements. [40 CFR 122.41(l)(2)] Verify records indicate that the MS4
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
notified the Director of any
 
anticipated noncompliance.
G 8.10 Monitoring results shall be  
 
reported at intervals specified in the  
 
permit. [40 CFR 122.41(l)(4)] Verify that all monitoring results were sent to the Director at the
 
intervals specified in the permit, by reviewing the file which includes the  
 
DMRs or other approved reporting  
 
forms. GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes 8.11 Monitoring results must be reported on a Discharge Monitoring
 
Report (DMR) or forms provided or specified by the Director for
 
reporting monitoring results. [40
 
CFR 122.41(l)(4)(i)] Verify that the correct forms for
 
reporting monitoring results are being used by the MS4.
G 8.12 If the permittee monitors any pollutant more frequently than required by the permit using test
 
procedures approved under 40 CFR
 
part 136, the test results of this
 
monitoring shall be included in the calculation and reporting of the data
 
submitted in the DMR. [40 CFR
 
122.41(l)(4)(ii)] Verify if the permittee monitors any pollutant more frequently than required. If so, verfiy:
* All pollutant monitoring results use approved test procedures
* The results are included in the calculations
* The results are reported to the Director G G G G 8.13 Calculations for all limitations which require averaging of
 
measurements shall utilize an arithmetic mean unless otherwise specified by the Director in the
 
permit. [40 CFR 122.41(l)(4)(iii)]. Verify that the arithmetic mean is
 
being utilized to calculate the
 
average of multiple measurements.
G 8.14 Reports of compliance or noncompliance with, or any
 
progress reports on, interim and
 
final requirements contained in any
 
compliance schedule of the permit
 
shall be submitted no later than 14 days following each schedule date.
 
[40 CFR 122.41(l)(5)] Verify that all reports relating to compliance schedules were submitted to the Director within 14 days following the schedule date.
G8.15 The permittee shall report any noncompliance which may endanger
 
health or the environment. Any
 
information shall be provided orally within 24 hours from the time the permittee becomes aware of the circumstances. A written submission shall also be provided within 5 days
 
of the time the permittee becomes aware of the circumstances. [40
 
CFR 122.41(l)(6)(I)] Verify records include any incidents
 
on non-compliance including
 
releases of hazardous substances
 
or oil. Verify records indicate that these incident were reported:
* Orally (e.g., telephone call) within 24 hours of becoming 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 G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes noncompliance and the cause
* The period of noncompliance (dates and times)
* If the noncompliance was not corrected, the time frame that noncompliance is expected to
 
continue, the steps taken to
 
reduce, eliminate, or prevent
 
reoccurrence of such an event.
G GThis 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 citati on 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes 9.0 Applicability The operator of a small MS4s is required to obtain permit coverage, unless qualifying for a waiver. This includes, but is not limited to, federal, state, tribal, or local


governments (including state
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 hours 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 hours 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


departments of transportation). (40
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


CFR 122.32(a))
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
AND Small MS4s located in an urbanized area, as determined by the latest Decennial Census by the Bureau of


the Census. [40 CFR 122.26(a)(1)]
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.
OR The operator is designated by the permitting authority [40 CFR  
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


122.26(b)] Verify the MS4 meets the regulatory
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.,
definition of a small MS4 and
historic properties.                       limiting permit coverage and this has been communicated with the
 
* Discharges to territorial seas,             permitting authority.
satisfies the requirements in 40 CFR 122.32 (see Key Terms and Definitions).
the contiguous zone, and the oceans unless such discharges are in compliance with the ocean discharge criteria of 40 CFR 125, Subpart M.
G 10.0 Limitations on Coverage The permit does not authorize:
* Discharges that would cause or contribute to instream exceedances of water quality standards.
* Discharges or discharge-related activities that are likely to jeopardize the continued existence of any species that are
 
listed as endangered or
 
threatened under the ESA or
 
result in the adverse
 
modification or destruction of
 
habitat that is designated as
 
critical under the ESA.
* Discharges and discharge-Verify the operator has determined
 
the location of outfalls into receiving waters to determine where discharges occur and what may be
 
impacted (ALSO SEE 12.3 Illicit Discharge Detection and Elimination
[122.34(b)(3)] (MS4 - 4.2.3)
]. Verify if the Stormwater Management Program (SWMP) has indicated any additional discharge
 
points/related activities. If so, verify if these points/related G G (MS4 - 1.3) 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 S mall M S 4s located in an urbanized area, as determined by th e l a t es t y ,y Decennial Census by th e B u r eau o f y y the Census. [40 C F R 122.26 (a)(1)]
Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category: Stormwater Management for Small MS4s Regulatory Requirement or Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes related activities with unconsidered adverse effects on  
 
historic properties.
* Discharges to territorial seas, 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.
* Discharges that do not comply with the state or tribes anti-degredation policy for water quality standards.
Note: Both at the time the  
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)
NOI/application is filed and  
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:
throughout the implementation of  
122.34(e)(1)]
 
* How discharges of pollutants of G
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.
concern will be controlled
activities impact endangered
* 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
species, historic properties, etc.,
limiting permit coverage and this has been communicated with the permitting authority.
G 11.0 Discharges to Water Quality Impaired Waters (MS4 - 3.1) The operator must comply with any more stringent effluent limitations in  
 
the permit, including permit requirements that modify, or are in  
 
addition to, the minimum control  
 
measures based on an approved total maximum daily load (TMDL) or equivalent analysis. [40 CFR  
 
122.34(e)(1)] Determine if a waterbody to which
 
the MS4 discharges has been designated as a 303(d) listed water or a TMDL has been developed for the waterbody. If discharging to an impaired water, verify the SWMP discusses:
* How discharges of pollutants of concern will be controlled
* How the operator will ensure discharges will not cause or contribute to exceedances of water quality standards
* Measures and BMPs that will 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 G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes including:
* If the TMDL is for a pollutant likely to be in stormwater discharges
* If the TMDL has WLAs or other performance requirement for the
 
MS4
* If the TMDL addresses a flow regime likely to occur in periods of stormwater discharge from
 
MS4 If the MS4 must implement WLA provisions of the TMDL, verify that
 
the operator has assessed if WLAs
 
are being met through existing stormwater control measures. Verify documentation of all current or planned control measures and
 
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
 
WLAs. If additional/modified controls are necessary, verify the type and
 
schedule for additional controls has
 
been described in the SWMP. Note: Two continuous monitoring cycles must show that the WLAs or water quality standards are being
 
met. G G G G G G G12.0 Stormwater Management Programs - Requirements [40 CFR 122.34(a)] (MS4 - 4.1 and 4.3) The operator must, at a minimum, develop, implement, and enforce a
 
SWMP designed to reduce the
 
discharge of pollutants from the
 
MS4 to the maximum extent practicable (MEP), to protect water quality, and to satisfy the appropriate water quality
 
requirements of the Clean Water
 
Act. [40 CFR 122.34(a)] If an existing qualifying local Verify the operator has developed, implemented, and is enforcing a
 
SWMP. Verify the SWMP includes the following minimum control
 
measures:
* Public education and outreach
* Public involvement/participation
* Illicit discharge detection and G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes program requires the operator to implement one or more of the
 
minimum control measures, the NPDES permitting authority may
 
include conditions in the NPDES permit that may direct the operator to follow that programs
 
requirements rather than the
 
requirements described under 40  


CFR 122.34(b). [40 CFR 122.34(c)]
Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:
elimination
Stormwater Management for Small MS4s Regulatory Requirement or                                Reviewer Checks            Reviewer Reviewer Notes Management Practice:                                                            Completed including:
* Construction site stormwater runoff control
* If the TMDL is for a pollutant likely to be in stormwater            G discharges
* Post-construction stormwater management in new
* 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


development and redevelopment
Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:
* Pollution prevention/good housekeeping. Verify the SWMP includes the BMPs  
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


that the operator or another entity will use to address each of these
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
control measures including:
* The number of people expected to be reached by the strategy in permit term                         G
* Measurable goals for each BMP
* Who is responsible for management and implementation of the program/BMPs G
* Time required to undertake BMP, including interim milestones and frequency of the
* 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.
action
12.2 Public Involvement/Participation [122.34(b)(2)] (MS4 - 4.2.2)
* Person(s) responsible for implementing/coordinating BMP
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:
* Rationale for selection of BMPs and measurable goals If a qualifying local program is
implementing a public involvement/
 
participation program. [122.34(b)(2)]
requiring the operator to implement a control measure(s), verify that this
* How the public was involved in       G NOI submittal and SWMP development
 
* The plan for public involvement     G in program development and implementation
has been discussed in the SWMP.
* The target audiences for the involvement program including       G ethnic and economic groups
Note: If the operator is meeting the requirements of a qualifying local program, the operator may not be
* Person(s) responsible for the management and                       G implementation of the program/elements
 
* The types of public involvement     G activities including, where appropriate:
required to submit information on
 
the other minimum measures discussed below.
G G G G G G G G G12.1 Public Education and Outreach on Stormwater Impacts [122.34(b)(1)] (MS4 - 4.2.1) The operator must implement a public education program to
 
distribute educational materials to the community or conduct
 
equivalent outreach activities about the impacts of stormwater discharges on water bodies and the
 
steps that the public can take to reduce pollutants in stormwater
 
runoff. [40 CFR 122.34(b)(1)] Verify the SWMP describes the
 
decision process for program
 
development including:
* Plans to inform individuals/
households about reducing stormwater pollution
* Plans to inform individuals/groups about involvement with the stormwater
 
program
* The target audiences and why they are selected
* The targeted pollutant sources
* The outreach strategy and methods that will be used to G G G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes reach targeted audiences
* The number of people expected to be reached by the strategy in permit term
* Who is responsible for management and  
 
implementation of the  
 
program/BMPs
* How the success of the minimum measure will be  
 
evaluated
* How the measurable goals were selected Verify the BMPs and measurable  
 
goals outlined in the plan have been met by the schedule in the SWMP.
G G G G G12.2 Public Involvement/Participation [122.34(b)(2)] (MS4 - 4.2.2) The operator must, at a minimum, comply with state, tribal and local public notice requirements when  
 
implementing a public involvement/  
 
participation program. [122.34(b)(2)] Verify the SWMP describes the
 
decision process for program
 
development including:
* How the public was involved in NOI submittal and SWMP development
* The plan for public involvement in program development and  
 
implementation
* The target audiences for the involvement program including  
 
ethnic and economic groups
* Person(s) responsible for the management and  
 
implementation of the  
 
program/elements
* The types of public involvement activities including, where  
 
appropriate:
* Citizen representatives on a local stormwater management panel
* Citizen representatives on a local stormwater management panel
* Public hearings
* Public hearings
* Citizen volunteers to educate other individuals about the program
* Citizen volunteers to educate other individuals about the program
* Volunteer monitoring
* Volunteer monitoring
* How success of minimum measures are evaluated
* How success of minimum measures are evaluated               G
* How measurable goals were selected Verify the SWMP describes how the G G G 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
G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes public involvement/ participation program complies with state, Tribal, and local public notice
 
requirements. Verify the BMPs and measurable goals outlined in the plan have been met by the schedule set forth in the
 
SWMP. G G12.3 Illicit Discharge Detection and Elimination [122.34(b)(3)] (MS4 - 4.2.3) The operator must develop, implement and enforce a program to
 
detect and eliminate illicit
 
discharges (as defined at
 
122.26(b)(2)). [122.34(b)(3)] Verify a storm sewer map has been
 
developed indicating location of outfalls and receiving waters. Verify the SWMP describes the decision process for program
 
development including:
* How a storm sewer map is or will be developed and how it will be updated
* The regulatory mechanism that will be used to prohibit
 
discharges (i.e., ordinance)
 
including:
* Why the mechanism was chosen
* A description of the plan to develop the mechanism or copy of relevant sections if already developed
* A description of the plan to ensure compliance of this regulatory mechanism
 
through enforcement
 
procedures and actions
* A plan to detect and address illicit discharges including:
* Dry weather screening for non stormwater flows
* Field tests of selected chemical parameters
* A mechanism to address on-site sewage disposal systems that flow into the storm drainage system and procedures for:
* Locating priority areas
* Tracing source o f discharges (including techniques)
* Removing the source of the G G G G G G G G G G
G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes illicit discharges
* Program evaluation and assessment
* 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 management and
 
implementation of the
 
program/BMPs
* How success of minimum measures are evaluated
* How measurable goals were selected If already developed, verify the storm sewer map shows the location
 
of the outfalls and names and location of receiving waters. Verify the BMPs and measurable goals outlined in the plan have been met by the schedule set forth in the
 
SWMP. G G G G G G G12.4 Construction Site Stormwater Runoff Control ([22.34(b)(4)] (MS4 - 4.2.4) The operator must develop, implement, and enforce a program
 
to reduce pollutants in any stormwater runoff to the small MS4
 
from construction activities that
 
result in a land disturbance of
 
greater than or equal to one acre.
Reduction of stormwater discharges from construction activity disturbing
 
less than one acre must be included
 
in the program if that construction activity is part of a larger common
 
plan of development or sale that would disturb one acre or more.
 
(122.34(b)(4)) Verify the SWMP describes the
 
decision process for program
 
development including:
* The regulatory mechanism that will be used to require erosion and sediment controls at
 
construction sites (i.e.,
ordinance) including:
* Why this mechanism was chosen
* A description of plan to develop the mechanism or copy of relevant sections if already developed
* A description of the plan to ensure compliance of this regulatory mechanism
 
through sanctions and
 
enforcement
* Description of procedures for when certain sanctions are
 
used G G G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes
* Requirements for operators to 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 potential water quality impacts
 
including:
* Description of procedures and rationale for identifying sites for plan review (if not all reviewed)
* Estimated number and percentage of sites with plan
 
review
* Procedures for receipt and consideration of information submitted by the public
* Procedures for site inspection and enforcement of control
 
measures including prioritization
 
of sites for inspection
* Person(s) responsible for management and
 
implementation of the program/BMPs
* How success of minimum measures are evaluated
* How measurable goals were selected Verify the BMPs and measurable goals outlined in the plan have been met by the schedule set forth in the
 
SWMP. G G G G G G G G G G12.5 Post-Construction Stormwater Management in New Development and Redevelopment [122.34(b)(5)] (MS4 -
4.2.5) The operator must develop, implement, and enforce a program to address stormwater runoff from new development and
 
redevelopment projects that disturb
 
greater than or equal to one acre, including projects less than one acre
 
that are part of a larger common
 
plan of development or sale, that discharge into the small MS4. The
 
program must ensure that controls are in place that would prevent or minimize water quality impacts. Verify the SWMP describes the
 
process for program development
 
including:
* Specific priority areas to be addressed in the program
* How program is specifically tailored to the local community (minimize water quality impacts, maintain pre-development
 
conditions)
* Structural (wet ponds, filtration practices, infiltration practices, G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes
[122.34(b)(5)]
etc.) and non-structural (policies or ordinances, educational programs, etc.) BMPs included
 
in the program
* The mechanism that will be used to address post-construction
 
runoff (i.e., ordinance)
* Why the mechanism was chosen
* A description of plan to develop the mechanism or copy of relevant sections if already developed
* How the long-term operation and maintenance (O&M) of BMPs will be ensured
* Person(s) responsible for management and
 
implementation of the
 
program/BMPs
* How success of minimum measures are evaluated
* How measurable goals were selected Verify the BMPs and measurable
 
goals outlined in the plan have been met by the schedule set forth in the
 
SWMP. Verify that proposed BMP maintenance activities are being
 
performed.
G G G G G G G G G12.6 Pollution Prevention/Good Housekeeping for Municipal Operations [122.34(b)(6)] (MS4 - 4.2.6) The operator must develop and implement an operation and
 
maintenance (O&M) program that
 
includes a training component and
 
has the ultimate goal of preventing
 
or reducing pollutant runoff from
 
municipal operations. [122.34(b)(6)] Verify the SWMP describes the
 
process for program development
 
including:
* A description of the O&M program to prevent or reduce pollutant runoff from municipal
 
operations including:
* Municipal operations impacted by the O&M program
* A list of municipally-owned industrial facilities


discharging to the MS4 that  
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


are subject to industrial stormwater permitting (including permit number or  
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


industrial NOI)
Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:
* Any government employee G G GThis document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein.
Stormwater Management for Small MS4s Regulatory Requirement or                              Reviewer Checks                  Reviewer Reviewer Notes Management Practice:                                                                Completed
47 Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category: Stormwater Management for Small MS4s Regulatory Requirement or Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes training program used to prevent/reduce stormwater
* 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


pollution from municipal  
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


activities including:
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
* A description of exiting materials used
* Description of how the training program is coordinated with public  
* Description of how the               G training program is coordinated with public information and illicit           G discharge minimum measures
 
information and illicit  
 
discharge minimum  
 
measures
* A program description addressing:
* A program description addressing:
* Maintenance activities, schedules, and long-term inspection procedures for  
* 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.
controls to reduce floatables/  
G
 
* Procedures for proper disposal of waste removed from MS4 and municipal operations                        G
pollutants to the MS4
* 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
* Controls for reducing or eliminating discharges from  
* Person(s) responsible for management and implementation of the program/BMPs
 
* How success of minimum                G measures are evaluated
streets, parking lots, storage yards, etc.
* 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.
* Procedures for proper disposal of waste removed  
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
from MS4 and municipal
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


operations
Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:
* Procedures ensure flood management projects are  
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


assessed for impacts on water quality and existing
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
projects are assessed for
* 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.
incorporation of additional water quality protection
15.0 Monitoring (MS4 5.1)
* Person(s) responsible for management and
The operator must evaluate the                 When monitoring is conducted, program compliance, the                         verify in records:
 
appropriateness of identified BMPs, and progress towards achieving
implementation of the
* 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
program/BMPs
* How success of minimum measures are evaluated
* How measurable goals were selected Verify the training program for the
 
municipal staff achieves the intended goal of educating staff associated with reducing pollutant runoff from municipal operations. Verify that proposed maintenance activities are performed. Verify the BMPs and measurable goals outlined in the plan have been met by the schedule set forth in the
 
SWMP. G G G G G G G G G G G G GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes 13.0 Sharing Responsibility (40 CFR 122.35) (MS4 - 4.4) The operator may rely on another entity to satisfy the operators
 
NPDES permit obligation to
 
implement a minimum control
 
measure (40 CFR 122.35). If an entity other than the MS4 is
 
implementing part or all of a minimum control measure, verify the
 
operator:
* Has actually implemented the measure
* Has implemented a control 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 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.) G G G 14.0 Reviewing and Updating Stormwater Management Programs [40 CFR 122.34(g)] (MS4 - 4.5) The operator must evaluate program compliance, the
 
appropriateness of
 
best management practices, and progress towards achieving the
 
identified measurable goals. [40
 
CFR 122.34(g)] Permits... may be modified, revoked and reissued, or terminated either at the request of any interested person (including the permittee) or upon the Directors initiative. However, permits may only be modified, revoked and reissued, or terminated
 
for the reasons specified in §122.62
 
or §122.64... All requests shall be in writing and shall contain facts or
 
reasons supporting the request. [40
 
CFR 124.5] Verify the operator has performed an annual review of the SWMP in conjunction with the annual report.
If modifications have been made to the SWMP, verify a record of written notification of proposed change
 
including:
* An analysis of why the BMP is ineffective or infeasible
* Expectations of the effectiveness of the replacement BMP
* The analysis of why the replacement BMP is expected to
 
achieve goals of replaced BMP
* Any modifications to the SWMP are approved by the regulating agency are implemented
 
according to schedule If additional areas have been added to the MS4, verify:
* A plan for implementation of the SWMP has been be developed for the area G G G G G G G the identified 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes
* The SWMP has been 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.
G 15.0 Monitoring (MS4 5.1) The operator must evaluate the program compliance, the appropriateness of identified BMPs, and progress towards achieving  
 
identified measurable goals. [40  
 
CFR 122.34(g)] Note: The NPDES permitting authority may determine monitoring
 
requirements for the operator in accordance with state/Tribal
 
monitoring plans appropriate to the watershed. [40 CFR 122.34(g)(1)]
When monitoring is conducted, verify in records:
* Representative samples and measurements have been taken
* It is conducted according to the test procedures approved under 40 CFR 136
* Records include:
* Records include:
* Date, location, time of sampling
requirements for the operator in                                                          G
* Name of those performing sampling
* 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
* Date of analyses
* Name of those performing analyses
* Name of those performing analyses
* Analytical techniques or methods used
* Analytical techniques or methods used
* Results of analyses Verify monitoring results are reported on a Discharge Monitoring  
* 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.
Report (DMR). If the MS4 discharges to a water for which a TMDL was approved, verify that any additional monitoring requirements were performed.
16.0 Recordkeeping (MS4 - 5.2)
G G G G G 16.0 Recordkeeping (MS4 - 5.2) The operator must keep records required by the NPDES permit for at least three years. The operator must  
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
submit records to the NPDES permitting authority only when specifically asked to do so. The  
* 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
 
operator must make records, including a description of the Verify the following are maintained
 
on file:
* Records of all monitoring information required in the permit (i.e., calibration and  
 
maintenance records, original  
 
strip chart recordings for GThis 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 Management Practice: Reviewer Checks Reviewer Completed Reviewer Notes SWMP, available to the public at reasonable times during regular
 
business hours. [40 CFR


122.35(g)(2)]
Protocol for Conducting Environmental Compliance Audits under the Stormwater Program Compliance Category:
continuous monitoring instrumentation, analytical laboratory reports)
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 permit
* Copies of all reports required in     G permit                               G
* MRs
* DMRs                                  G
* A copy of the permit
* A copy of the permit
* Records of all data used to complete the application (NOI) Verify a description of the SWMP has been retained in an accessible  
* 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)
location for the permitting authority  
Unless the operator is relying on               Verify an annual report has been          G another entity to satisfy the NPDES             submitted as required and includes:
 
and that records are available to the  
 
public. G G G G G 17.0 Reporting (MS4 - 5.3) Unless the operator is relying on another entity to satisfy the NPDES  
 
permit obligations under §122.35(a),
permit obligations under §122.35(a),
the operator must submit annual  
the operator must submit annual
 
* The status of compliance with        G reports to the NPDES permitting                     permit conditions authority for the first permit term.
reports to the NPDES permitting 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)]
For subsequent permit terms, the operator must submit reports in year two and four unless the NPDES permitting authority requires more  
* 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
frequent reports. [40 CFR 122.35 (g)(3)] Verify an annual report has been
* 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)
submitted as required and includes:
* 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.
* The status of compliance with permit conditions
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
* An assessment of the appropriateness of BMPs
* The progress towards achieving the goal of reducing the discharge of pollutants to the
 
MEP
* The measurable goals for each minimum control measure
* The results of information collected and analyzed (if any),
including monitoring data used  
 
to assess the success of the  
 
program
* A summary of stormwater activities planned in the next reporting cycle and schedule
* Any proposed changes to SWMP (including to BMPs and  
 
measurable goals)
* Notice that the operator is relying on another entity for  
 
permit obligations Verify that stormwater activities  


reported in the annual report are being undertaken by the permittee or other entity.
Appendix A Onsite Checklist for Construction Stormwater Discharges
G G G G G G G G G G DThis 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  
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


referenced below.
4.4 Pollution Prevention Plan     Verify on site that the exposure minimization practices discussed in the SWPPP have Contents: Controls to Reduce     been implemented.
Permit Reference On-Site Reviewer Checks 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) Verify on site the operator has incorporated measures or controls into the SWPPP that are consistent with the assumptions and requirements of the TMDL. 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) Verify on site the permittee has 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) Verify on site the permittee has implemented measures to protect historic properties and places. 4.1 SWPPP Framework (CGP Part 3.1.C) If a definable area is marked on the SWPPP as being stabilized, verify that it is indeed stabilized on site.
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.
4.2 Requirements for Different Types of Operators (CGP Part 3.2.C) Verify on site that the operators activities have not negatively impacted another partys pollution controls. 4.4 Pollution Prevention Plan  
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 3.4.B, 3.13.D) Verify on site disturbed areas are stabilized (sodded or covered by other means) where construction activities have temporarily or permanently ceased. 4.4 Pollution Prevention Plan Contents: Controls to Reduce Pollutants (CGP Part 3.4.D, 3.13.E) Verify on site the appropriate sediment and erosion control measures for the drainage area of the site is implemented as described in the SWPPP. 4.4 Pollution Prevention Plan Contents: Controls to Reduce Pollutants (CGP Part 3.4.E) Verify placement of structural measures in the SWPPP and on site. 4.4 Pollution Prevention Plan Contents: Controls to Reduce Pollutants (CGP Part 3.4.F) Verify on site through inspection of outfalls that no solid/building materials are discharged unless authorized by a permit. 4.4 Pollution Prevention Plan
Contents: Controls to Reduce Pollutants (CGP Part 3.13.F)
 
Contents: Controls to Reduce Pollutants (CGP Part 3.4.G, 3.13.B) Verify on site that accumulation of sediment, or signs of sediment escape, does not appear outside the construction entrance or perimeter of the construction site. 4.4 Pollution Prevention Plan Contents: Controls to Reduce Pollutants (CGP Part 3.4.H, 3.13.C) Verify on site that those construction and waste materials stored on-site match those
 
noted in the SWPPP.
A 2 4.4 Pollution Prevention Plan Contents: Controls to Reduce
 
Pollutants (CGP Part 3.4.H, 3.13.C) Verify on site that the exposure minimization practices discussed in the SWPPP have
 
been implemented. 4.4 Pollution Prevention Plan  
 
Contents: Controls to Reduce Pollutants (CGP Part 3.4.H, 3.13.C) Verify on site the stormwater conveyance system and the outside perimeter of the construction site are free of debris and chemicals. 4.4 Pollution Prevention Plan
 
Contents: Controls to Reduce Pollutants (CGP Part 3.4.H, 3.13.C) Verify on site that the spill prevention and response practices are being implemented (there are materials provided to employees, trainings, etc.) 4.4 Pollution Prevention Plan Contents: Controls to Reduce Pollutants (CGP Part 3.13.F) Verify on site:
* The velocity dissipation devices have been installed
* The velocity dissipation devices have been installed
* There is no evidence of erosion at outlet
* There is no evidence of erosion at outlet
* High velocity flow has not misplaced rocks
* High velocity flow has not misplaced rocks
* The size and number of rocks are adequate to avoid soil erosion
* 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 Management (CGP Part 3.5) Verify on site non-stormwater discharges are eliminated or reduced to the extent feasible 4.6 Maintenance of Controls (CGP  
* 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.
Part 3.6.A, 3.13.A) Verify on site that the control measures, including erosion and sediment controls, identified in the SWPPP are installed and operating effectively.
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  
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:
Part 3.6.A, 3.13.A) Verify on site that if a control measure has been used inappropriately or correctly it has been replaced or modified.
4.6 Maintenance of Controls (CGP  
 
Part 3.6.B) Verify on site that changes to existing BMPs or additional BMPs have been  
 
implemented/added.
4.6 Maintenance of Controls (CGP  
 
Part 3.6.C) Verify on site that sediment accumulated does not exceed 50 percent of capacity of 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
* 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)
* 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 3 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
* Construction is occurring during seasonal arid periods in arid areas and semi-arid areas A3


(CMU)
Appendix B EPA Stormwater Regional Contacts
Boston, MA 02114-2023


Phone: (617) 918-1615  
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


Email: murphy.thelma@epa.gov REGION 2 Stephen Venezia US EPA, Region 02
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


290 Broadway, 24th Floor
Appendix C Information Sources


New York, NY 10007-1866 Phone: (212) 637-3856
Information Sources (Updated November 2004)
 
WEBSITES         (water and/or wastewater-oriented; financial related)
Email: venezia.stephen@epa.gov Sergio Bosques US EPA, Region 02 / Caribbean Environmental Protection Division
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/
1492 Ponce de Leon Ave
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/
Central Europa Building, Suite 417
National Association of Towns & Townships (NATAT)                       http://www.natat.org/
 
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 B 2 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 B 3 Appendix C Information Sources Information Sources (Updated November 2004)
WEBSITES (water and/or wastewater-oriented; financial related)
EPA National Compliance Assistance Clearinghouse Compliance Assistance Centers
 
Construction Industry Compliance Assistance Center
 
EPA NPDES website
 
EPA Operator On-Site Technical Assistance Program-104(g) www.epa.gov/clearinghouse http://www.assistancecenters.net www.cicacenter.org http://www.epa.gov/npdes 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 EPA Clean Water Tribal Grant Program
 
EPA Colonias Program
 
EPA Clean Water State Revolving Loan Fund Program EPA Website (Headquarters & Regions)
 
EPA Small Business Gateway
 
Environmental Finance Center
 
National Environmental Services Center/WV University
 
Local Govt. Environmental Assistance Network
 
Rural Community Assistance Program (RCAP)
Water Environment Federation (WEF)
 
AMSA  American Water Works Assoc. (AWWA)
National Association of Towns & Townships (NATAT)
PUBLICATIONS /TRAINING VIDEOS /NEWSLETTERS, etc.
PUBLICATIONS /TRAINING VIDEOS /NEWSLETTERS, etc.
www.epa.gov/owm www.epa.gov/owm/mab/indian/cwisa.htm www.epa.gov/owm/mab/mexican www.epa.gov/owm/cwfinance/cwsrf www.epa.gov/
http://www.epa.gov/smallbusiness http://sspa.boisestate.edu/efc www.nesc.wvu.edu www.lgean.org www.rcap.org www.wef.org www.amsa-cleanwater.org/pubs/
http://www.awwa.org/
http://www.natat.org/
EPA National Service Center For Environmental Publications (NSCEP)
EPA National Service Center For Environmental Publications (NSCEP)
USEPA/NSCEP PO Box 42419
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 hours) center.water-resources@epa.gov C2
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 hours) center.water-resources@epa.gov C 2 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.)
National Environmental Services Center (formerly the National Small Flows Clearinghouse)
List Compiled by Sharie Centilla, USEPA/OECA centilla.sharie@epa.gov 33 C 3}}
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}}

Latest revision as of 10:55, 6 February 2020

Official Exhibit - ENT000026 -00-BD01 - U.S. EPA, Protocol for Conducting Environmental Compliance Audits Under the Stormwater Program (Jan. 2005)
ML12335A670
Person / Time
Site: Indian Point  Entergy icon.png
Issue date: 03/28/2012
From:
Entergy Nuclear Operations, Environmental Protection Agency
To:
Atomic Safety and Licensing Board Panel
SECY RAS
References
RAS 22094, 50-247-LR, 50-286-LR, ASLBP 07-858-03-LR-BD01
Download: ML12335A670 (69)
v • d • e


Text

United States Nuclear Regulatory Commission Official Hearing Exhibit ENT000026 Entergy Nuclear Operations, Inc. Submitted: March 28, 2012 In the Matter of:

(Indian Point Nuclear Generating Units 2 and 3)

ASLBP #: 07-858-03-LR-BD01 Docket #: 05000247 l 05000286 Exhibit #: ENT000026-00-BD01 Identified: 10/15/2012 Admitted: 10/15/2012 Withdrawn:

Rejected: Stricken:

Other:

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.

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to CO"'"'t G"lUp for Mgmt. Syst.m U!rlerlying U!rlerlying Cm;e" Effectivenes, F:i;= I _ Co""ctive ActiOll Motel 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 population p 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.

  • 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
  • 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

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