ML12335A670

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
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)

Text

Environmental Compliance Program Protocol for Conducting

Audits under the Stormwater ENT000026 Submitted: March 28, 2012 United States Nuclear Regulatory Commission Official Hearing Exhibit In the Matter of

Entergy Nuclear Operations, Inc. (Indian Point Nuclear Generating Units 2 and 3)

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Admitted: Withdrawn: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

........................................................................................ 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 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 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:

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.

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 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

). 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.

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 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.

The Checklists

The checklists delineate what should be evaluated during an audit. The checklists contained in these protocols are (and should be) sufficiently detailed to identify any area that may potentially receive a notice of violation if compliance is not achieved. For this reason, the checklists often get to a level of detail such that a specific paragraph of the subpart [e.g., 40 CFR 122.28(b)(2)] contained in the CFR or the Federal Register (FR) is identified for verification by the auditor.

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

can be accessed for regulatory and policy updates. The Relationship of Auditing to Environmental Management Systems An environmental auditing program is an important part of any organizations environmental management system (EMS).

Audit findings generated from the use of these protocols can be used as a basis to implement, upgrade, or benchmark environmental management systems. Regular environmental auditing can be the key element to a high quality environmental management program and will function best when an organization identifies the "root causes" of each audit finding. Root causes are the primary factors that lead to noncompliance events. For example, a violation of a facilitys stormwater discharge permit may be traced back to breakdowns in management oversight, information exchange, or inadequate evaluations by untrained personnel. As shown in Figure 1, a typical approach to auditing involves three basic steps: (1) conducting the audit, (2) identifying problems (audit findings), and (3) fixing identified deficiencies. When the audit process is expanded to identify and correct root causes to noncompliance, the organizations corrective action part of its EMS becomes more effective. In the expanded model, audit findings (exceptions) undergo a root cause analysis to identify underlying causes to noncompliance events.

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

iii require correction but also successful practices that promote compliance and prevent violations. In each case a root cause analysis should uncover the failures while promoting the successes so that an organization can make continual progress toward environmental excellence. This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein.

iv ----------------------, , , AMlyz. A OOit 1-0 Identify PrOO Io= H> Except io", for C""".!Effect , , J , -.1 , , ,

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, , ------------------------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.

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.

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

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 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.

(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 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

• Landscape irrigation

• Diverted stream flows

• Rising ground waters

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

• Uncontaminated pumped ground water

• Discharges from potable water sources

• Foundation drains

• Air conditioning condensate

• Irrigation water

• Springs

• Water from crawl space pumps

• Footing drains

• Lawn watering

• Individual residential car washing

• Flows from riparian habitats and wetlands

• Dechlorinated swimming pool discharges

• Street wash water

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

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

Pollutant Dredged spoil, solid waste, incinerator residue, filter backwash, sewage, garbage, sewage sludge, munitions, chemical wastes, biological materials, radioactive materials (except those regulated under the Atomic Energy Act of 1954, as amended (42

U.S.C. 2011 et seq.)), heat, wrecked or discarded equipment, rock, sand, cellar dirt and industrial, municipal, and agricultural waste discharged into water. (40 CFR 122.2)

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

Qualified personnel A person knowledgeable in the principles and practice of erosion and sediment controls who possesses the skills to assess conditions at the construction site that could impact stormwater quality and to assess the effectiveness of any sediment and erosion control measures selected to control the quality of stormwater discharges from the construction activity. This document is intended solely for guidance. No statutory or regulatory requirement(s) are in any way altered by any statement(s) contained herein.

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

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

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

(40 CFR 122.22)

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

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

Small municipal separate storm sewer system A conveyance or system of conveyances (including roads with drainage systems, municipal streets, catch basins, curbs, gutters, ditches, man-made channels, or storm drains): (i) Owned or operated by a state, city, town, borough, county, parish, district, association, or other public body (created by or pursuant to state law) having jurisdiction over disposal of sewage, industrial wastes, stormwater, or other wastes, including special districts under state law such as a sewer district, flood control district or drainage district, or similar entity, or an Indian tribe or an authorized Indian tribal organization, or a designated and approved management agency under Section 208 of the CWA that discharges to waters

of the United States; (iii) Not defined as large or medium municipal separate storm sewer systems pursuant to 40 CFR 122.26 (b)(4) and (b)(7), or designated under 40 CFR 122.26 (a)(1)(v); (iv) This term includes systems similar to separate sewer systems in municipalities, such as systems at military bases, large hospitals or prison complexes, and highways and other thoroughfares. The term does not include separate storm sewers in very discrete areas, such as individual buildings.

(40 CFR 122.26(b)(16))

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

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

6 square mile.

Stormwater Stormwater runoff, snow melt runoff, and surface runoff and drainage. (40 CFR 122.26(b)(13)) Typical Records to Review The following are typical records an auditor may review while conducting an environmental compliance audit.

• NPDES permits

• Stormwater Pollution Prevention Plan (SWPPP)

• Discharge monitoring reports (DMRs)

• Annual reports

• Notice of Intent documentation

• Hazardous waste transporter invoices or manifests

• Hazardous substance spill control and contingency plan

• Site plans

• Sediment and erosion control plans

• Stormwater management program plans

• Operation and maintenance plans

• Notices of noncompliance

• Notices of violations

• Administrative orders

• Local sewer ordinance

• Training manuals

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

• Discharge outfall pipes

• Floor drains

• Parking lot drains

• Stormwater management facilities

• Covered storage facilities

• Silt fences

• Sediment traps and basins

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

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.

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 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)

to protect listed threatened or

endangered species or critical

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

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

properties. Verify the SWPPP has identified the need for the protection of historic property and any measures to

protect these site(s). Verify on site the permittee has implemented measures to protect

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.

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)]

are required to apply for an individual

permit or seek coverage under a promulgated stormwater general

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:

• The submission date of new NOI.

• The date the new operator began work on the site after the new NOI was submitted.

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

A SWPPP must be developed for each construction project or site covered by this permit prior to

submission of an NOI. (CGP Part

3.1.A) Verify SWPPP covers the entire

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

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

• SWPPP indicates the name of Verify the SWPPP indicates the areas of the project where the

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

• 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) 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

control over project specifications.

G GWith operational control over only a portion of a larger project, the

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

SWPPP. Verify on site that the operators activities have not negatively impacted another partys pollution

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 where stormwater discharges to a surface water

• Areas where final stabilization has been accomplished and no

further construction-phase permit

requirements apply G G GThe SWPPP must describe and identify the location and description of any stormwater discharge associated with industrial activity

other than construction at the site.

This includes stormwater discharges

from dedicated asphalt plants and

dedicated concrete plants, that are covered by this permit. (CGP Part

3.3.D) ALSO SEE 4.4 Pollution Prevention Plan Contents: Controls to Reduce

Pollutants, CGP Part 3.4.I Verify the SWPPP includes the location and description of the following discharges, as applicable:

• 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

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:

• 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

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:

• 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 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.

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)

• 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

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:

• 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 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.

Structural measures should be placed on upland soils to the degree

practicable.

Such measures must be designed and installed in compliance with

applicable federal, local, state, or

tribal requirements. (CGP Part 3.4.E) Verify the SWPPP includes a description of measures to control stormwater discharges after the

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

upland soils.

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.

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

of solid materials, including building materials, to waters of the United States, except as authorized by a

permit issued under Section 404 of

the CWA. (CGP Part 3.4.F) Verify the SWPPP states that no solid/building materials will be discharged into the waters of the

United States. If these discharges are planned, verify reference in the

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

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

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

have been implemented.

G G G Sediment from sediment traps or sedimentation ponds must be removed when design capacity has been reduced by 50 percent. (CGP

Part 3.6.C) Verify the SWPPP address removal

of sediment from sedimentation

ponds. Verify on site that sediment accumulated does not exceed 50 percent of capacity of sediment traps

and/or sediment ponds.

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 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.

GInspection frequency may be reduced to at least once every month

given specific seasonal, project, or

geographic conditions. (CGP Part

3.10.B) If operator has modified inspection schedule, verify in the SWPPP that a monthly inspection schedule has

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

• 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.

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

• 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

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

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

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

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 )

Determine if there have been any

changes in design, construction, operation, or maintenance. If so, verify the SWPPP was amended to reflect the changes.

G G Permittee must amend the SWPPP whenever inspections or

investigations indicate the plan is

ineffective in eliminating or

minimizing pollutants. (CGP Part

3.11.B) Based on results of inspection, the SWPPP shall be modified as necessary to include additional or

modified BMPs to correct problems

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 )

A sign or other notice containing this documentation must be posted conspicuously near the main

entrance of the construction site. If displaying near the main entrance is

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

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 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

• The circumstances leading to the release

• The date of the release

• Measures to prevent the reoccurrence of such release

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

Copies of the SWPPP and all documentation required by this

permit, including records of all data

used to complete the NOI to be covered by this permit, must be retained for at least three years from

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:

• 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

7.1 Large

and medium MS4s are required to apply for an NPDES

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). 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:

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)]. 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

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

This period may be extended by the Director at any time. [40 CFR

122.41(j)(2)] Verify that the following records are

being maintained and have been on file for three years:

• Calibration and maintenance records

• Original strip chart recordings for continuous monitoring instrumentation

• All data used to complete the permit application

• All reports required by the permit

• 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

regarding each monitoring event in

all monitoring records. [40 CFR

122.41(j)(3)] Verify that all monitoring records

include the:

• Date, exact place, and time of sampling or measurements

• Individual(s) who performed the sampling or measurements

• Date analyses were performed

• Individual(s) who performed the analyses

• Analytical techniques or methods used

• Results of the analyses G G G G G G 8.6 Monitoring results must be conducted according to test

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

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

requirements. [40 CFR 122.41(l)(2)] Verify records indicate that the MS4

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 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 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 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> 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

departments of transportation). (40

CFR 122.32(a))

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)]

OR The operator is designated by the permitting authority [40 CFR

122.26(b)] Verify the MS4 meets the regulatory

definition of a small MS4 and

satisfies the requirements in 40 CFR 122.32 (see Key Terms and Definitions).

G 10.0 Limitations on Coverage The permit does not authorize:

• 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.

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.

activities impact endangered

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)]

elimination

• Construction site stormwater runoff control

• Post-construction stormwater management in new

development and redevelopment

• Pollution prevention/good housekeeping. Verify the SWMP includes the BMPs

that the operator or another entity will use to address each of these

control measures including:

• Measurable goals for each BMP

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

action

• Person(s) responsible for implementing/coordinating BMP

• Rationale for selection of BMPs and measurable goals If a qualifying local program is

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.

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

• Public hearings

• Citizen volunteers to educate other individuals about the program

• Volunteer monitoring

• How success of minimum measures are evaluated

• How measurable goals were selected Verify the SWMP describes how the 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.

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

are subject to industrial stormwater permitting (including permit number or

industrial NOI)

• 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.

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

pollution from municipal

activities including:

• A description of exiting materials used

• Description of how the training program is coordinated with public

information and illicit

discharge minimum

measures

• A program description addressing:

• Maintenance activities, schedules, and long-term inspection procedures for

controls to reduce floatables/

pollutants to the MS4

• Controls for reducing or eliminating discharges from

streets, parking lots, storage yards, etc.

• Procedures for proper disposal of waste removed

from MS4 and municipal

operations

• Procedures ensure flood management projects are

assessed for impacts on water quality and existing

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 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:

• Date, location, time of sampling

• Name of those performing 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

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

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

submit records to the NPDES permitting authority only when specifically asked to do so. The

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)]

continuous monitoring instrumentation, analytical laboratory reports)

• Copies of all reports required in permit

• MRs

• 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

location for the permitting authority

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),

the operator must submit annual

reports to the NPDES permitting authority for the first permit term.

For subsequent permit terms, the operator must submit reports in year two and four unless the NPDES permitting authority requires more

frequent reports. [40 CFR 122.35 (g)(3)] Verify an annual report has been

submitted as required and includes:

• The status of compliance with permit conditions

• 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.

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

referenced below.

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.

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

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 3.4.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

• 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 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

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

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

• 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

(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 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.

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)

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 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.)

List Compiled by Sharie Centilla, USEPA/OECA centilla.sharie@epa.gov 33 C 3